CMPX Документы SEC - Compass Therapeutics, Inc.- Годовой отчет, доверенное заявление, проспект эмиссии

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SEC Filings

All companies that sell securities in the United States must register with the Securities and Exchange Commission (SEC) and file reports on a regular basis. These reports include company annual reports (10K, 10Q), news updates (8K), investor presentations (found in 8Ks), insider trades (form 4), ownership reports (13D, and 13G), and reports related to the specific securities sold, such as registration statements and prospectus. This page shows recent SEC filings related to Compass Therapeutics, Inc.

SEC Filings (Chronological Order)

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August 13, 2025	424B5	33,290,000 Shares of Common Stock Pre-Funded Warrants to Purchase 6,710,000 Shares of Common Stock 424B5 Table of Contents Filed Pursuant to Rule 424(b)(5) Registration No. 333-281891 PROSPECTUS SUPPLEMENT (To Prospectus Dated September 6, 2024) 33,290,000 Shares of Common Stock Pre-Funded Warrants to Purchase 6,710,000 Shares of Common Stock We are offering 33,290,000 shares of our common stock and, in lieu of common stock to certain investors that so choose, pre-funded warrants to purchase 6,
August 13, 2025	EX-4.1	FORM OF PRE-FUNDED WARRANT TO PURCHASE COMMON STOCK EX-4.1 Exhibit 4.1 FORM OF PRE-FUNDED WARRANT TO PURCHASE COMMON STOCK Number of Shares: [ ] (subject to adjustment) Warrant No. Original Issue Date: [ ], 2025 COMPASS THERAPEUTICS, INC. Compass Therapeutics, Inc., a Delaware corporation (the “Company”), hereby certifies that, for good and valuable consideration, the receipt and sufficiency of which are hereby acknowledged, [ ] or its register
August 13, 2025	EX-99.2	Compass Therapeutics Announces Pricing of Upsized $120 Million Public Offering EX-99.2 Exhibit 99.2 Compass Therapeutics Announces Pricing of Upsized $120 Million Public Offering BOSTON, August 12, 2025 – Compass Therapeutics, Inc. (“Compass”) (Nasdaq: CMPX), a clinical-stage, oncology-focused biopharmaceutical company developing proprietary antibody-based therapeutics to treat multiple human diseases, today announced the pricing of an underwritten public offering of 33,290,
August 13, 2025	EX-1.1	33,290,000 Shares of Common Stock Pre-Funded Warrants to Purchase 6,710,000 Shares COMPASS THERAPEUTICS, INC. UNDERWRITING AGREEMENT EX-1.1 Exhibit 1.1 33,290,000 Shares of Common Stock and Pre-Funded Warrants to Purchase 6,710,000 Shares COMPASS THERAPEUTICS, INC. UNDERWRITING AGREEMENT August 12, 2025 JEFFERIES LLC PIPER SANDLER & CO. GUGGENHEIM SECURITIES, LLC As Representatives of the several Underwriters c/o JEFFERIES LLC 520 Madison Avenue New York, New York 10022 c/o PIPER SANDLER & CO. 350 North 5th Street, Suite 1000 M
August 13, 2025	EX-99.1	Compass Therapeutics Announces Proposed Public Offering EX-99.1 Exhibit 99.1 Compass Therapeutics Announces Proposed Public Offering BOSTON, August 12, 2025 – Compass Therapeutics, Inc. (“Compass”) (Nasdaq: CMPX), a clinical-stage, oncology-focused biopharmaceutical company developing proprietary antibody-based therapeutics to treat multiple human diseases, today announced the launch of an underwritten public offering of its common stock and, in lieu o
August 13, 2025	8-K	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 12, 2025 COMPASS THERAPEUT UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 12, 2025 COMPASS THERAPEUTICS, INC. (Exact name of registrant as specified in its charter) Delaware 001-39696 82-4876496 (State or Other Jurisdiction of Incorporation) (Commiss
August 12, 2025	424B5	SUBJECT TO COMPLETION, DATED AUGUST 12, 2025 424B5 Table of Contents Filed Pursuant to Rule 424(b)(5) Registration No. 333-281891 The information in this preliminary prospectus supplement is not complete and may be changed. A registration statement relating to these securities has been filed with the Securities and Exchange Commission and is effective. This preliminary prospectus supplement and the accompanying prospectus are not an offer to
August 11, 2025	EX-99.1	Compass Therapeutics Reports 2025 Second Quarter Financial Results and Provides Corporate Update EXHIBIT 99.1 Compass Therapeutics Reports 2025 Second Quarter Financial Results and Provides Corporate Update In the ongoing Phase 2/3 study of tovecimig (DLL4 x VEGF-A bispecific antibody) in patients with advanced biliary tract cancer, fewer deaths have been observed than originally projected. We believe this may suggest that tovecimig could be affecting overall survival in the patient populatio
August 11, 2025	10-Q	UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2025 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-39696 COMPASS THERAPEUTICS, INC.
August 11, 2025	8-K	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 11, 2025 Compass Therapeut UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 11, 2025 Compass Therapeutics, Inc. (Exact name of registrant as specified in its charter) Delaware 001-39696 82-4876496 (State or Other Jurisdiction of Incorporation) (Commiss
August 11, 2025	EX-99.2	This presentation has been prepared by Compass Therapeutics, Inc . ("we," "us," "our," or the “Company”) . Statements contained herein are made as of the date of this presentation unless stated otherwise, and this presentation shall not under any cir Exhibit 99.2 This presentation has been prepared by Compass Therapeutics, Inc . ("we," "us," "our," or the “Company”) . Statements contained herein are made as of the date of this presentation unless stated otherwise, and this presentation shall not under any circumstances create an implication that the information contained herein is correct as of any time after such date or that information will
August 11, 2025	EX-99.3	Corporate Presentation Nasdaq: CMPX August 2025 This presentation has been prepared by Compass Therapeutics, Inc . ("we," "us," "our," or the “Company”) . Statements contained herein are made as of the date of this presentation unless stated otherwis Exhibit 99.3 Corporate Presentation Nasdaq: CMPX August 2025 This presentation has been prepared by Compass Therapeutics, Inc . ("we," "us," "our," or the “Company”) . Statements contained herein are made as of the date of this presentation unless stated otherwise, and this presentation shall not under any circumstances create an implication that the information contained herein is correct as of a
June 12, 2025	8-K	Submission of Matters to a Vote of Security Holders UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): June 11, 2025 COMPASS THERAPEUTICS, INC. (Exact name of registrant as specified in its charter) Delaware 001-39696 82-4876496 (State or Other Jurisdiction of Incorporation) (Commissio
May 8, 2025	8-K	Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 8, 2025 Compass Therapeutics, Inc. (Exact name of registrant as specified in its charter) Delaware 001-39696 82-4876496 (State or Other Jurisdiction of Incorporation) (Commission
May 8, 2025	EX-99.1	Compass Therapeutics Reports 2025 First Quarter Financial Results and Provides Corporate Update EXHIBIT 99.1 Compass Therapeutics Reports 2025 First Quarter Financial Results and Provides Corporate Update Tovecimig (DLL4 x VEGF-A bispecific antibody) met the primary endpoint in the ongoing randomized Phase 2/3 Study in patients with biliary tract cancer (BTC). Achieved a 17.1% overall response rate (ORR), including one complete response, compared to a 5.3% ORR for paclitaxel alone, in patien
May 8, 2025	10-Q	UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2025 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-39696 COMPASS THERAPEUTICS, INC.
April 29, 2025	DEF 14A	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☒ Filed by a party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☒ Definitive Proxy Stat
April 29, 2025	DEFA14A	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☒ Filed by a party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☐ Definitive Proxy Stat
April 1, 2025	8-K	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): April 1, 2025 Compass Therapeutic UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): April 1, 2025 Compass Therapeutics, Inc. (Exact name of registrant as specified in its charter) Delaware 001-39696 82-4876496 (State or Other Jurisdiction of Incorporation) (Commissio
April 1, 2025	EX-99.2	COMPANION - 002 Data Disclosure Presentation Nasdaq: CMPX April 1, 2025 This presentation has been prepared by Compass Therapeutics, Inc . ("we," "us," "our," or the “Company”) . Statements contained herein are made as of the date of this presentatio Exhibit 99.2 COMPANION - 002 Data Disclosure Presentation Nasdaq: CMPX April 1, 2025 This presentation has been prepared by Compass Therapeutics, Inc . ("we," "us," "our," or the “Company”) . Statements contained herein are made as of the date of this presentation unless stated otherwise, and this presentation shall not under any circumstances create an implication that the information contained h
April 1, 2025	EX-99.1	Tovecimig (CTX-009) Meets Primary Endpoint in the Ongoing Randomized Phase 2/3 Study in Patients with Biliary Tract Cancer EXHIBIT 99.1 Tovecimig (CTX-009) Meets Primary Endpoint in the Ongoing Randomized Phase 2/3 Study in Patients with Biliary Tract Cancer Tovecimig (a DLL4 x VEGF-A bispecific antibody) in combination with paclitaxel achieved a 17.1% overall response rate (ORR), including one complete response, compared to 5.3% ORR for paclitaxel alone, in patients with biliary tract cancer (BTC) treated in the seco
March 27, 2025	EX-FILING FEES	Filing Fee Table EX-FILING FEES Exhibit 107 CALCULATION OF REGISTRATION FEE Form S-8 (Form Type) Compass Therapeutics, Inc.
