# EDGAR Filing Document

**Accession Number:** 0001847178
**File Stem:** 0001563190-23-000020
**Filing Date:** 2023-2
**Character Count:** 7866
**Document Hash:** 66ae4e636aa5b56463c44cfba0c06995
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0001563190-23-000020.hdr.sgml**: 20230203

**ACCESSION NUMBER**: 0001563190-23-000020

**CONFORMED SUBMISSION TYPE**: 4

**PUBLIC DOCUMENT COUNT**: 1

**CONFORMED PERIOD OF REPORT**: 20230203

**FILED AS OF DATE**: 20230203

**DATE AS OF CHANGE**: 20230203

**REPORTING-OWNER**: 

**OWNER DATA:**
- **COMPANY CONFORMED NAME:** Reffkin Robert L.
- **CENTRAL INDEX KEY:** 0001847178

**FILING VALUES:**
- **FORM TYPE:** 4
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 001-40291
- **FILM NUMBER:** 23588145

**MAIL ADDRESS:**
- **STREET 1:** C/O COMPASS, INC.
- **STREET 2:** 155 AVENUE OF THE AMERICAS, SIXTH FLOOR
- **CITY:** NEW YORK
- **STATE:** NY
- **ZIP:** 10013
**ISSUER**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** Compass, Inc.
- **CENTRAL INDEX KEY:** 0001563190
- **STANDARD INDUSTRIAL CLASSIFICATION:** SERVICES-COMPUTER PROGRAMMING SERVICES [7371]
- **IRS NUMBER:** 300751604
- **STATE OF INCORPORATION:** DE
- **FISCAL YEAR END:** 1231

**BUSINESS ADDRESS:**
- **STREET 1:** 155 AVENUE OF THE AMERICAS
- **STREET 2:** SIXTH FLOOR
- **CITY:** NEW YORK
- **STATE:** NY
- **ZIP:** 10013
- **BUSINESS PHONE:** 917-841-5555

**MAIL ADDRESS:**
- **STREET 1:** 155 AVENUE OF THE AMERICAS
- **STREET 2:** SIXTH FLOOR
- **CITY:** NEW YORK
- **STATE:** NY
- **ZIP:** 10013

**FORMER COMPANY:**
- **FORMER CONFORMED NAME:** Urban Compass, Inc.
- **DATE OF NAME CHANGE:** 20121128

### UNITED STATES SECURITIES AND EXCHANGE COMMISSION
**Washington, D.C. 20549**

## FORM 4

### STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

[ ] Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).

[ ] Check this box to indicate that a transaction was made pursuant to a contract, instruction or written plan for the purchase or sale of equity securities of the issuer that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c). See Instruction 10.

---

| | | |
|:---|:---|:---|
| **1. Name and Address of Reporting Person**<sup>*</sup><br>Reffkin Robert L.<br><sub>(Last) (First) (Middle)</sub><br>C/O COMPASS, INC.<br>90 5TH AVENUE, 3RD FLOOR<br><sub>(Street)</sub><br>NYC, NY 10011<br><sub>(City) (State) (Zip)</sub> | **3. Date of Earliest Transaction (Month/Day/Year)**<br>2023-02-03 | **5. Relationship of Reporting Person(s) to Issuer**<br>(Check all applicable)<br>[X] Director [ ] 10% Owner<br>[X] Officer (give title below) [ ] Other (specify below)<br>_Chairman and CEO_ |
| **2. Issuer Name and Ticker or Trading Symbol**<br>Compass, Inc. [ COMP ] | **4. If Amendment, Date of Original Filed (Month/Day/Year)**<br>  | **6. Individual or Joint/Group Filing (Check Applicable Line)**<br>[X] Form filed by One Reporting Person<br>[ ] Form filed by More than One Reporting Person |

