# EDGAR Filing Document

**Accession Number:** 0001816590
**File Stem:** 0001816590-23-000028
**Filing Date:** 2023-2
**Character Count:** 16871
**Document Hash:** 30fddc7cb2791e3cd89a8058bb1efed0
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0001816590-23-000028.hdr.sgml**: 20230214

**ACCESSION NUMBER**: 0001816590-23-000028

**CONFORMED SUBMISSION TYPE**: SC 13G/A

**PUBLIC DOCUMENT COUNT**: 1

**FILED AS OF DATE**: 20230214

**DATE AS OF CHANGE**: 20230214

**SUBJECT COMPANY**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** COMPASS Pathways plc
- **CENTRAL INDEX KEY:** 0001816590
- **STANDARD INDUSTRIAL CLASSIFICATION:** PHARMACEUTICAL PREPARATIONS [2834]
- **IRS NUMBER:** 000000000
- **STATE OF INCORPORATION:** X0
- **FISCAL YEAR END:** 1231

**FILING VALUES:**
- **FORM TYPE:** SC 13G/A
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 005-92194
- **FILM NUMBER:** 23630517

**BUSINESS ADDRESS:**
- **STREET 1:** 3RD FLOOR, 1 ASHLEY ROAD
- **STREET 2:** ALTRINCHAM
- **CITY:** CHESIRE
- **STATE:** X0
- **ZIP:** WA14 2DT
- **BUSINESS PHONE:** 1-646-905-3974

**MAIL ADDRESS:**
- **STREET 1:** 3RD FLOOR, 1 ASHLEY ROAD
- **STREET 2:** ALTRINCHAM
- **CITY:** CHESIRE
- **STATE:** X0
- **ZIP:** WA14 2DT

**FORMER COMPANY:**
- **FORMER CONFORMED NAME:** Compass Rx Ltd.
- **DATE OF NAME CHANGE:** 20200701
**FILED BY**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** COMPASS Pathways plc
- **CENTRAL INDEX KEY:** 0001816590
- **STANDARD INDUSTRIAL CLASSIFICATION:** PHARMACEUTICAL PREPARATIONS [2834]
- **IRS NUMBER:** 000000000
- **STATE OF INCORPORATION:** X0
- **FISCAL YEAR END:** 1231

**FILING VALUES:**
- **FORM TYPE:** SC 13G/A

**BUSINESS ADDRESS:**
- **STREET 1:** 3RD FLOOR, 1 ASHLEY ROAD
- **STREET 2:** ALTRINCHAM
- **CITY:** CHESIRE
- **STATE:** X0
- **ZIP:** WA14 2DT
- **BUSINESS PHONE:** 1-646-905-3974

**MAIL ADDRESS:**
- **STREET 1:** 3RD FLOOR, 1 ASHLEY ROAD
- **STREET 2:** ALTRINCHAM
- **CITY:** CHESIRE
- **STATE:** X0
- **ZIP:** WA14 2DT

**FORMER COMPANY:**
- **FORMER CONFORMED NAME:** Compass Rx Ltd.
- **DATE OF NAME CHANGE:** 20200701

**UNITED STATES**

**SECURITIES AND EXCHANGE COMMISSION**

**Washington, D.C. 20549**

**SCHEDULE 13G**

**UNDER THE SECURITIES EXCHANGE ACT OF 1934**

**(Amendment No. 1)\***

**COMPASS Pathways plc**

**(Name of Issuer)** 

**<u>Ordinary shares, nominal value £0.008 per share</u>**

**(Title of Class of Securities)** 

**<u>20451W101</u>** <sup>(1)</sup>

**(CUSIP Number)** 

**<u>December 31, 2022</u>**

**(Date of Event Which Requires Filing of this Statement)** 

Check the appropriate box to designate the rule pursuant to which this Schedule is filed:

☐ Rule 13d-1(b)

☐ Rule 13d-1(c)

☒ Rule 13d-1(d)

\* The remainder of this cover page shall be filled out for a reporting person's initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter the disclosures provided in a prior cover page.

The information required in the remainder of this cover page shall not be deemed to be "filed" for the purpose of Section 18 of the Securities Exchange Act of 1934 ("Act") or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act (however, see the Notes).

(1) CUSIP number 20451W101 has been assigned to the American Depositary Shares ("ADSs") of the Issuer. Each ADS represents one Ordinary Share. No CUSIP number has been assigned to the Ordinary Shares of the Issuer.

