Gordon Carl L's Form 4 filing
Compass Therapeutics, Inc. (CMPX) · filed May 13, 2022
- Accession no.
- 0000947871-22-000568
- Filed
- May 13, 2022
- Trade date
- May 11-13, 2022
- Filing delay
- 2 days
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 3 non-derivative transactions. Open-market purchases total $420.5K. It was filed 2 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.
| 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.
| Trade date | Security | Transaction | Shares | Price | Value | Shares after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| May 11, 2022 | Common Stock | PPurchaseAcquired | +64,700 | $1.79F1 | +$115,813 | 14,690,178 | Indirect | |
| May 12, 2022 | Common Stock | PPurchaseAcquired | +97,094 | $2.35F2 | +$228,170.9 | 14,787,272 | Indirect | |
| May 13, 2022 | Common Stock | PPurchaseAcquired | +30,722 | $2.49F3 | +$76,497.78 | 14,817,994 | 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.
- F1
These shares of the Issuer's common stock ("Shares") were purchased in multiple transactions at prices ranging from $1.79 to $1.80. The price reported reflects the weighted average purchase price. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of Shares purchased at each separate price within the ranges set forth in this footnote.
Referenced by the price of 1 transaction in Table I.
- F2
These Shares were purchased in multiple transactions at prices ranging from $2.22 to $2.46. The price reported reflects the weighted average purchase price. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of Shares purchased at each separate price within the ranges set forth in this footnote.
Referenced by the price of 1 transaction in Table I.
- F3
These Shares were purchased in multiple transactions at prices ranging from $2.46 to $2.54. The price reported reflects the weighted average purchase price. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of Shares purchased at each separate price within the ranges set forth in this footnote.
Referenced by the price of 1 transaction in Table I.