Welcome to our dedicated page for Compass SEC filings (Ticker: COMP), a comprehensive resource for investors and traders seeking official regulatory documents including 10-K annual reports, 10-Q quarterly earnings, 8-K material events, and insider trading forms.
Compass, Inc. filings document the company's real estate services business, capital structure, governance and material events. Recent Form 8-K reports cover operating and financial results, Regulation FD disclosures, material agreements, officer appointments, and transaction-related obligations tied to its brokerage and franchise operations, including records following the completed acquisition of Anywhere Real Estate.
Proxy materials describe board and shareholder voting matters, executive compensation, equity awards and governance practices. The filing record also includes exhibits and capital-structure disclosures relevant to Compass's owned-brokerage and franchise model, its brand portfolio, technology platform and integrated real estate services.
Compass, Inc. (COMP) filed a Form D for an exempt equity issuance under Rule 506(b). The filing reports Total Amount Sold: $370,966 and Total Remaining to be Sold: $0.
The company states these shares were issued as contingent consideration related to a prior acquisition, and no cash consideration was received by the issuer. It is a new notice with a date of first sale: 2025-10-02. The security type is equity, and reported finders’ fees were $0. The issuer size selection indicates over $100,000,000 in revenue.
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.
Insider transaction summary: The Chief Financial Officer and Chief Accounting Officer, Scott R. Wahlers, reported equity changes on 10/03/2025. 49,936 restricted stock units (RSUs) were reported as vested (transaction code M) and converted into 49,936 shares of Class A common stock at a $0 conversion price, increasing his direct holdings to 439,118 shares. Separately, 25,493 shares were reported as withheld by the issuer to satisfy tax withholding at a reported price of $7.83, leaving beneficial ownership at 413,625 shares. The RSU schedule notes 25% tranche vesting on each of 03/31/2025, 06/30/2025, 09/30/2025, and 12/31/2025, subject to continued service. The Form 4 was signed by an attorney-in-fact on 10/06/2025.
Compass, Inc. (COMP) Form 144 reports a proposed sale of 47,766 shares of Class A common stock with an aggregate market value of $383,561, to be sold on or about 10/01/2025 on the NYSE. The filing shows the shares were acquired by distribution from related RR1 trusts on 08/19/2021 in three lots (15,366; 165,000; 201,750). The filer also discloses recent trust sales in May–September 2025 totaling multiple transactions, with individual sale amounts and gross proceeds listed. The notice contains the required representation regarding material nonpublic information and signature/attestation language.
Compass, Inc. (COMP) filing a Form 144 notifies the proposed brokered sale of 72,297 shares of Class A common stock on or about 10/01/2025 via the NYSE, with an aggregate market value reported at $580,545. The filing identifies three separate acquisitions that supplied these shares: a terminating distribution from The RR3 Trust (208,204 shares acquired 08/19/2021), a distribution from the Ruth Reffkin Family Trust (352,000 shares acquired 05/25/2022), and a gift from Robert Reffkin (18,175 shares acquired 05/25/2022). The form also lists multiple related trust sales in the prior three months totaling recurring dispositions by affiliated trusts. The filer affirms no undisclosed material adverse information and provides broker details (J.P. Morgan Securities LLC).
Compass, Inc. filed a Form D reporting a Rule 506(b) exempt offering of equity securities tied to a prior acquisition. The filing shows a $8,999,976 total offering amount that has been fully sold, with $0 remaining. The issuer identifies its industry as residential real estate and indicates annual size category Over $100,000,000. The notice lists 3 investors and a minimum outside investment of $10,000. No sales commissions or finders' fees were reported and no proceeds were allocated to executive officers, directors, or promoters. The filing was signed by General Counsel Brad Serwin.
Compass, Inc. entered into a definitive Agreement and Plan of Merger with Anywhere Real Estate Inc. and a wholly owned merger subsidiary, under which each outstanding share of Anywhere common stock will be converted into the right to receive 1.436 shares of Compass Class A common stock, with cash in lieu of fractional shares. The merger is intended to qualify as a tax-free reorganization under Section 368(a).
Equity awards of Anywhere (RSUs, DSUs, PSUs) will be converted into time-based Compass RSU awards using the 1.436 exchange ratio, with PSUs converted to service-based vesting and performance treatment detailed for in-flight and future periods. Certain Anywhere options will be net-exercised for merger consideration or assumed and converted into adjusted options to purchase Compass shares. The parties anticipate using a 364-day senior secured bridge loan facility and possibly capital markets transactions to refinance Anywhere’s indebtedness; existing senior notes are expected to remain in place after closing.
The merger remains subject to customary closing conditions, including approvals by Compass and Anywhere stockholders, NYSE listing authorization, an effective registration statement/prospectus, expiration of HSR waiting period, absence of injunctions, accurate representations and warranties and material compliance with agreement obligations. Voting and support agreements have been executed by certain holders, including Robert L. Reffkin and related funds.
Compass, Inc. (COMP) director Josh N. McCarter reported related-party transfers of Class A common stock on 09/08/2025. The filing shows two offsetting non-derivative transactions coded G(1): a disposition of 182,159 shares at $0 and an acquisition of 182,159 shares at $0, reflecting a bona fide gift to the McCarter Living Trust. After the transactions, 0 shares are directly owned and 182,159 shares are held indirectly by the trust, where the reporting person and his spouse serve as trustees and beneficiaries. The form is signed by an attorney-in-fact on 09/10/2025.
Compass, Inc. reported a private equity offering under Form D raising $254,749,514 in aggregate proceeds through a Rule 506(b) exemption. The offering sold all announced securities with $0 remaining to be sold and involved 56 investors. The securities are equity and were issued as upfront consideration in connection with an acquisition. The issuer identifies its business as residential real estate and reports annual size in the category over $100 million. No sales commissions or finders' fees were paid and no proceeds were designated for executives, directors or promoters.
Compass, Inc. reported leadership changes in its top legal roles. The company appointed Ethan Glass as Chief Legal Officer and Corporate Secretary, effective September 8, 2025. Compass also disclosed that its current General Counsel, Brad Serwin, will transition out of his role effective December 31, 2025 to move into private practice, while remaining through year-end to support a smooth handover.
From January 1, 2026 until March 16, 2026, Mr. Serwin will provide consulting services to Compass. In connection with his departure, and in addition to severance benefits under his existing Change in Control and Severance Agreement, he will be allowed to exercise his stock options for four years following his departure, receive an extra six months of health benefits, and continue vesting of equity awards during the consulting period. The company also waived repayment obligations under his Amended and Restated Cash Bonus Agreement and expressed appreciation for his five years of service.