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| | | | |
|:---|:---|:---|:---|
| 1. | Names of Reporting Person<br>George Jay Goldsmith | Names of Reporting Person<br>George Jay Goldsmith | Names of Reporting Person<br>George Jay Goldsmith |
| 2. | Check the Appropriate Box if a Member of a Group (See Instructions)<br>(a) ☐ (b) ☐ | Check the Appropriate Box if a Member of a Group (See Instructions)<br>(a) ☐ (b) ☐ | Check the Appropriate Box if a Member of a Group (See Instructions)<br>(a) ☐ (b) ☐ |
| 3. | SEC Use Only | SEC Use Only | SEC Use Only |
| 4. | Citizenship or Place of Organization<br>United Kingdom | Citizenship or Place of Organization<br>United Kingdom | Citizenship or Place of Organization<br>United Kingdom |
| Number of <br>Shares <br>Beneficially <br>Owned by <br>Each <br>Reporting <br>Person <br>With  | Number of <br>Shares <br>Beneficially <br>Owned by <br>Each <br>Reporting <br>Person <br>With  | 5. | Sole Voting Power<br>4,354,395 (1) |
| Number of <br>Shares <br>Beneficially <br>Owned by <br>Each <br>Reporting <br>Person <br>With  | Number of <br>Shares <br>Beneficially <br>Owned by <br>Each <br>Reporting <br>Person <br>With  | 6. | Shared Voting Power<br>0 |
| Number of <br>Shares <br>Beneficially <br>Owned by <br>Each <br>Reporting <br>Person <br>With  | Number of <br>Shares <br>Beneficially <br>Owned by <br>Each <br>Reporting <br>Person <br>With  | 7. | Sole Dispositive Power<br>4,354,395 (1) |
| Number of <br>Shares <br>Beneficially <br>Owned by <br>Each <br>Reporting <br>Person <br>With  | Number of <br>Shares <br>Beneficially <br>Owned by <br>Each <br>Reporting <br>Person <br>With  | 8. | Shared Dispositive Power<br>0 |
| 9. | Aggregate Amount Beneficially Owned by Each Reporting Person<br>4,354,395 (1) | Aggregate Amount Beneficially Owned by Each Reporting Person<br>4,354,395 (1) | Aggregate Amount Beneficially Owned by Each Reporting Person<br>4,354,395 (1) |
| 10. | Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions) ☐ | Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions) ☐ | Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions) ☐ |
| 11. | Percent of Class Represented by Amount in Row (9)<br>10.2% (2) | Percent of Class Represented by Amount in Row (9)<br>10.2% (2) | Percent of Class Represented by Amount in Row (9)<br>10.2% (2) |
| 12. | Type of Reporting Person (See Instructions)<br>IN | Type of Reporting Person (See Instructions)<br>IN | Type of Reporting Person (See Instructions)<br>IN |

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(1) Represents (i) 4,231,231 ordinary shares of the Issuer, nominal value £0.008 per share ("Ordinary Shares") beneficially owned by the Reporting Person, (ii) 10,044 Ordinary Shares underlying restricted stock units that will vest within 60 days of December 31, 2022 held by the Reporting Person; and (iii) 113,120 Ordinary Shares subject to a stock option exercisable within 60 days of December 31, 2022 held by the Reporting Person.

(2) The percentage of the outstanding Ordinary Shares beneficially owned by the Reporting Person is based on 42,576,544 Ordinary Shares outstanding as of November 2, 2022, as disclosed in the Issuer's Quarterly Report on Form 10-Q as filed with the Securities and Exchange Commission on November 3, 2022. The Reporting Person and Ekaterina Malievaskaia are married but the Reporting Person expressly disclaims beneficial ownership of the Ordinary Shares owned by Dr. Malievskaia. <br>

