Compass Inc
For the period ended Jun 30, 2024. Filed Aug 2, 2024.
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Jun 30, 2024 · Filed Aug 2, 2024
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Item 5. Other Information
On May 10, 2024, Robert Reffkin, Founder and Chief Executive Officer, and 2021 Reffkin Remainder Interest Trust, adopted a Rule 10b5-1 trading arrangement that is intended to satisfy the affirmative defense of Rule 10b5-1(c) for the sale of up to 10,500,000 shares of the Company’s common stock at various limit prices. The trading arrangement is set to end on December 31, 2025.
On May 10, 2024, Brad Serwin, General Counsel and Corporate Secretary, adopted a Rule 10b5-1 trading arrangement that is intended to satisfy the affirmative defense of Rule 10b5-1(c) for the sale of up to 243,982 shares of the Company’s common stock at various limit prices. The trading arrangement is set to end on August 10, 2026.
On May 17, 2024, Scott Wahlers, Chief Accounting Officer, adopted a Rule 10b5-1 trading arrangement that is intended to satisfy the affirmative defense of Rule 10b5-1(c) for the sale of up to 591,922 shares 3 of the Company’s common stock at various limit prices. The trading arrangement is set to end on August 14, 2026.
On May 10, 2024, Pamela Thomas-Graham, Director, adopted a Rule 10b5-1 trading arrangement that is intended to satisfy the affirmative defense of Rule 10b5-1(c) for the sale of up to 239,216 shares of the Company’s common stock at various limit prices. The trading arrangement is set to end on May 8, 2026.
On May 13, 2024, Allan Leinwand, Director, adopted a Rule 10b5-1 trading arrangement that is intended to satisfy the affirmative defense of Rule 10b5-1(c) for the sale of up to 40,394 shares of the Company’s common stock at various limit prices. The trading arrangement is set to end on August 29, 2025.
3 Reflects an estimated number of shares. The actual number of shares will depend on the number of shares underlying Restricted Stock Unit Awards that are net settled at a future time.
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