March 27, 2025	S-8	As filed with the Securities and Exchange Commission on March 26, 2025 As filed with the Securities and Exchange Commission on March 26, 2025 Registration No.
February 27, 2025	EX-19.1	Insider Trading Compliance Policy Exhibit 19.1 COMPASS THERAPEUTICS, INC. INSIDER TRADING COMPLIANCE POLICY Compass Therapeutics, Inc., a Delaware corporation (“Compass” or the “Company”) prohibits: ● insider trading in the Company’s securities (“Securities”)1; and ● the unauthorized disclosure of confidential information that might enable others to engage in insider trading in the Securities. Compass adopted this Insider Trading
February 27, 2025	10-K	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K (Mark One) ☒ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2024 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR THE TRANSITION PERIOD FROM TO Commission File Number 000-55939 Compass Therape
February 27, 2025	8-K	Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): February 27, 2025 Compass Therapeutics, Inc. (Exact name of registrant as specified in its charter) Delaware 001-39696 82-4876496 (State or Other Jurisdiction of Incorporation) (Commi
February 27, 2025	EX-99.1	Compass Therapeutics Reports 2024 Financial Results and Provides Corporate Update EXHIBIT 99.1 Compass Therapeutics Reports 2024 Financial Results and Provides Corporate Update Top-line Phase 2/3 data readout for COMPANION-002, evaluating tovecimig (CTX-009 - a DLL4 x VEGF-A bispecific antibody) in patients with biliary tract cancer (BTC), is on track for the end of the first quarter 2025. Supported initiation of an Investigator Sponsored Study (IST) evaluating tovecimig in pat
January 16, 2025	EX-99.1	JOINT FILING AGREEMENT Exhibit 99.1 JOINT FILING AGREEMENT In accordance with Rule 13d-1(k)(1) promulgated under the Securities Exchange Act of 1934, the undersigned agree to the joint filing of a Statement on Schedule 13G (including any and all amendments thereto) with respect to the Common Stock, $0.0001 par value per share, of Compass Therapeutics, Inc. and further agree to the filing of this agreement as an exhibit
January 8, 2025	EX-99.1	Compass Therapeutics Provides Corporate Update and Announces Advancement of a New Drug Candidate EXHIBIT 99.1 Compass Therapeutics Provides Corporate Update and Announces Advancement of a New Drug Candidate Top-line Phase 2/3 data readout for CTX-009, now named tovecimig (a DLL4 x VEGF-A bispecific), in patients with biliary tract cancer (BTC) is on track for end of Q1 2025. CTX-10726 (a novel PD-1 x VEGF-A bispecific) is advancing as a new drug candidate after a year of preclinical developme
January 8, 2025	8-K	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): January 8, 2025 Compass Therapeut UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): January 8, 2025 Compass Therapeutics, Inc. (Exact name of registrant as specified in its charter) Delaware 001-39696 82-4876496 (State or Other Jurisdiction of Incorporation) (Commiss
December 10, 2024	8-K	Regulation FD Disclosure, Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): December 9, 2024 Compass Therapeutics, Inc. (Exact name of registrant as specified in its charter) Delaware 001-39696 82-4876496 (State or Other Jurisdiction of Incorporation) (Commis
December 10, 2024	EX-99.1	Compass Therapeutics Appoints Biopharmaceutical Industry Leader Barry Shin as Chief Financial Officer EXHIBIT 99.1 Compass Therapeutics Appoints Biopharmaceutical Industry Leader Barry Shin as Chief Financial Officer BOSTON, Dec. 10, 2024 (GLOBE NEWSWIRE) - Compass Therapeutics, Inc. (Nasdaq: CMPX), a clinical-stage, oncology-focused biopharmaceutical company developing proprietary antibody-based therapeutics to treat multiple human diseases, today announced the appointment of Barry Shin as Chief
December 10, 2024	EX-10.1	Employment Agreement between Compass Therapeutics, Inc. and Barry Shin, dated December 9, 2024 (incorporated by reference to Exhibit 10.1 to the Current Report on Form 8-K filed with the SEC on December 10, 2024) Exhibit 10.1 COMPASS THERAPEUTICS, INC. EMPLOYMENT AGREEMENT This Employment Agreement (“Agreement”), dated as of December 9, 2024, is made between Compass Therapeutics, Inc., a Delaware corporation (including all wholly owned subsidiaries of Compass Therapeutics, Inc., the “Company”), and Barry Shin (the “Executive”). Except with respect to the Restrictive Covenants Agreement and the Equity Docum
November 12, 2024	EX-99.1	Compass Therapeutics Reports 2024 Third Quarter Financial Results and Provides Corporate Update EXHIBIT 99.1 Compass Therapeutics Reports 2024 Third Quarter Financial Results and Provides Corporate Update Fully enrolled the Phase 2/3 trial of lead asset CTX-009 (DLL4 and VEGF-A bispecific antibody) in patients with biliary tract cancers (BTC); top-line data readout is on track for the end of the first quarter of 2025. Designing a Phase 2 trial of CTX-009 in combination with chemotherapy in p
November 12, 2024	8-K	Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 12, 2024 Compass Therapeutics, Inc. (Exact name of registrant as specified in its charter) Delaware 001-39696 82-4876496 (State or Other Jurisdiction of Incorporation) (Commi
November 12, 2024	EX-10.13	Lease Agreement, effective as of September 27, 2024, by and between Ice Box, LLC and Compass Therapeutics, Inc. Exhibit 10.13 LEASE BETWEEN COMPASS THERAPEUTICS, INC., AS TENANT AND ICE BOX, LLC, AS LANDLORD 80 Guest Street, Brighton, MA TABLE OF CONTENTS PAGE ARTICLE 1 BASIC DATA; DEFINITIONS 1 1.1 Basic Data 1 1.2 Additional Definitions 4 1.3 Enumeration of Exhibits 7 ARTICLE 2 PREMISES AND APPURTENANT RIGHTS 8 2.1 Lease of Premises 8 2.2 Appurtenant Rights and Reservations 8 2.3 Parking 10 2.4 Shuttle Se
November 12, 2024	10-Q	UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2024 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-39696 COMPASS THERAPEUTICS, INC.
September 4, 2024	CORRESP	COMPASS THERAPEUTICS, INC. 80 Guest Street Suite 601 Boston, Massachusetts 02135 COMPASS THERAPEUTICS, INC. 80 Guest Street Suite 601 Boston, Massachusetts 02135 September 4, 2024 Via EDGAR Transmission United States Securities and Exchange Commission Division of Corporation Finance 100 F Street, N.E. Washington, D.C. 20549 Re: Compass Therapeutics, Inc.: Registration Statement on Form S-3 filed August 30, 2024 (File No. 333-281891) Ladies and Gentlemen: Pursuant to Rule 461 u
August 30, 2024	EX-1.3	Amendment No. 1 to the Open Market Sale AgreementSM , dated August 30, 2024, by and between Compass Therapeutics, Inc. and Jefferies LLC Exhibit 1.3 AMENDMENT NO. 1 TO THE OPEN MARKET SALE AGREEMENTSM August 30, 2024 JEFFERIES LLC 520 Madison Avenue New York, New York 10022 Ladies and Gentlemen: This Amendment No. 1 to the Open Market Sale AgreementSM (this “Amendment”) is entered into as of the date first written above by Compass Therapeutics, Inc., a Delaware corporation (the “Company”), and Jefferies LLC (the “Agent”), who are p
August 30, 2024	EX-4.3	Form of Indenture EX-4.3 Exhibit 4.3 COMPASS THERAPEUTICS, INC. Issuer AND [TRUSTEE], Trustee INDENTURE Dated as of [•], 20 Debt Securities TABLE OF CONTENTS Page ARTICLE 1 DEFINITIONS 1 Section 1.01 Definitions of Terms 1 ARTICLE 2 ISSUE, DESCRIPTION, TERMS, EXECUTION, REGISTRATION AND EXCHANGE OF SECURITIES 4 Section 2.01 Designation and Terms of Securities 4 Section 2.02 Form of Securities and Trustee’s Certific
August 30, 2024	S-3	As filed with the Securities and Exchange Commission on August 30, 2024. Table of Contents As filed with the Securities and Exchange Commission on August 30, 2024.