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| | | | |
|:---|:---|:---|:---|
| 1. | Names of Reporting Person<br>Ekaterina Malievskaia | Names of Reporting Person<br>Ekaterina Malievskaia | Names of Reporting Person<br>Ekaterina Malievskaia |
| 2. | Check the Appropriate Box if a Member of a Group (See Instructions)<br>(a) ☐ (b) ☐ | Check the Appropriate Box if a Member of a Group (See Instructions)<br>(a) ☐ (b) ☐ | Check the Appropriate Box if a Member of a Group (See Instructions)<br>(a) ☐ (b) ☐ |
| 3. | SEC Use Only | SEC Use Only | SEC Use Only |
| 4. | Citizenship or Place of Organization<br>United Kingdom | Citizenship or Place of Organization<br>United Kingdom | Citizenship or Place of Organization<br>United Kingdom |
| Number of <br>Shares <br>Beneficially <br>Owned by <br>Each <br>Reporting <br>Person <br>With  | Number of <br>Shares <br>Beneficially <br>Owned by <br>Each <br>Reporting <br>Person <br>With  | 5. | Sole Voting Power<br>4,307,115 (1) |
| Number of <br>Shares <br>Beneficially <br>Owned by <br>Each <br>Reporting <br>Person <br>With  | Number of <br>Shares <br>Beneficially <br>Owned by <br>Each <br>Reporting <br>Person <br>With  | 6. | Shared Voting Power<br>0 |
| Number of <br>Shares <br>Beneficially <br>Owned by <br>Each <br>Reporting <br>Person <br>With  | Number of <br>Shares <br>Beneficially <br>Owned by <br>Each <br>Reporting <br>Person <br>With  | 7. | Sole Dispositive Power<br>4,307,115 (1) |
| Number of <br>Shares <br>Beneficially <br>Owned by <br>Each <br>Reporting <br>Person <br>With  | Number of <br>Shares <br>Beneficially <br>Owned by <br>Each <br>Reporting <br>Person <br>With  | 8. | Shared Dispositive Power<br>0 |
| 9. | Aggregate Amount Beneficially Owned by Each Reporting Person<br>4,307,115 (1) | Aggregate Amount Beneficially Owned by Each Reporting Person<br>4,307,115 (1) | Aggregate Amount Beneficially Owned by Each Reporting Person<br>4,307,115 (1) |
| 10. | Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions) ☐ | Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions) ☐ | Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions) ☐ |
| 11. | Percent of Class Represented by Amount in Row (9)<br>10.1% (2) | Percent of Class Represented by Amount in Row (9)<br>10.1% (2) | Percent of Class Represented by Amount in Row (9)<br>10.1% (2) |
| 12. | Type of Reporting Person (See Instructions)<br>IN | Type of Reporting Person (See Instructions)<br>IN | Type of Reporting Person (See Instructions)<br>IN |

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(1) Represents (i) 4,231,059 Ordinary Shares beneficially owned by the Reporting Person, (ii) 6,044 Ordinary Shares underlying restricted stock units that will vest within 60 days of December 31, 2022 held by the Reporting Person; and (iii) 70,012 Ordinary Shares subject to a stock option exercisable within 60 days of December 31, 2022 held by the Reporting Person.

(2) The percentage of the outstanding Ordinary Shares of the Issuer beneficially owned by the Reporting Person is based on 42,576,544 Ordinary Shares outstanding as of November 2, 2022, as disclosed in the Issuer's Quarterly Report on Form 10-Q as filed with the Securities and Exchange Commission on November 3, 2022. The Reporting Person and George Jay Goldsmith are married but the Reporting Person expressly disclaims beneficial ownership of the Ordinary Shares owned by Mr. Goldsmith. <br>

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**Item 1.**<br>

 (a) Name of Issuer

COMPASS Pathways plc (the "Issuer")

 (b) Address of Issuer's Principal Executive Offices

3<sup>rd</sup> Floor

1 Ashley Road

Altrincham

Chesire WA14 2DT

United Kingdom

**Item 2.**

 (a) Name of Person Filing

This statement is filed by George Jay Goldsmith and Ekaterina Malievskaia.

 (b) Address of Principal Business Office or, if none, Residence

Each Reporting Person's address is c/o COMPASS Pathways plc, 3<sup>rd</sup> Floor, 1 Ashley Road, Altrincham, Cheshire WA14 2DT, United Kingdom.

 (c) Citizenship

The Reporting Persons are citizens of the United Kingdom.

 (d) Title of Class of Securities

Ordinary shares, nominal value £0.008 per share

 (e) CUSIP Number

The CUSIP number 20451W101 has been assigned to the ADSs of the Issuer. Each ADS represents one Ordinary Share. No CUSIP number has been assigned to the Ordinary Shares of the Issuer.

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| | |
|:---|:---|
| **Item 3.** | **If this statement is filed pursuant to §§240.13d-1(b) or 240.13d-2(b) or (c), check whether the person filing is a:** |

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| | | |
|:---|:---|:---|
| (a) | ☐ | Broker or dealer registered under Section 15 of the Act; |
| (b) | ☐ | Bank as defined in Section 3(a)(6) of the Act; |
| (c) | ☐ | Insurance company as defined in Section 3(a)(19) of the Act; |
| (d) | ☐ | Investment company registered under Section 8 of the Investment Company Act of 1940; |
| (e) | ☐ | An investment adviser in accordance with Rule 13d-1(b)(1)(ii)(E); |
| (f) | ☐ | An employee benefit plan or endowment fund in accordance with Rule 13d-1(b)(1)(ii)(F); |
| (g) | ☐ | A parent holding company or control person in accordance with Rule 13d-1(b)(1)(ii)(G); |
| (h) | ☐ | A savings associations as defined in Section 3(b) of the Federal Deposit Insurance Act (12 U.S.C. 1813); |
| (i) | ☐ | A church plan that is excluded from the definition of an investment company under section 3(c)(14) of the Investment Company Act of 1940; |
| (j) | ☐ | A non-U.S. institution in accordance with Rule 240.13d-1(b)(1)(ii)(J); |
| (k) | ☐ | Group, in accordance with Rule 240.13d-1(b)(1)(ii)(K). If filing as a non-U.S. institution in accordance with Rule 240.13d-1(b)(1)(ii)(J), please specify the type of institution: |

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If filing as a non-U.S. institution in accordance with §240.13d-1(b)(1)(ii)(J), please specify the type of institution:

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|:---|:---|
| **Item 4.** | **Ownership** |

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Provide the following information regarding the aggregate number and percentage of the class of securities of the issuer identified in Item 1.

