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Director at COMPASS Pathways (CMPS) receives grant of 21,110 share options

Filing Impact
(Neutral)
Filing Sentiment
(Neutral)
Form Type
4

Rhea-AI Filing Summary

COMPASS Pathways plc director David Y. Norton received a grant of share options giving him the right to buy 21,110 Ordinary Shares. The options have an exercise price of $11.85 per share and expire on 26 May 2036. The underlying shares vest in full on the earlier of the first anniversary of the grant date or the company’s 2027 Annual General Meeting of Shareholders. The Ordinary Shares may be represented by American Depositary Shares on a 1:1 basis.

Positive

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Negative

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Insider Norton David Y
Role null
Type Security Shares Price Value
Grant/Award Share Option (Right to Buy) 21,110 $0.00 --
Holdings After Transaction: Share Option (Right to Buy) — 21,110 shares (Direct, null)
Footnotes (1)
  1. The shares underlying this option vest in full upon the earlier to occur of (i) the first anniversary of the date of grant or (ii) the date of COMPASS Pathways plc's Annual General Meeting of Shareholders in 2027. The Ordinary Shares may be represented by American Depositary Shares, each of which currently represents one Ordinary Share.
Options granted 21,110 share options Grant to director David Y. Norton
Exercise price $11.85 per share Share option strike price
Underlying shares 21,110 Ordinary Shares Shares subject to the option
Expiration date 26 May 2036 Option expiry
Vesting trigger Earlier of 1-year anniversary or 2027 AGM Full vesting condition
ADS to Ordinary ratio 1 ADS : 1 Ordinary Share Current representation ratio
Share Option (Right to Buy) financial
"security_title: "Share Option (Right to Buy)""
Annual General Meeting of Shareholders financial
"vest in full upon the earlier to occur of ... the date of COMPASS Pathways plc's Annual General Meeting of Shareholders in 2027"
American Depositary Shares financial
"The Ordinary Shares may be represented by American Depositary Shares, each of which currently represents one Ordinary Share."
American depositary shares (ADSs) are a way for investors in the United States to buy shares of foreign companies without dealing with international markets directly. They represent ownership in a foreign company's stock and are traded on U.S. stock exchanges, making it easier for American investors to buy, sell, and own parts of companies from around the world.
Ordinary Shares financial
"underlying_security_title: "Ordinary Shares""
Ordinary shares are a type of ownership stake in a company, giving shareholders a right to participate in the company’s profits and decision-making through voting. They are similar to owning a piece of a business, and their value can rise or fall based on the company's performance. Investors buy ordinary shares to potentially earn dividends and benefit from the company's growth over time.
Form 4 Insider Transactions: What Each Field Means →
SEC Form 4
FORM 4UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940
OMB APPROVAL
OMB Number:3235-0287
Estimated average burden
hours per response:0.5
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*
Norton David Y
(Last)(First)(Middle)
COMPASS PATHWAYS PLC
33 BROADWICK STREET
(Street)
LONDONW1F 0DQ
(City)(State)(Zip)
UNITED KINGDOM
(Country)		2. Issuer Name and Ticker or Trading Symbol
COMPASS Pathways plc [ CMPS ] 		5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
XDirector10% Owner
Officer (give title below)Other (specify below)
2a. Foreign Trading Symbol
3. Date of Earliest Transaction (Month/Day/Year)
05/27/2026		6. Individual or Joint/Group Filing (Check Applicable Line)
XForm filed by One Reporting Person
Form filed by More than One Reporting Person
4. If Amendment, Date of Original Filed (Month/Day/Year)

Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1. Title of Security (Instr. 3) 2. Transaction Date (Month/Day/Year)2A. Deemed Execution Date, if any (Month/Day/Year)3. Transaction Code (Instr. 8) 4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5) 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 7. Nature of Indirect Beneficial Ownership (Instr. 4)
CodeVAmount(A) or (D)Price
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 3) 2. Conversion or Exercise Price of Derivative Security 3. Transaction Date (Month/Day/Year)3A. Deemed Execution Date, if any (Month/Day/Year)4. Transaction Code (Instr. 8) 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) 6. Date Exercisable and Expiration Date (Month/Day/Year)7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) 8. Price of Derivative Security (Instr. 5) 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) 10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 11. Nature of Indirect Beneficial Ownership (Instr. 4)
CodeV(A)(D)Date ExercisableExpiration DateTitleAmount or Number of Shares
Share Option (Right to Buy)$11.8505/27/2026A21,11005/27/2027(1)05/26/2036Ordinary Shares(2)21,110$021,110D
Explanation of Responses:
1. The shares underlying this option vest in full upon the earlier to occur of (i) the first anniversary of the date of grant or (ii) the date of COMPASS Pathways plc's Annual General Meeting of Shareholders in 2027.
2. The Ordinary Shares may be represented by American Depositary Shares, each of which currently represents one Ordinary Share.
Remarks:
/s/ Meredith Prithviraj by Power of Attorney for David Norton05/29/2026
** Signature of Reporting PersonDate
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.
* Form 4: SEC 1474 (03-26)

Source: View Original Filing on SEC EDGAR

FAQ

What insider transaction did COMPASS Pathways (CMPS) report for David Y. Norton?

COMPASS Pathways reported a grant of share options to director David Y. Norton. He received options for 21,110 Ordinary Shares as compensation, giving him the right to buy those shares at a fixed exercise price in the future.

How many COMPASS Pathways shares are covered by David Y. Norton’s new options?

David Y. Norton’s new share option grant covers 21,110 Ordinary Shares. These options represent the right to purchase the same number of shares once they vest, subject to the vesting schedule and the stated exercise price in the grant terms.

What is the exercise price and expiry of David Y. Norton’s COMPASS Pathways options?

The granted options have an exercise price of $11.85 per Ordinary Share and expire on 26 May 2036. This means Norton can choose to buy the shares at $11.85 any time after vesting and before the stated expiration date.

When do David Y. Norton’s COMPASS Pathways share options vest?

The options vest in full on the earlier of two dates: the first anniversary of the grant date or the company’s 2027 Annual General Meeting of Shareholders. Once vested, Norton can exercise the options at the $11.85 per share price.

Is David Y. Norton’s Form 4 transaction a market purchase or sale of COMPASS Pathways stock?

The reported transaction is a grant or award of share options, not an open-market purchase or sale. Norton acquired derivative securities as compensation, giving him future rights to buy shares rather than immediately trading existing stock.