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Compass Therapeutics (CMPX) CEO reports tax share withholding

Filing Impact
(High)
Filing Sentiment
(Negative)
Form Type
4

Rhea-AI Filing Summary

Compass Therapeutics, Inc. chief executive officer and director Thomas J. Schuetz reported an automatic share withholding related to equity compensation. On January 9, 2026, 46,777 shares of common stock were withheld by the company at $5.35 per share to cover tax obligations arising from the vesting of restricted stock units. After this tax withholding, Schuetz beneficially owned 6,640,023 shares of common stock.

The filing also notes unvested restricted stock units: 250,000 RSUs from a February 8, 2023 grant, 318,750 RSUs from a January 9, 2024 grant, and 250,000 RSUs from a January 2, 2026 grant. Each award vests in four equal annual installments, with first vesting dates in 2024, 2025, and 2027, respectively.

Positive

  • None.

Negative

  • None.
Insider Schuetz Thomas J.
Role CHIEF EXECUTIVE OFFICER
Type Security Shares Price Value
Tax Withholding Common Stock 46,777 $5.35 $250K
Holdings After Transaction: Common Stock — 6,640,023 shares (Direct)
Footnotes (1)
  1. Represents the number of shares withheld by the Issuer to cover tax withholding obligations in connection with the vesting of restricted stock units ("RSUs"). 250,000 of the shares represent unvested restricted stock units ("RSU") granted on February 8, 2023. 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 vested on February 8, 2024. 318,750 of the shares represent unvested restricted stock units ("RSU") granted on January 9, 2024. 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 vested on January 9, 2025. 250,000 of the shares represent unvested restricted stock units ("RSU") granted on January 2, 2026. 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 vested on January 2, 2027.
Form 4 Insider Transactions: What Each Field Means →
SEC Form 4
FORM 4 UNITED 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*
Schuetz Thomas J.
(Last) (First) (Middle)
C/O COMPASS THERAPEUTICS, INC.
80 GUEST ST., SUITE 601
(Street)
BOSTON MA 02135
(City) (State) (Zip)
2. Issuer Name and Ticker or Trading Symbol
Compass Therapeutics, Inc. [ CMPX ] 		5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
X Director 10% Owner
X Officer (give title below) Other (specify below)
CHIEF EXECUTIVE OFFICER
3. Date of Earliest Transaction (Month/Day/Year)
01/09/2026
4. If Amendment, Date of Original Filed (Month/Day/Year)
 6. Individual or Joint/Group Filing (Check Applicable Line)
X Form filed by One Reporting Person
Form filed by More than One Reporting Person
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)
Code V Amount (A) or (D) Price
Common Stock 01/09/2026 F(1) 46,777 D $5.35 6,640,023(2) D
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)
Code V (A) (D) Date Exercisable Expiration Date Title Amount or Number of Shares
Explanation of Responses:
1. Represents the number of shares withheld by the Issuer to cover tax withholding obligations in connection with the vesting of restricted stock units ("RSUs").
2. 250,000 of the shares represent unvested restricted stock units ("RSU") granted on February 8, 2023. 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 vested on February 8, 2024. 318,750 of the shares represent unvested restricted stock units ("RSU") granted on January 9, 2024. 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 vested on January 9, 2025. 250,000 of the shares represent unvested restricted stock units ("RSU") granted on January 2, 2026. 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 vested on January 2, 2027.
/s/ Thomas J. Schuetz 01/12/2026
** Signature of Reporting Person Date
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.

Source: View Original Filing on SEC EDGAR

FAQ

What insider transaction did Compass Therapeutics (CMPX) report for its CEO?

Thomas J. Schuetz, chief executive officer and director of Compass Therapeutics, Inc., reported an automatic withholding of 46,777 shares of common stock to satisfy tax obligations related to vesting restricted stock units.

What does the Form 4 transaction code F mean for CMPX?

The transaction is coded "F", which in this case indicates shares of Compass Therapeutics common stock were withheld by the issuer to cover tax withholding obligations upon the vesting of restricted stock units.

How many Compass Therapeutics shares does the CEO own after this transaction?

Following the reported tax withholding transaction, Thomas J. Schuetz beneficially owned 6,640,023 shares of Compass Therapeutics, Inc. common stock directly.

Were any Compass Therapeutics shares sold for cash in this filing?

No open-market sale is reported. The 46,777 shares were withheld by the issuer to pay taxes in connection with RSU vesting, rather than sold as a discretionary trade.

What restricted stock unit (RSU) awards are reported as unvested for the Compass Therapeutics CEO?

The filing notes unvested RSUs covering 250,000 shares from a February 8, 2023 grant, 318,750 shares from a January 9, 2024 grant, and 250,000 shares from a January 2, 2026 grant, each representing a right to receive one share of common stock per unit.

How do the Compass Therapeutics RSU grants vest for the CEO?

Each RSU grant to Thomas J. Schuetz is subject to service-based vesting in four equal annual installments. First vesting dates are February 8, 2024 for the 2023 grant, January 9, 2025 for the 2024 grant, and January 2, 2027 for the 2026 grant.