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| | |
|:---|:---|
| (a) and (b) | Amount beneficially owned: |

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| | | |
|:---|:---|:---|
| | (i) | Mr. Goldsmith directly owns 4,354,395 Ordinary Shares, representing approximately 10.2% of the outstanding Ordinary Shares, which includes: (i) 4,231,231 Ordinary Shares, (ii) 10,044 Ordinary Shares underlying restricted stock units that will vest within 60 days of December 31, 2022; and (iii) 113,120 Ordinary Shares subject to a stock option exercisable within 60 days of December 31, 2022. |
| | (ii) | Dr. Malievskaia directly owns 4,307,115 Ordinary Shares, representing approximately 10.1% of the outstanding Ordinary Shares, which includes: (i) 4,231,059 Ordinary Shares, (ii) 6,044 Ordinary Shares underlying restricted stock units that will vest within 60 days of December 31, 2022; and (iii) 70,012 Ordinary Shares subject to a stock option exercisable within 60 days of December 31, 2022. <br>Mr. Goldsmith and Dr. Malievskaia are married to each other, but each Reporting Person expressly disclaims beneficial ownership of the securities held by the other Reporting Person. <br>The percentage of the outstanding Ordinary Shares beneficially owned by the Reporting Persons is based on 42,576,544 Ordinary Shares outstanding as of November 2, 2022, as disclosed in the Issuer's Quarterly Report on Form 10-Q as filed with the Securities and Exchange Commission on November 3, 2022. |
| (c) | Number of shares as to which such person has: | Number of shares as to which such person has: |

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| | | | | |
|:---|:---|:---|:---|:---|
| | **Number of Shares of Common Shares** | **Number of Shares of Common Shares** | **Number of Shares of Common Shares** | **Number of Shares of Common Shares** |
| **Reporting Person** | **(i)** | **(ii)** | **(iii)** | **(iv)** |
| George Jay Goldsmith | 4354395 | 0 | 4354395 | 0 |
| Ekaterina Malievskaia | 4307115 | 0 | 4307115 | 0 |

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(i) Sole power to vote or direct the vote

(ii) Shared power to vote or to direct the vote

(iii) Sole power to dispose or to direct the disposition of

(iv) Shared power to dispose or to direct the disposition of

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|:---|:---|
| **Item 5.** | **Ownership of Five Percent or Less of a Class** |

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Not applicable.

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|:---|:---|
| **Item 6.** | **Ownership of More than Five Percent on Behalf of Another Person** |

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Not applicable.

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|:---|:---|
| **Item 7.** | **Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on By the Parent Holding Company** |

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Not applicable.

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|:---|:---|
| **Item 8.** | **Identification and Classification of Members of the Group** |

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Not applicable.

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|:---|:---|
| **Item 9.** | **Notice of Dissolution of Group** |

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Not applicable.

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|:---|:---|
| **Item 10.** | **Certification** |

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Not applicable.

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**SIGNATURE** 

After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct.

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| | | |
|:---|:---|:---|
| Date: February 14, 2023 | GEORGE JAY GOLDSMITH | GEORGE JAY GOLDSMITH |
| | /s/ Meredith Prithviraj by Power of Attorney for George Jay Goldsmith | /s/ Meredith Prithviraj by Power of Attorney for George Jay Goldsmith |
| | EKATERINA MALIEVSKAIA | EKATERINA MALIEVSKAIA |
| | | /s/ Meredith Prithviraj by Power of Attorney for Ekaterina Malievskaia |

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Exhibit List

Exhibit A. Power of Attorney (1).

Exhibit B. Power of Attorney (2).

(1)&nbsp;&nbsp;&nbsp;&nbsp;Power of Attorney previously filed as Exhibit 24 to a Form 4 with regard to COMPASS Pathways plc filed with the Securities and Exchange Commission on February 3, 2023 by George Jay Goldsmith.

(2)&nbsp;&nbsp;&nbsp;&nbsp;Power of Attorney previously filed as Exhibit 24 to a Form 4 with regard to COMPASS Pathways plc filed with the Securities and Exchange Commission on February 3, 2023 by Ekaterina Malievskaia.

<br>