Form Type: 4

SEC EDGAR Link
Accession Number:0001171843-22-006005
Date:2022-09-07
Issuer: COMPASS THERAPEUTICS, INC. (CMPX)
Original Submission Date:

Reporting Person:

SCHUETZ THOMAS J.
C/O COMPASS THERAPEUTICS, INC.
80 GUEST ST., SUITE 601 BOSTON, MA 02135

Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
Title of SecurityTransaction Date2a. Deemed Execution Date Transaction CodeSharesAcquired or DisposedPrice per share 5. Amount of Securities Beneficially Owned Following Reported Transaction 6. Ownership Form Direct or IndirectNature of Indirect Ownership
COMMON STOCK 2022-09-07 P 15,000 a $3.03 5,406,873 direct
Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, convertible securities
Title of Derivative Security Conversion or Exercise Price of Derivative Security Transaction Date Deemed Execution Date Transaction Code Number of Derivative Securities Acquired (A) or Disposed of (D) Date ExercisableExpiration Date Title and Amount of Securities Underlying Derivative Security Price of Derivative Security Number of derivative Securities Beneficially Owned Following Reported Transaction(s) Ownership Form: Direct (D) or Indirect (I) Nature of Indirect Beneficial Ownership
Footnotes
IDfootnote
f1 the price reported in column 4 is the weighted average purchase price. these shares were purchased in multiple transactions at prices ranging from $3.02 to $3.04 per share. the reporting person hereby undertakes to provide, upon request, to the company, any security holder of the company, or the staff of the securities and exchange commission, full information regarding the number of shares purchased and prices within the range set forth above.
f2 159,246 of these shares of common stock underlie unvested restricted stock awards that are subject to a right of repurchase in favor of the issuer, which vest as follows: restricted stock award granted on july 3, 2019, with the remaining 61,462 shares vesting approximately equally per month with shares fully vested on july 31, 2023 and restricted stock award granted on december 20, 2019, with the remaining 97,784 shares vesting approximately equally per month with shares fully vested on december 31, 2023. 600,000 of the shares represents restricted stock units ("rsu") granted to the reporting person on november 16, 2021. each rsu represents a contingent right to receive one share of common stock. the award is subject to service-based vesting conditions and vests in four equal annual installments, with the first installment vesting on november 15, 2022.

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