August 30, 2024	EX-FILING FEES	Filing Fee Table Exhibit 107 Calculation of Filing Fee Tables Form S-3 (Form Type) Compass Therapeutics, Inc.
August 12, 2024	10-Q	UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2024 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-39696 COMPASS THERAPEUTICS, INC.
August 12, 2024	EX-99.1	Compass Therapeutics Reports 2024 Second Quarter Financial Results and Provides Corporate Update EXHIBIT 99.1 Compass Therapeutics Reports 2024 Second Quarter Financial Results and Provides Corporate Update Completed enrollment of the 150 patients in the COMPANION-002 Study, a Phase 2/3 trial of CTX-009 (DLL4 and VEGF-A bispecific antibody) plus paclitaxel versus paclitaxel monotherapy in patients with previously treated, unresectable advanced metastatic or recurrent biliary tract cancers (BT
August 12, 2024	8-K	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 12, 2024 Compass Therapeut UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 12, 2024 Compass Therapeutics, Inc. (Exact name of registrant as specified in its charter) Delaware 001-39696 82-4876496 (State or Other Jurisdiction of Incorporation) (Commiss
August 2, 2024	EX-99.1	JOINT FILING AGREEMENT EX-99.1 2 d854024dex991.htm EX-99.1 Exhibit 99.1 JOINT FILING AGREEMENT Pursuant to and in accordance with the Securities Exchange Act of 1934, as amended (the “Exchange Act”), and the rules and regulations thereunder, the undersigned hereby agree to the joint filing on behalf of each of them of any filing required by such party under Section 13 of the Exchange Act or any rule or regulation thereu
August 2, 2024	SC 13G	CMPX / Compass Therapeutics, Inc. / Blackstone Holdings II L.P. - SC 13G Passive Investment SC 13G 1 d854024dsc13g.htm SC 13G UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. )* Compass Therapeutics, Inc. (Name of Issuer) Common Stock, $0.0001 par value per share (Title of Class of Securities) 20454B104 (CUSIP Number) July 23, 2024 (Date of Event which Requires Filing of this Statement) Check the a
June 17, 2024	8-K	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): June 13, 2024 COMPASS THERAPEUTIC UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): June 13, 2024 COMPASS THERAPEUTICS, INC. (Exact name of registrant as specified in its charter) Delaware 001-39696 82-4876496 (State or Other Jurisdiction of Incorporation) (Commissio
May 29, 2024	DEFA14A	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☒ Filed by a party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☐ Definitive Proxy Stat
May 28, 2024	8-K	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 28, 2024 Compass Therapeutics UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 28, 2024 Compass Therapeutics, Inc. (Exact name of registrant as specified in its charter) Delaware 001-39696 82-4876496 (State or Other Jurisdiction of Incorporation) (Commission
May 28, 2024	EX-10.2	Consulting Agreement, dated May 28, 2024, by and between Compass Therapeutics, Inc. and Vered Bisker-Leib, PhD EdgarFiling Exhibit 10.2 CONSULTING AGREEMENT THIS AGREEMENT is between Vered Bisker-Leib (“Consultant”) and Compass Therapeutics, Inc. (the “Company”) (each a “Party” and collectively the “Parties”). This Agreement is made and entered into effective as of (and, as applicable, retroactive to) the “Employment Separation Date” of the Separation Agreement to which this Consulting Agreement is attache
May 28, 2024	EX-10.1	Separation Agreement, dated May 28, 2024, by and between Compass Therapeutics, Inc. and Vered Bisker-Leib, PhD EdgarFiling Exhibit 10.1 May 28, 2024 PERSONAL AND CONFIDENTIAL Vered Bisker-Leib Re: Separation Agreement Dear Vered: As we have discussed, this letter confirms your separation from employment with Compass Therapeutics, Inc. (the “Company”), and your resignation from your Board and officer positions with the Company, effective on May 28, 2024 (the “Employment Separation Date”). The Company greatl
May 28, 2024	EX-99.1	Compass Therapeutics Announces CEO Transition EXHIBIT 99.1 Compass Therapeutics Announces CEO Transition BOSTON, May 28, 2024 (GLOBE NEWSWIRE) - Compass Therapeutics, Inc. (Nasdaq: CMPX), a clinical-stage, oncology-focused biopharmaceutical company developing proprietary antibody-based therapeutics to treat multiple human diseases, today announced that its Board of Directors has appointed Thomas Schuetz, M.D., Ph.D., President of Research and
May 13, 2024	EX-99.1	Compass Therapeutics Reports 2024 First Quarter Financial Results and Provides Corporate Update EXHIBIT 99.1 Compass Therapeutics Reports 2024 First Quarter Financial Results and Provides Corporate Update Received FDA Fast Track Designation for the investigation of CTX-009 in combination with paclitaxel for the treatment of patients with metastatic or locally advanced biliary tract tumors. Enrollment is progressing well in COMPANION-002, a Phase 2/3 randomized study of CTX-009 (DLL4 x VEGF-A
May 13, 2024	10-Q	UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2024 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-39696 COMPASS THERAPEUTICS, INC.
May 13, 2024	8-K	Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 13, 2024 Compass Therapeutics, Inc. (Exact name of registrant as specified in its charter) Delaware 001-39696 82-4876496 (State or Other Jurisdiction of Incorporation) (Commission
April 29, 2024	DEF 14A	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 TABLE OF CONTENTS UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☒ Filed by a party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☒ D
April 29, 2024	DEFA14A	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☒ Filed by a party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☐ Definitive Proxy Stat
April 25, 2024	8-K	Regulation FD Disclosure, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): April 25, 2024 Compass Therapeutics, Inc. (Exact name of registrant as specified in its charter) Delaware 001-39696 82-4876496 (State or Other Jurisdiction of Incorporation) (Commissi
April 25, 2024	EX-99.1	Compass Therapeutics Receives FDA Fast Track Designation for the Investigation of CTX-009 in Combination with Paclitaxel for the Treatment of Patients with Metastatic or Locally Advanced Biliary Tract Tumors That Have Been Previously Treated EXHIBIT 99.1 Compass Therapeutics Receives FDA Fast Track Designation for the Investigation of CTX-009 in Combination with Paclitaxel for the Treatment of Patients with Metastatic or Locally Advanced Biliary Tract Tumors That Have Been Previously Treated CTX-009, the Company’s bispecific DLL4/VEGF-A antibody, in combination with paclitaxel, has shown promising clinical responses in patients with a
March 22, 2024	EX-99.1	JOINT FILING AGREEMENT EX-99.1 2 ss3178815ex9901.htm JOINT FILING AGREEMENT Exhibit 1 JOINT FILING AGREEMENT The undersigned hereby agree that Amendment No. 4 to the Statement on Schedule 13D, dated March 21, 2024, with respect to the common stock, par value $0.0001 per share, of Compass Therapeutics, Inc. is filed on behalf of each of us pursuant to and in accordance with the provisions of Rule 13d-1(k) under the Secur
March 22, 2024	SC 13D/A	CMPX / Compass Therapeutics, Inc. / ORBIMED ADVISORS LLC - AMENDMENT NO. 4 Activist Investment SC 13D/A 1 ss3178815sc13da.htm AMENDMENT NO. 4 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 4) Compass Therapeutics, Inc. (Name of Issuer) COMMON STOCK (Title of Class of Securities) 20454B104 (CUSIP Number) OrbiMed Advisors LLC OrbiMed Capital GP V LLC OrbiMed Genesis GP LLC OrbiMed Capital LLC 601 Le
