Gordon Carl L's Form 4 filing

Compass Therapeutics, Inc. (CMPX) · filed Nov 8, 2021

Accession no.: 0000947871-21-001151
Filed: Nov 8, 2021
Trade date: Nov 4, 2021
Filing delay: 4 days
Rule 10b5-1 plan: Not on the form (before 2023)

Original on SEC EDGAR (opens in a new tab)

This filing lists 2 non-derivative transactions. Open-market purchases total $18.8M. It was filed 4 days after the trade.

Reporting owners

A Form 4 can have several reporting owners, such as a person and a fund they control. Trade tables show the first one.

Reporting owners on this filing
Owner	Relationship to the company
Gordon Carl LCIK 0001282930	Director, 10% Owner

Non-derivative securities (Table I)

Acquisitions and disposals of common stock and similar shares, one row per line on the filing.

Non-derivative transactions
Trade date	Security	Transaction	Shares	Price	Value	Shares after	Ownership	Flags
Nov 4, 2021	Common Stock	PPurchaseAcquired	+1,785,715	$3.50^F1	+$6,250,002.5	14,500,119	Indirect
Nov 4, 2021	Common Stock	PPurchaseAcquired	+3,571,428	$3.50^F1	+$12,499,998	3,571,428	Indirect

Footnotes and remarks

Livermore keeps the footnotes that transaction prices refer to, all footnotes of amendments (Form 4/A) and the filing's remarks. Other footnotes, such as how indirect holdings are held or the details of a trading plan, are only in the original on SEC EDGAR.

These shares of the Issuer's common stock were purchased in the Issuer's underwritten public offering.

Referenced by the price of 2 transactions in Table I.

Read the full filing on SEC EDGAR (opens in a new tab)