---

## Table I - Non-Derivative Securities

---

|  |  |  |  |  |  |  |  |  |  |  |
| --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- |
| 1. Title of Security | 2. Transaction Date | 2A. Deemed Execution Date | 3. Transaction Code (V) | 3. Transaction Code (V) | 4. Securities Acquired (A) or Disposed of (D) | 4. Securities Acquired (A) or Disposed of (D) | 4. Securities Acquired (A) or Disposed of (D) | 5. Amount of Securities Beneficially Owned | 6. Ownership Form | 7. Nature of Indirect Beneficial Ownership |
| 1. Title of Security | 2. Transaction Date | 2A. Deemed Execution Date | Code | V | Amount | (A) or (D) | Price | 5. Amount of Securities Beneficially Owned | 6. Ownership Form | 7. Nature of Indirect Beneficial Ownership |
| Class A Common Stock | 2023-02-03 |  | M |  | 179420 | A | 0<sup>(1)</sup> | 600570 | D |  |
| Class A Common Stock | 2023-02-03 |  | F<sup>(2)</sup> |  | 80152 | D | $4.48 | 520418 | D |  |
| Class A Common Stock | 2023-02-03 |  | D<sup>(3)</sup> |  | 99268 | D | 0<sup>(3)</sup> | 421150 | D |  |
| Class A Common Stock |  |  |  |  |  |  |  | 8328116 | I | See Footnotes<sup>(4)</sup> |

---

## Table II - Derivative Securities

---

|  |  |  |  |  |  |  |  |  |  |  |  |  |  |  |  |
| --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- |
| 1. Title of Derivative Security | 2. Conversion or Exercise Price | 3. Transaction Date | 3A. Deemed Execution Date | 4. Transaction Code (V) | 4. Transaction Code (V) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) | 6. Date Exercisable and Expiration Date | 6. Date Exercisable and Expiration Date | 7. Title and Amount of Underlying Securities | 7. Title and Amount of Underlying Securities | 8. Price of Derivative Security | 9. Number of Derivative Securities Beneficially Owned | 10. Ownership Form | 11. Nature of Indirect Beneficial Ownership |
| 1. Title of Derivative Security | 2. Conversion or Exercise Price | 3. Transaction Date | 3A. Deemed Execution Date | Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | 8. Price of Derivative Security | 9. Number of Derivative Securities Beneficially Owned | 10. Ownership Form | 11. Nature of Indirect Beneficial Ownership |
| Restricted Stock Unit (RSU) | <sup>(1)</sup> | 2023-02-03 |  | M |  |  | 179420 | <sup>(5)</sup> | <sup>(5)</sup> | Class A Common Stock | 179420.0 | $0 | 1973540 | D |  |
| Class C Common Stock | <sup>(3)(6)</sup> | 2023-02-03 |  | A |  | 99268 |  | <sup>(6)</sup> | <sup>(6)</sup> | Class A Common Stock | 99268.0 | $0 | 14333176 | D |  |
| Class C Common Stock | <sup>(6)</sup> |  |  |  |  |  |  | <sup>(6)</sup> | <sup>(6)</sup> | Class A Common Stock | 4125000.0 |  | 4125000 | I | See footnote<sup>(7)</sup> |

---

### Footnotes:

(1) Each RSU represents a contingent right to receive one (1) share of the Issuer's Class A Common Stock upon settlement.

(2) Represents shares withheld by Issuer to satisfy tax withholding obligations on the vesting of RSUs.

(3) Represents the conversion by the reporting person of Class A Common Stock for Class C Common Stock elected by the reporting person pursuant to an Equity Exchange Right Agreement with the Issuer.

(4) Represents (i) 4,648,000 shares of Class A Common Stock owned by the 2021 Reffkin Remainder Interest Trust, (ii) 3,190,870 shares of Class A Common Stock owned by the Reffkin Investment II Corp, (iii) 411,111 shares of Class A Common Stock owned by The Ruth Reffkin Family Trust and (iv) 78,135 shares of Class A Common Stock owned by the Reffkin 2022 Family Trust.

(5) The RSUs vest as to 1/48th of the total shares on the 25th of each month following January 1, 2020, subject to continued service through each vesting date, provided, however the Reporting Person is not subject to an involuntary termination (as further defined in the Reporting Person's award agreement) within 12 months after the effectiveness of the Issuer's IPO.

(6) Class C Common Stock is convertible to Class A Common Stock on a one-to-one basis at any time.

(7) Shares owned by Reffkin Investment I Corp. The Robert Lee Reffkin Revocable Trust is the sole and controlling shareholder of Reffkin Investment I Corp.

**Signature:** /s/ Bradley K. Serwin, as attorney-in-fact  
**Date:** 2023-02-03

### Remarks:

Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.

* If the form is filed by more than one reporting person, see Instruction 4 (b)(v).

** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).

Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.

**Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number.**