March 21, 2024	EX-10.11	Employment Agreement between Compass Therapeutics, Inc. and Vered Bisker-Leib, Ph.D., M.B.A., dated January 8, 2024 Exhibit 10.11 COMPASS THERAPEUTICS, INC. EMPLOYMENT AGREEMENT This Employment Agreement (“Agreement”), dated as of January 8, 2024, is made between Compass Therapeutics, Inc., a Delaware corporation (including all wholly-owned subsidiaries of Compass Therapeutics, Inc., the “Company”), and Vered Bisker-Leib (the “Executive”). Except with respect to the Restrictive Covenants Agreement and the Equit
March 21, 2024	10-K	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K (Mark One) ☒ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2023 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR THE TRANSITION PERIOD FROM TO Commission File Number 000-55939 Compass Therape
March 21, 2024	EX-99.1	Compass Therapeutics Reports 2023 Financial Results and Provides Corporate Update EXHIBIT 99.1 Compass Therapeutics Reports 2023 Financial Results and Provides Corporate Update Enrollment in COMPANION-002, the Phase 2/3 randomized study of CTX-009 (DLL4 x VEGF-A bispecific antibody) in patients with advanced biliary tract cancer (BTC), continues to progress well; top-line data from this study are expected by the end of 2024. Enrollment in COMPANION-003, the Phase 2 study of CTX
March 21, 2024	8-K	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): March 21, 2024 Compass Therapeuti UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): March 21, 2024 Compass Therapeutics, Inc. (Exact name of registrant as specified in its charter) Delaware 001-39696 82-4876496 (State or Other Jurisdiction of Incorporation) (Commissi
March 21, 2024	EX-10.10	Employment Agreement between Compass Therapeutics, Inc. and Thomas J. Schuetz, M.D., Ph.D., dated January 8, 2024 Exhibit 10.10 COMPASS THERAPEUTICS, INC. EMPLOYMENT AGREEMENT This Employment Agreement (“Agreement”), dated as of January 8, 2024, is made between Compass Therapeutics, Inc., a Delaware corporation (including all wholly-owned subsidiaries of Compass Therapeutics, Inc., the “Company”), and Thomas J. Schuetz (the “Executive”). Except with respect to the Restrictive Covenants Agreement and the Equit
March 21, 2024	EX-97.1	Registrant’s Compensation Clawback Policy Exhibit 97.1 COMPASS THERAPEUTICS, INC. COMPENSATION RECOVERY POLICY Compass Therapeutics, Inc. a Delaware corporation (“Compass” or the “Company”) has adopted this Compensation Recovery Policy (this “Policy”) as described below. 1. Overview The Policy sets forth the circumstances and procedures under which the Compass will recover Erroneously Awarded Compensation (as defined herein) from current
February 7, 2024	SC 13G/A	CMPX / Compass Therapeutics, Inc. / ADAGE CAPITAL PARTNERS GP, L.L.C. - COMPASS THERAPEUTICS, INC. Passive Investment SC 13G/A 1 p24-0377sc13ga.htm COMPASS THERAPEUTICS, INC. SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G/A Under the Securities Exchange Act of 1934 (Amendment No. 1)* Compass Therapeutics, Inc. (Name of Issuer) Common Stock, par value $0.0001 per share (Title of Class of Securities) 20454B104 (CUSIP Number) December 31, 2023 (Date of Event Which Requires Filing of This Stat
January 9, 2024	8-K	UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): January 8, 2024 COMPASS THERAPEUT UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): January 8, 2024 COMPASS THERAPEUTICS, INC. (Exact name of Registrant as Specified in Its Charter) Delaware 001-39696 82-4876496 (State or Other Jurisdiction of Incorporation) (Commiss
January 5, 2024	8-K	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): January 5, 2024 Compass Therapeut UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): January 5, 2024 Compass Therapeutics, Inc. (Exact name of registrant as specified in its charter) Delaware 001-39696 82-4876496 (State or Other Jurisdiction of Incorporation) (Commiss
January 5, 2024	EX-99.1	Compass Therapeutics Provides Corporate Update EXHIBIT 99.1 Compass Therapeutics Provides Corporate Update We continue to open clinical sites and enroll patients in COMPANION-002, the Phase 2/3 randomized study of CTX-009 (DLL4 x VEGF-A bispecific antibody) in patients with advanced biliary tract cancer (BTC). Consistent with prior guidance, top line data from this study continue to be expected in the second half of 2024. Enrollment of patient
November 27, 2023	SC 13G	CMPX / Compass Therapeutics Inc / ADAGE CAPITAL PARTNERS GP, L.L.C. - COMPASS THERAPEUTICS, INC. Passive Investment SC 13G 1 p23-2863sc13g.htm COMPASS THERAPEUTICS, INC. SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. )* Compass Therapeutics, Inc. (Name of Issuer) Common Stock, par value $0.0001 per share (Title of Class of Securities) 20454B104 (CUSIP Number) November 16, 2023 (Date of Event Which Requires Filing of This Statement)
November 9, 2023	8-K	Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 9, 2023 Compass Therapeutics, Inc. (Exact name of registrant as specified in its charter) Delaware 001-39696 82-4876496 (State or Other Jurisdiction of Incorporation) (Commis
November 9, 2023	EX-99.1	Compass Therapeutics Reports Third Quarter 2023 Financial Results and Provides Corporate Update EXHIBIT 99.1 Compass Therapeutics Reports Third Quarter 2023 Financial Results and Provides Corporate Update Opened 29 clinical sites and continue to enroll patients in COMPANION-002, a U.S. Phase 2/3 study of CTX-009 in combination with Paclitaxel in patients with advanced biliary tract cancers (BTC); top line data from this study is expected in the second half of 2024 Continue to enroll and foll
November 9, 2023	10-Q	UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2023 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-39696 COMPASS THERAPEUTICS, INC.
August 3, 2023	EX-99.1	Compass Therapeutics Reports Second Quarter 2023 Financial Results and Provides Corporate Update EXHIBIT 99.1 Compass Therapeutics Reports Second Quarter 2023 Financial Results and Provides Corporate Update Continuing to enroll patients in a U.S. Phase 2 study of CTX-009 (DLL4 /VEGF-A bispecific antibody) in patients with advanced colorectal cancer (CRC); initial data from this study is expected in the second half of 2023 Opened 20 clinical sites and continues to enroll patients in a U.S. Pha
August 3, 2023	10-Q	UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2023 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-39696 COMPASS THERAPEUTICS, INC.
August 3, 2023	8-K	Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 3, 2023 Compass Therapeutics, Inc. (Exact name of registrant as specified in its charter) Delaware 001-39696 82-4876496 (State or Other Jurisdiction of Incorporation) (Commissi
June 15, 2023	8-K	Submission of Matters to a Vote of Security Holders UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): June 15, 2023 COMPASS THERAPEUTICS, INC. (Exact name of registrant as specified in its charter) Delaware 001-39696 82-4876496 (State or Other Jurisdiction of Incorporation) (Commissio
May 4, 2023	EX-99.1	Compass Therapeutics Reports First Quarter Financial Results and Provides Corporate Update EXHIBIT 99.1 Compass Therapeutics Reports First Quarter Financial Results and Provides Corporate Update Initiated patient enrollment in a U.S. Phase 2/3 study of CTX-009 (DLL4 /VEGF-A bispecific antibody) in patients with advanced biliary tract cancers (BTC). Top line data is expected in the first half of 2024 Continue to enroll in a U.S. Phase 2 study of CTX-009 in patients with advanced colorect
May 4, 2023	10-Q	UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2023 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-39696 COMPASS THERAPEUTICS, INC.
