COMP Form 4: 87,832 RSU settlement; 44,604 shares withheld

Rhea-AI Filing Summary

Bradley K. Serwin, General Counsel of Compass, Inc. (COMP), reported changes in beneficial ownership on 10/03/2025. The filing shows acquisition of 87,832 Class A common shares (code M) at no cash price—reflecting RSU settlement—and a disposition of 44,604 shares (code F) at $7.83 per share to satisfy tax withholding. After these transactions, Serwin beneficially owns 316,393 Class A shares.

The filing also lists multiple RSU-based derivative holdings that settled or vested, with post-transaction derivative share counts of 29,516, 54,965, 67,574, and 165,290 shares respectively; vesting schedules are disclosed, including quarterly vesting through 03/15/2029.

Positive

• Settlement of RSUs increased direct alignment between management and shareholders by converting equity awards into 87,832 Class A shares
• Clear vesting schedule disclosed through 03/15/2029, indicating retention-focused incentives

Negative

• 44,604 shares withheld at $7.83 reduced net issued shares to satisfy tax obligations
• Future dilution is possible as large RSU pools (e.g., 165,290 shares) remain subject to settlement over time

Insights

Corporate Governance Analyst

Insider received RSUs and withheld shares for taxes; ownership modestly adjusted.

The reporting shows settlement of RSUs into 87,832 Class A shares on 10/03/2025, increasing direct holdings before tax withholding. The separate coded disposition of 44,604 shares at $7.83 reflects withholding to cover tax obligations tied to the vesting event. These mechanics are routine for equity compensation.

Key dependencies are continued service through the stated vesting dates and standard tax treatment. Watch quarterly vesting milestones through 03/15/2029 for further share settlement or withholding activity that will alter reported beneficial ownership.

Compensation & Equity Specialist

Vesting cadence and settlement details show retention-focused equity design.

The RSUs vest in scheduled tranches (e.g., 25% on sequential dates in 2025 and quarterly thereafter for some awards), with each RSU convertible into one share at $0 purchase price. Multiple RSU pools converted or were reported as acquired, producing the listed derivative share balances (e.g., 165,290 shares for one tranche).

Risks include potential dilution to shareholders when RSUs convert and routine tax withholdings that reduce net share receipts. Monitor upcoming vesting dates and any future open-market sales or additional withholding events within the next 12–48 months.

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

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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^*

Serwin Bradley K

(Last) (First) (Middle)

C/O COMPASS, INC.

110 FIFTH AVENUE, 4TH FLOOR

(Street)

NEW YORK NY 10011

(City) (State) (Zip)

2. Issuer Name and Ticker or Trading Symbol
Compass, Inc. [ COMP ]

5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)

	Director		10% Owner
X	Officer (give title below)		Other (specify below)
	General Counsel

3. Date of Earliest Transaction (Month/Day/Year)
10/03/2025

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
Class A Common Stock	10/03/2025		M		87,832	A	$0(1)	360,997	D
Class A Common Stock	10/03/2025		F(2)		44,604	D	$7.83	316,393	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
Restricted Stock Unit (RSU)	(1)	10/03/2025		M			14,758	(3)	(3)	Class A Common Stock	14,758	$0	29,516	D
Restricted Stock Unit (RSU)	(1)	10/03/2025		M			27,482	(3)	(3)	Class A Common Stock	27,482	$0	54,965	D
Restricted Stock Unit (RSU)	(1)	10/03/2025		M			33,786	(3)	(3)	Class A Common Stock	33,786	$0	67,574	D
Restricted Stock Unit (RSU)	(1)	10/03/2025		M			11,806	(4)	(4)	Class A Common Stock	11,806	$0	165,290	D

Explanation of Responses:

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. The RSUs vest as to 25% of the total shares on each of June 15, 2025, September 15, 2025, December 15, 2025 and March 15, 2026, subject to the Reporting Person's provision of service to the Issuer on each vesting date.

4. The RSUs vest as to 6.25% of the total shares on June 15, 2025 and 6.25% quarterly thereafter, with 100% of the total shares vested on March 15, 2029, subject to the Reporting Person's provision of service to the Issuer on each vesting date.

Remarks:

	/s/ Bradley K. Serwin	10/06/2025
	** Signature of Reporting Person	Date
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
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FAQ

What did Compass (COMP) insider Bradley Serwin report on 10/03/2025?

The insider reported acquisition of 87,832 Class A shares from RSU settlement and disposition of 44,604 shares withheld for taxes at $7.83; resulting beneficial ownership is 316,393 shares.

Why were 44,604 Compass shares disposed of in the Form 4?

Those 44,604 shares were withheld by the issuer to satisfy tax withholding obligations related to the vesting of RSUs.

How do the RSU vesting schedules reported affect future ownership?

RSUs vest in tranches (e.g., 25% on multiple 2025 dates and quarterly vesting through 03/15/2029), so additional shares will convert over time, changing reported ownership as each tranche vests.

What price was used for the tax-withheld shares?

The withheld shares were reported at a price of $7.83 per share.

How many derivative (RSU-based) shares are reported after the transactions?

Post-transaction derivative share counts reported include 29,516, 54,965, 67,574, and 165,290 shares for the listed RSU pools.