David Norton - Jan 1, 2022 Form 3 Insider Report for COMPASS Pathways plc (CMPS)

Role
Director
Signature
/s/ Daniel Maalo by Power of Attorney for David York Norton
Stock symbol
CMPS
Transactions as of
Jan 1, 2022
Transactions value $
$0
Form type
3
Date filed
1/3/2022, 03:18 PM
Previous filing
Aug 9, 2021
Next filing
Mar 31, 2022

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
holding CMPS Ordinary Shares 23.7K Jan 1, 2022 Direct F1, F2

Derivative Securities (e.g., puts, calls, warrants, options, convertible securities)

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Underlying Class Amount Exercise Price Ownership Footnotes
holding CMPS Share Option (Right to Buy) Jan 1, 2022 Ordinary Shares 99K $1.49 Direct F1, F3
holding CMPS Share Option (Right to Buy) Jan 1, 2022 Ordinary Shares 14.8K $2.54 Direct F1, F4
holding CMPS Share Option (Right to Buy) Jan 1, 2022 Ordinary Shares 21.6K $17.00 Direct F1, F5
holding CMPS Share Option (Right to Buy) Jan 1, 2022 Ordinary Shares 12K $29.87 Direct F1, F6
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 The Ordinary Shares may be represented by American Depositary Shares, each of which currently represents one Ordinary Share.
F2 Includes 23,740 Restricted Share Units ("RSUs") granted under the Issuer's 2020 Share Option and Incentive Plan. Each RSU represents a contingent right to receive one Ordinary Share. 25% of the RSUs vested on August 12, 2021, with the remainder vesting in twelve equal quarterly installments thereafter.
F3 This option is fully vested and exercisable as of the date hereof. The exercise price is GBP 1.09 and has been translated to USD in the table above at an exchange rate of GBP 1.00 to $1.3673 USD.
F4 This option is fully vested and exercisable as of the date hereof. The exercise price is GBP 1.86 and has been translated to USD in the table above at an exchange rate of GBP 1.00 to $1.3673 USD.
F5 25% of the shares underlying this option vested and became exercisable on September 18, 2021, with the remainder vesting in thirty-six equal monthly installments thereafter.
F6 25% of the shares underlying this option will vest and become exercisable on October 1, 2022, with the remainder vesting in thirty-six equal monthly installments thereafter.

Remarks:

Exhibit 24 - Power of Attorney