May 4, 2023	8-K	Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 4, 2023 Compass Therapeutics, Inc. (Exact name of registrant as specified in its charter) Delaware 001-39696 82-4876496 (State or Other Jurisdiction of Incorporation) (Commission
April 27, 2023	DEF 14A	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 TABLE OF CONTENTS UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☒ Filed by a party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☒ D
April 27, 2023	DEFA14A	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☒ Filed by a party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☐ Definitive Proxy St
April 24, 2023	8-K	UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): April 21, 2023 COMPASS THERAPEUTICS, INC. (Exact name of Registrant as Specified in Its Charter) Delaware 001-39696 82-4876496 (State or Other Jurisdiction of Incorporation) (Commissi
March 15, 2023	10-K	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K (Mark One) ☒ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2022 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR THE TRANSITION PERIOD FROM TO Commission File Number 000-55939 Compass Therape
March 10, 2023	8-K	UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): March 10, 2023 COMPASS THERAPEUTICS, INC. (Exact name of Registrant as Specified in Its Charter) Delaware 001-39696 82-4876496 (State or Other Jurisdiction of Incorporation) (Commissi
February 24, 2023	8-K	UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): February 20, 2023 COMPASS THERAPE UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): February 20, 2023 COMPASS THERAPEUTICS, INC. (Exact name of Registrant as Specified in Its Charter) Delaware 001-39696 82-4876496 (State or Other Jurisdiction of Incorporation) Commis
February 14, 2023	SC 13G/A	US20454B1044 / COMPASS THERAPEUTICS INC / Rock Springs Capital Management LP Passive Investment SC 13G/A 1 rocksprings-cmpx123122a2.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 Schedule 13G/A Under the Securities Exchange Act of 1934 (Amendment No. 2)* Compass Therapeutics, Inc. (Name of Issuer) Common Stock, par value $0.0001 per share (Title of Class of Securities) 20454B104 (CUSIP Number) December 31, 2022 (Date of Event Which Requires Filing of this Statement
February 13, 2023	SC 13G/A	US20454B1044 / COMPASS THERAPEUTICS INC / Foresite Capital Fund V, L.P. - SC 13G/A Passive Investment SC 13G/A 1 tm236260d2sc13ga.htm SC 13G/A SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Schedule 13G (Rule 13d-102) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULES 13d-1 (b), (c) AND (d) AND AMENDMENTS THERETO FILED PURSUANT TO 13d-2 (b) (Amendment No. 1)* Compass Therapeutics, Inc. (Name of Issuer) Common Stock, par value $0.0001 (Title of Class of Securities) 20454B10
February 10, 2023	8-K	Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): February 8, 2023 COMPASS THERAPEUTICS, INC. (Exact name of Registrant as Specified in Its Charter) Delaware 001-39696 82-4876496 (State or Other Jurisdiction of Incorporation) (Commis
January 24, 2023	424B3	25,000,000 Shares of Common Stock Filed Pursuant to Rule 424(b)(3) File No. 333-268652 PROSPECTUS 25,000,000 Shares of Common Stock This prospectus relates to the offering and resale by the selling stockholders identified herein (the “selling stockholders”) of up to 25,000,000 shares of common stock, par value $0.0001 per share, of Compass Therapeutics, Inc., privately issued to the selling stockholders on November 4, 2022 in conn
January 19, 2023	EX-99.1	Compass Therapeutics Announces that the Phase 2 Data of CTX-009 in Combination with Paclitaxel in Patients with Biliary Tract Cancers (BTC) will be Presented at the ASCO GI Cancers Symposium on January 20, 2023 Compass to Host Investor Event on Monda EX-99.1 2 exh991.htm PRESS RELEASE EXHIBIT 99.1 Compass Therapeutics Announces that the Phase 2 Data of CTX-009 in Combination with Paclitaxel in Patients with Biliary Tract Cancers (BTC) will be Presented at the ASCO GI Cancers Symposium on January 20, 2023 Compass to Host Investor Event on Monday, January 23rd at 8:30am ET CTX-009 in combination with paclitaxel demonstrated a 37.5% overall respo
January 19, 2023	8-K	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): January 19, 2023 Compass Therapeu UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): January 19, 2023 Compass Therapeutics, Inc. (Exact name of registrant as specified in its charter) Delaware 001-39696 82-4876496 (State or Other Jurisdiction of Incorporation) (Commis
January 19, 2023	CORRESP	COMPASS THERAPEUTICS, INC. 80 Guest Street Suite 601 Boston, Massachusetts 02135 CORRESP 1 filename1.htm COMPASS THERAPEUTICS, INC. 80 Guest Street Suite 601 Boston, Massachusetts 02135 January 19, 2023 Via EDGAR Transmission United States Securities and Exchange Commission Division of Corporation Finance 100 F Street, N.E. Washington, D.C. 20549 Re: Compass Therapeutics, Inc.: Registration Statement on Form S-3 filed December 2, 2022 (File No. 333-268652) Ladies and Gentlemen
January 17, 2023	CORRESP	COMPASS THERAPEUTICS, INC. 80 Guest Street Suite 601 Boston, Massachusetts 02135 CORRESP 1 filename1.htm COMPASS THERAPEUTICS, INC. 80 Guest Street Suite 601 Boston, Massachusetts 02135 January 17, 2023 Via EDGAR Transmission United States Securities and Exchange Commission Division of Corporation Finance 100 F Street, N.E. Washington, D.C. 20549 Attn: Re: Withdrawal of Acceleration Request—Compass Therapeutics, Inc.: Registration Statement on Form S-3 filed December 2, 2022 (
January 13, 2023	CORRESP	COMPASS THERAPEUTICS, INC. 80 Guest Street Suite 601 Boston, Massachusetts 02135 CORRESP 1 filename1.htm COMPASS THERAPEUTICS, INC. 80 Guest Street Suite 601 Boston, Massachusetts 02135 January 13, 2023 Via EDGAR Transmission United States Securities and Exchange Commission Division of Corporation Finance 100 F Street, N.E. Washington, D.C. 20549 Re: Compass Therapeutics, Inc.: Registration Statement on Form S-3 filed December 2, 2022 (File No. 333-268652) Ladies and Gentlemen
December 2, 2022	S-3	As filed with the Securities and Exchange Commission on December 2, 2022. Table of Contents As filed with the Securities and Exchange Commission on December 2, 2022.
December 2, 2022	EX-FILING FEES	Filing Fee Table Exhibit 107 Calculation of Filing Fee Table S-3 (Form Type) Compass Therapeutics, Inc.
November 29, 2022	8-K	Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 29, 2022 COMPASS THERAPEUTICS, INC. (Exact name of Registrant as Specified in Its Charter) Delaware 001-39696 82-4876496 (State or Other Jurisdiction of Incorporation) (Commi
November 14, 2022	SC 13D	US20454B1044 / COMPASS THERAPEUTICS INC / Commander Aggregator, LP - SC 13D Activist Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 SCHEDULE 13D UNDER THE SECURITIES EXCHANGE ACT OF 1934 (Amendment No.
November 14, 2022	EX-99.1	JOINT FILING AGREEMENT Exhibit 99.1 JOINT FILING AGREEMENT The undersigned hereby agree that a single Schedule 13D (and any amendment thereto) relating to the Common Stock of Compass Therapeutics, Inc. shall be filed on behalf of each of the undersigned and that this Agreement shall be filed as an exhibit to such Schedule 13D. Commander Aggregator, LP By: /s/ James P. Boylan Name: James P. Boylan Title: Chief Executive
November 10, 2022	EX-99.1	JOINT FILING AGREEMENT Exhibit 1 JOINT FILING AGREEMENT The undersigned hereby agree that the Statement on Schedule 13D, dated November 8, 2022, with respect to the common stock, par value $0.
November 10, 2022	SC 13D/A	US20454B1044 / COMPASS THERAPEUTICS INC / ORBIMED ADVISORS LLC - AMENDMENT NO. 3 Activist Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 3) Compass Therapeutics, Inc. (Name of Issuer) COMMON STOCK (Title of Class of Securities) 20454B104 (CUSIP Number) OrbiMed Advisors LLC OrbiMed Capital GP V LLC OrbiMed Genesis GP LLC OrbiMed Capital LLC 601 Lexington Avenue, 54th Floor New York, NY 10022 T
November 9, 2022	EX-10.2	Securities Purchase Agreement dated November 2, 2022. Exhibit 10.2 EXECUTION VERSION SECURITIES PURCHASE AGREEMENT This SECURITIES PURCHASE AGREEMENT (this ?Agreement?) is made and entered into as of November 2, 2022 by and among Compass Therapeutics, Inc., a Delaware corporation (the ?Company?), and the Investors identified on Exhibit A attached hereto (each an ?Investor? and collectively the ?Investors?). RECITALS WHEREAS, the Company and the Inves
November 9, 2022	EX-10.1	Registration Rights Agreement dated November 2, 2022. Exhibit 10.1 EXECUTION VERSION REGISTRATION RIGHTS AGREEMENT This REGISTRATION RIGHTS AGREEMENT (this ?Agreement?) is made and entered into as of November 2, 2022 by and among Compass Therapeutics, Inc., a Delaware corporation (the ?Company?), and the ?Investors? named in that certain Securities Purchase Agreement by and among the Company and the Investors (the ?Purchase Agreement?). Capitalized t
November 9, 2022	10-Q	UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q (Mark One) ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2022 OR ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-39696 COMPASS THERAPEUTICS, INC.
November 9, 2022	EX-99.1	Press release titled "Compass Therapeutics Reports Third Quarter 2022 Financial Results and Provides Corporate Update". Exhibit 99.1 Compass Therapeutics Reports Third Quarter 2022 Financial Results and Provides Corporate Update ? Study site initiations in the United States for a randomized Phase 2/3 study of CTX-009 with paclitaxel in patients with Biliary Tract Cancers (BTC) and a Phase 2 of CTX-009 in patients with Colorectal Cancer (CRC) are ongoing; patient enrollment for both studies is expected during the fo
November 2, 2022	EX-99.1	Compass Therapeutics Announces $80 Million Private Placement EXHIBIT 99.1 Compass Therapeutics Announces $80 Million Private Placement BOSTON, Nov. 02, 2022 (GLOBE NEWSWIRE) - Compass Therapeutics, Inc. (Nasdaq: CMPX), (?Compass?), a clinical-stage biopharmaceutical company developing proprietary antibody-based therapeutics to treat cancer, today announced that it has entered into a securities purchase agreement with a select group of institutional investor
November 2, 2022	8-K	Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers, Entry into a Material Definitive Agreement, Unregistered Sales of Equity Securities, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 2, 2022 Compass Therapeutics, Inc. (Exact name of registrant as specified in its charter) Delaware 001-39696 82-4876496 (State or Other Jurisdiction of Incorporation) (Commis
August 19, 2022	8-K	Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 17, 2022 COMPASS THERAPEUTICS, INC. (Exact name of Registrant as Specified in Its Charter) Delaware 001-39696 82-4876496 (State or Other Jurisdiction of Incorporation) (Commiss
August 1, 2022	EX-1.1	Form 8-K Exhibit 1.1 OPEN MARKET SALE AGREEMENTSM August 1, 2022 JEFFERIES LLC 520 Madison Avenue New York, New York 10022 Ladies and Gentlemen: Compass Therapeutics, Inc., a Delaware corporation (the ?Company?), proposes, subject to the terms and conditions stated herein, to issue and sell from time to time through Jefferies LLC, as sales agent and/or principal (the ?Agent?), shares of the Company?s commo
August 1, 2022	10-Q	UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q (Mark One) ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2022 OR ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-39696 COMPASS THERAPEUTICS, INC.
August 1, 2022	424B5	Up to $75,000,000 Common Stock Table of Contents Filed Pursuant to Rule 424(b)(5) Registration No. 333-257821 PROSPECTUS SUPPLEMENT (To Prospectus Dated July 9, 2021) Up to $75,000,000 Common Stock We have entered into an Open Market Sale AgreementSM, or the sales agreement, with Jefferies LLC, or Jefferies, relating to the sale of shares of our common stock, par value $0.0001 per share, offered by this prospectus supplement an
August 1, 2022	8-K	Entry into a Material Definitive Agreement, Termination of a Material Definitive Agreement, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event Reported): July 22, 2022 Compass Therapeutics, Inc. (Exact Name of Registrant as Specified in Charter) Delaware 000-55939 82-4876496 (State or Other Jurisdiction of Incorporation) (Commission Fi
August 1, 2022	EX-99.1	Press release titled "Compass Therapeutics Reports Second Quarter 2022 Financial Results and Provides Corporate Update" Exhibit 99.1 Compass Therapeutics Reports Second Quarter 2022 Financial Results and Provides Corporate Update ? Phase 2/3 trial of CTX-009 (DLL4 X VEGF-A bispecific) and paclitaxel in biliary tract cancer (BTC) anticipated to begin in the United States in Q3 2022 ? A Phase 2 trial of CTX-009 as a monotherapy in advanced colorectal cancer (CRC) is on track to begin in Q4 2022 ? A fourth partial res
May 31, 2022	8-K	Submission of Matters to a Vote of Security Holders UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 31, 2022 COMPASS THERAPEUTICS, INC. (Exact name of registrant as specified in its charter) Delaware 001-39696 82-4876496 (State or Other Jurisdiction of Incorporation) (Commission
May 18, 2022	DEFA14A	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ? ? ? Filed by a party other than the Registrant ?? Check the appropriate box: ?? ? ? Preliminary Proxy Statement ?? ? ? Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ?? ? ? De
May 9, 2022	EX-99.1	Press release titled "Compass Therapeutics Reports First Quarter 2022 Financial Results and Highlights Recent Company Progress" EXHIBIT 99.1 Compass Therapeutics Reports First Quarter 2022 Financial Results and Highlights Recent Company Progress ? The FDA cleared the investigational new drug application for CTX-009 (DLL4 X VEGF-A bispecific) in January allowing the Company to expand the ongoing Phase 2 study in patients with biliary tract cancer (BTC) to a global study and initiate dosing patients in the United States in e
May 9, 2022	10-Q	UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q (Mark One) ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2022 OR ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-39696 COMPASS THERAPEUTICS, INC.
May 4, 2022	8-K	Regulation FD Disclosure, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 4, 2022 Compass Therapeutics, Inc. (Exact name of registrant as specified in its charter) Delaware 001-39696 82-4876496 (State or Other Jurisdiction of Incorporation) (Commission
May 4, 2022	EX-99.2	DO NOT DISTRIBUTE WITHOUT PERMISSION \| © 2022 Compass Therapeutics Presentation May 4, 2022 DISCLAIMER This presentation has been prepared by Compass Therapeutics, Inc. ("we," "us," "our," or the “Company”). Statements contained herein are made as of Exhibit 99.2 DO NOT DISTRIBUTE WITHOUT PERMISSION \| ? 2022 Compass Therapeutics Presentation May 4, 2022 DISCLAIMER This presentation has been prepared by Compass Therapeutics, Inc. ("we," "us," "our," or the ?Company?). Statements contained herein are made as of the date of this presentation unless stated otherwise, and this presentation shall not under any circumstances create an implication tha
May 4, 2022	EX-99.1	Compass Therapeutics Reports Positive Interim Phase 2 Data of CTX-009 in Combination with Paclitaxel in Biliary Tract Cancers CTX-009 Demonstrated a 42% Overall Response Rate (ORR) Based on 10 Partial Responses (PRs) in 24 Enrolled Patients CTX-009 C EXHIBIT 99.1 Compass Therapeutics Reports Positive Interim Phase 2 Data of CTX-009 in Combination with Paclitaxel in Biliary Tract Cancers CTX-009 Demonstrated a 42% Overall Response Rate (ORR) Based on 10 Partial Responses (PRs) in 24 Enrolled Patients CTX-009 Continues to be Well Tolerated, Consistent with the Phase 1 Studies Compass Plans to Initiate Stage 2 of the Phase 2 Study in the U.S. in
April 28, 2022	DEF 14A	definitive proxy statement TABLE OF CONTENTS UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ? ? ? Filed by a party other than the Registrant ?? Check the appropriate box: ?? ? ? Preliminary Proxy Statement ?? ? ? Confidential, for Use of the Commission Only (as permitted by Rule 14a-
April 26, 2022	8-K	Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): April 26, 2022 (April 22, 2022) Compass Therapeutics, Inc. (Exact name of registrant as specified in its charter) Delaware 001-39696 82-4876496 (State or Other Jurisdiction of Incorpo
April 26, 2022	EX-99.1	Compass Therapeutics Announces Appointment of Two New Directors to its Board EXHIBIT 99.1 Compass Therapeutics Announces Appointment of Two New Directors to its Board BOSTON, April 26, 2022 (GLOBE NEWSWIRE) - Compass Therapeutics, Inc. (Nasdaq: CMPX), a clinical-stage, oncology-focused biopharmaceutical company developing proprietary antibody-based therapeutics to treat multiple human diseases, today is pleased to announce the appointment of two new directors to its board.
March 18, 2022	10-K	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K (Mark One) ? ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2021 OR ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR THE TRANSITION PERIOD FROM TO Commission File Number 000-55939 Compass Therape
February 25, 2022	8-K	Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): February 22, 2022 COMPASS THERAPEUTICS, INC. (Exact name of Registrant as Specified in Its Charter) Delaware 001-39696 82-4876496 (State or Other Jurisdiction of Incorporation) (Commi
February 15, 2022	SC 13G/A	US20454B1044 / COMPASS THERAPEUTICS INC / Rock Springs Capital Management LP Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 Schedule 13G/A Under the Securities Exchange Act of 1934 (Amendment No.
January 20, 2022	EX-99.1	Compass Therapeutics Announces US FDA Clearance of Investigational New Drug Application for a Phase 2 Study of CTX-009, a Bispecific Antibody That Simultaneously Targets Delta-like Ligand 4 (DLL4) and Vascular Endothelial Growth Factor A (VEGF-A) EXHIBIT 99.1 Compass Therapeutics Announces US FDA Clearance of Investigational New Drug Application for a Phase 2 Study of CTX-009, a Bispecific Antibody That Simultaneously Targets Delta-like Ligand 4 (DLL4) and Vascular Endothelial Growth Factor A (VEGF-A) BOSTON, Jan. 20, 2022 (GLOBE NEWSWIRE) - Compass Therapeutics, Inc. (Nasdaq: CMPX), a clinical-stage biopharmaceutical company developing pr
January 20, 2022	8-K	Financial Statements and Exhibits, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): January 20, 2022 Compass Therapeutics, Inc. (Exact name of registrant as specified in its charter) Delaware 001-39696 82-4876496 (State or Other Jurisdiction of Incorporation) (Commis
December 30, 2021	SC 13G	CMPX / Compass Therapeutics Inc / Rock Springs Capital Management LP Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No.
December 21, 2021	8-K	Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): December 20, 2021 COMPASS THERAPEUTICS, INC. (Exact name of Registrant as Specified in Its Charter) Delaware 001-39696 82-4876496 (State or Other Jurisdiction of Incorporation) (Commi
December 15, 2021	424B5	Common Stock Table of Contents Filed pursuant to Rule 424(b)(5) Registration No. 333-257821 PROSPECTUS $75,000,000 Common Stock We have entered into a sales agreement, or the sales agreement, with B. Riley Securities, Inc., or B. Riley Securities, relating to shares of our common stock offered by this prospectus. In accordance with the terms of the sales agreement, we may offer and sell shares of our common st
December 15, 2021	424B5	62,323,147 Shares of Common Stock Table of Contents Filed pursuant to Rule 424(b)(5) Registration No. 333-257821 PROSPECTUS 62,323,147 Shares of Common Stock This prospectus relates to the offering and resale by the selling stockholders identified herein of up to 62,323,147 shares of common stock, par value $0.0001 per share, of Compass Therapeutics, Inc., which include (i) 39,030,599 shares of common stock privately issued to the
November 12, 2021	EX-99.1	Press release titled "Compass Therapeutics Reports Third Quarter 2021 Financial Results and Provides Corporate Update" Exhibit 99.1 Compass Therapeutics Reports Third Quarter 2021 Financial Results and Provides Corporate Update ? CTX-009 (DLL4 X VEGF-A bispecific) is ready to advance to the second stage of a Phase 2a study based on 5 partial responses in 17 evaluable patients observed in the first stage of the study ? Continued the advancement of CTX-471 (CD137 agonist) in Phase 1b development and reported a secon
November 12, 2021	10-Q	UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q (Mark One) ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2021 OR ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-39696 COMPASS THERAPEUTICS, INC.
November 12, 2021	SC 13G	CMPX / Compass Therapeutics Inc / Foresite Capital Fund V, L.P. - SC 13G Passive Investment SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Schedule 13G (Rule 13d-102) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULES 13d-1 (b), (c) AND (d) AND AMENDMENTS THERETO FILED PURSUANT TO 13d-2 (b) (Amendment No. )* Compass Therapeutics, Inc. (Name of Issuer) Common Stock, par value $0.0001. (Title of Class of Securities) 20454B104 (CUSIP Number) November 2, 2021 (Date o
November 9, 2021	EX-99.3	Compass Therapeutics, Inc. Public Offering of Common Stock EXECUTION VERSION Compass Therapeutics, Inc. Public Offering of Common Stock October 31, 2021 SVB Leerink LLC As Representative of the several Underwriters, c/o SVB Leerink LLC 53 State Street, 40th Floor Boston, MA 02109 Ladies and Gentlemen: This letter is being delivered to you in connection with the proposed underwriting agreement (the ?Underwriting Agreement?), between Compass Therapeutics, I
November 9, 2021	EX-99.1	JOINT FILING AGREEMENT Exhibit 1 JOINT FILING AGREEMENT The undersigned hereby agree that the Statement on Schedule 13D, dated November 9, 2021, with respect to the common shares of Compass Therapeutics, Inc.
November 9, 2021	SC 13D/A	CMPX / Compass Therapeutics Inc / ORBIMED ADVISORS LLC - AMENDMENT NO. 2 Activist Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 2) Compass Therapeutics, Inc. (Name of Issuer) COMMON STOCK (Title of Class of Securities) 20454B104 (CUSIP Number) OrbiMed Advisors LLC OrbiMed Capital GP V LLC OrbiMed Genesis GP LLC OrbiMed Capital LLC 601 Lexington Avenue, 54th Floor New York, NY 10022 T
November 3, 2021	EX-1.1	Underwriting Agreement, dated November 1, 2021, by and among Compass Therapeutics, Inc. and SVB Leerink LLC, as representative of the several underwriters named therein EXHIBIT 1.1 Compass Therapeutics, Inc. (a Delaware corporation) 35,715,000 Shares of Common Stock UNDERWRITING AGREEMENT November 1, 2021 SVB Leerink LLC as Representative of the several Underwriters c/o SVB Leerink LLC 53 State Street, 40th Floor Boston, MA 02109 Ladies and Gentlemen: Compass Therapeutics, Inc., a Delaware corporation (the ?Company?), confirms its agreement with SVB Leerink LLC (
November 3, 2021	424B5	35,715,000 Shares Common stock Table of Contents Filed Pursuant to Rule 424(b)(5) Registration No. 333-257821 Prospectus Supplement (To prospectus dated July 9, 2021) 35,715,000 Shares Common stock We are offering 35,715,000 shares of our common stock. Our common stock is currently trading on the OTCQB Market under the stock symbol ?CMPX.? On October 29, 2021, the closing price for our common stock, as reported on the OTCQB Mar
November 3, 2021	8-K	Entry into a Material Definitive Agreement, Financial Statements and Exhibits, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 01, 2021 COMPASS THERAPEUTICS, INC. (Exact name of Registrant as Specified in Its Charter) Delaware 001-39696 82-4876496 (State or Other Jurisdiction of Incorporation) (Commi
November 3, 2021	EX-99.1	Compass Therapeutics Announces Pricing of Approximately $125 Million Public Offering of Common Stock and Uplisting to Nasdaq Capital Market EXHIBIT 99.1 Compass Therapeutics Announces Pricing of Approximately $125 Million Public Offering of Common Stock and Uplisting to Nasdaq Capital Market Boston, November 1, 2021 ? Compass Therapeutics, Inc. (the ?Company?), a clinical-stage biopharmaceutical company developing proprietary antibody-based therapeutics to treat cancer, today announced that it has priced an underwritten public offerin
November 1, 2021	8-A12B	Form 8-A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-A FOR REGISTRATION OF CERTAIN CLASSES OF SECURITIES PURSUANT TO SECTION 12(b) OR (g) OF THE SECURITIES EXCHANGE ACT OF 1934 Compass Therapeutics, Inc. (Exact name of registrant as specified in its charter) Delaware 82-4876496 (State or other jurisdiction of incorporation or organization) (I.R.S. Employer Identification
November 1, 2021	424B5	Subject to completion, dated November 1, 2021 Table of Contents Filed Pursuant to Rule 424(b)(5) Registration No. 333-257821 The information in this preliminary prospectus supplement is not complete and may be changed. A registration statement relating to these securities has been filed with the Securities and Exchange Commission and is effective. This preliminary prospectus supplement and the accompanying prospectus are not an offer to sell
November 1, 2021	8-K	Financial Statements and Exhibits, Results of Operations and Financial Condition, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 01, 2021 COMPASS THERAPEUTICS, INC. (Exact name of Registrant as Specified in Its Charter) Delaware 001-39696 82-4876496 (State or Other Jurisdiction of Incorporation) (Commi
November 1, 2021	EX-99.1	Compass Reports the Advancement of CTX-009, a Bispecific Antibody, to Phase 2a Development in Patients with Biliary Tract Cancers (BTC), and the Clearance of a Key Clinical Hurdle Exhibit 99.1 Compass Reports the Advancement of CTX-009, a Bispecific Antibody, to Phase 2a Development in Patients with Biliary Tract Cancers (BTC), and the Clearance of a Key Clinical Hurdle ? Phase 2a study was initiated by Handok Pharmaceuticals in Q1 2021 in patients with Biliary Tract Cancers (cholangiocarcinoma). ? Enrollment in the first part of the study has been completed and the criteri
November 1, 2021	EX-99.2	Compass Therapeutics Announces Proposed Public Offering of Common Stock and Uplisting to Nasdaq Capital Market Exhibit 99.2 Compass Therapeutics Announces Proposed Public Offering of Common Stock and Uplisting to Nasdaq Capital Market BOSTON, November 1, 2021 ? Compass Therapeutics, Inc. (the ?Company?), a clinical stage biopharmaceutical company developing proprietary antibody-based therapeutics to treat cancer, today announced that it intends to offer and sell shares of common stock in an underwritten pu
October 8, 2021	8-K	Financial Statements and Exhibits, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): October 08, 2021 COMPASS THERAPEUTICS, INC. (Exact name of Registrant as Specified in Its Charter) Delaware 001-39696 82-4876496 (State or Other Jurisdiction of Incorporation) (Commis
October 8, 2021	EX-99.1	CTX-009 (ABL001/ES104) Clinical Data Presented Today at the New Drugs on the Horizon Plenary Session of the 2021 AACR-NCI-EORTC International Conference on Molecular Targets and Cancer Therapeutics CTX-009 (ABL001/ES104) Clinical Data Presented Today at the New Drugs on the Horizon Plenary Session of the 2021 AACR-NCI-EORTC International Conference on Molecular Targets and Cancer Therapeutics ? CTX-009 was well tolerated and demonstrated single agent activity in heavily pre-treated patients with solid tumor who are resistant to anti-VEGF therapies, mostly of colorectal and gastric origins ?
August 16, 2021	EX-10.1	Research and Development Collaboration and License Agreement, dated November 30, 2018, between Trigr Therapeutics, Inc. and ABL Bio Inc. (incorporated by reference to Exhibit 10.1 to the Quarterly Report on Form 10-Q filed with the SEC on August 16, 2021) Exhibit 10.1 CERTAIN CONFIDENTIAL PORTIONS OF THIS EXHIBIT HAVE BEEN OMITTED AND REPLACED WITH ?[***]?. SUCH IDENTIFIED INFORMATION HAS BEEN EXCLUDED FROM THIS EXHIBIT BECAUSE IT IS (I) NOT MATERIAL AND (II) WOULD LIKELY CAUSE COMPETITIVE HARM TO THE COMPANY IF DISCLOSED. RESEARCH AND DEVELOPMENT COLLABORATION AND LICENSE AGREEMENT ? ABL 001 THIS RESEARCH AND DEVELOPMENT COLLABORATION AND LICENSE
August 16, 2021	10-Q	UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q (Mark One) ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2021 OR ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-39696 COMPASS THERAPEUTICS, INC.
August 5, 2021	8-K/A	Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K/A (Amendment No. 1) CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): June 25, 2021 COMPASS THERAPEUTICS, INC. (Exact name of Registrant as Specified in Its Charter) Delaware 000-55939 82-4876496 (State or Other Jurisdiction of Incor
August 5, 2021	EX-99.3	UNAUDITED PRO FORMA COMBINED FINANCIAL STATEMENTS Exhibit 99.3 UNAUDITED PRO FORMA COMBINED FINANCIAL STATEMENTS On June 25, 2021, Compass Therapeutics, Inc. (?Company?) acquired 100% of the outstanding equity of Trigr Therapeutics, Inc. (?TRIGR?), a private biotechnology company. The acquisition was consummated to acquire TRIGR?s main product candidate, CTX-009, which is a is an anti-DLL4 x VEGF-A bispecific antibody that is undergoing clinical
August 5, 2021	EX-99.1	Financial Statements For the Year Ended December 31, 2020 EXHIBIT 99.1 Financial Statements For the Year Ended December 31, 2020 Index 1. Independent Auditor?s Report 2 2. Financial Statements a. Balance Sheet 3 b. Statement of Operations 4 c. Statement of Stockholders? Deficit 5 d. Statement of Cash Flows 6 e. Notes to Financial Statements 7-12 1 Independent Auditor?s Report To the Board of Directors of Trigr Therapeutics, Inc. We have audited the accom
August 5, 2021	EX-99.2	Financial Statements For the Quarters Ended March 31, 2021 and 2020 Exhibit 99.2 Financial Statements For the Quarters Ended March 31, 2021 and 2020 Financial Statements (unaudited) a. Condensed Balance Sheets 2 b. Condensed Statements of Operations 3 c. Condensed Statements of Stockholders? Equity (Deficit) 4 d. Condensed Statements of Cash Flows 5 e. Notes to Condensed Financial Statements 6 ? 10 1 Trigr Therapeutics, Inc. Condensed Balance Sheets (in 000?s, exc
July 16, 2021	CORRESP	Sincerely, July 16, 2021 Via EDGAR Transmission United States Securities and Exchange Commission Division of Corporation Finance 100 F Street, N.
July 14, 2021	EX-99.1	JOINT FILING AGREEMENT Exhibit 1 JOINT FILING AGREEMENT The undersigned hereby agree that the Statement on Schedule 13D, dated July 14, 2021, with respect to the common shares of Compass Therapeutics, Inc.
July 14, 2021	SC 13D/A	CMPX / Compass Therapeutics Inc / ORBIMED ADVISORS LLC - AMENDMENT NO. 1 Activist Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 1) Compass Therapeutics, Inc. (Name of Issuer) COMMON STOCK (Title of Class of Securities) 20454B104 (CUSIP Number) OrbiMed Advisors LLC OrbiMed Capital GP V LLC 601 Lexington Avenue, 54th Floor New York, NY 10022 Telephone: (212) 739-6400 (Name, Address and
July 9, 2021	EX-4.3	Form of Indenture Exhibit 4.3 COMPASS THERAPEUTICS, INC. Issuer AND [TRUSTEE], Trustee INDENTURE Dated as of [?], 20 Debt Securities TABLE OF CONTENTS Page ARTICLE 1 DEFINITIONS 1 Section 1.01 Definitions of Terms 1 ARTICLE 2 ISSUE, DESCRIPTION, TERMS, EXECUTION, REGISTRATION AND EXCHANGE OF SECURITIES 4 Section 2.01 Designation and Terms of Securities 4 Section 2.02 Form of Securities and Trustee?s Certificate 5 S
July 9, 2021	EX-5.3	Opinion of Goodwin Procter LLP relating to the Selling Stockholder Prospectus Exhibit 5.3 July 9, 2020 Compass Therapeutics, Inc. 80 Guest St. Boston, Ma 02135 Re: Shares Being Registered under Registration Statement on Form S-3 We have acted as counsel to you in connection with your filing of a Registration Statement on Form S-3 (as amended or supplemented, the ?Registration Statement?) filed on the date hereof with the Securities and Exchange Commission (the ?Commission?)
July 9, 2021	EX-1.2	At Market Issuance Sales Agreement Exhibit 1.2 COMPASS THERAPEUTICS, INC. Common Stock (par value $0.0001 per share) At Market Issuance Sales Agreement July 9, 2021 B. Riley Securities, Inc. 299 Park Avenue, 21st Floor New York, NY 10171 Ladies and Gentlemen: Compass Therapeutics, Inc., a Delaware corporation (the “Company”), confirms its agreement (this “Agreement”) with B. Riley Securities, Inc. (the “Agent”) as follows: 1. Issua
July 9, 2021	S-3	As filed with the Securities and Exchange Commission on July 9, 2021. Table of Contents As filed with the Securities and Exchange Commission on July 9, 2021.
June 30, 2021	EX-10.1	CONSULTING AGREEMENT Exhibit 10.1 CONSULTING AGREEMENT THIS CONSULTING AGREEMENT is entered into and effective as of June 25, 2021 (the ?Effective Date?), by and between COMPASS THERAPEUTICS, INC., a Delaware limited liability company (the ?Company?), and MIRANDA TOLEDANO, an individual, (the ?Consultant?). The Company desires to retain Consultant as an independent contractor to perform consulting services for the Com
June 30, 2021	8-K	Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers, Entry into a Material Definitive Agreement, Unregistered Sales of Equity Securities, Financial Statements and Exhibits, Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant, Completion of Acquisition or Disposition of Assets, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): June 25, 2021 COMPASS THERAPEUTICS, INC. (Exact name of Registrant as Specified in Its Charter) Delaware 000-55939 82-4876496 (State or Other Jurisdiction of Incorporation) (Commissio
June 4, 2021	8-K	Submission of Matters to a Vote of Security Holders 8-K 1 d175899d8k.htm 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): June 3, 2021 Compass Therapeutics, Inc. (Exact name of Registrant as Specified in Its Charter) Delaware 000-55939 82-4876496 (State or Other Jurisdiction of I
May 13, 2021	8-K	Regulation FD Disclosure, Entry into a Material Definitive Agreement, Financial Statements and Exhibits 8-K 1 cmpx-8k20210512.htm 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 13, 2021 Compass Therapeutics, Inc. (Exact name of Registrant as Specified in Its Charter) Delaware 000-55939 82-4876496 (State or Other Jurisdiction
May 13, 2021	EX-10.1	Merger Agreement, dated May 13, 2021, by and among Compass Therapeutics, Inc., Compass Intermediate Acquisition Company, Inc., Compass Acquisition Company, LLC, TRIGR Therapeutics, Inc. and PENG Ventures, LLC, as Stockholder Representative EXHIBIT 10.1 AGREEMENT AND PLAN OF MERGER AND REORGANIZATION BY AND AMONG COMPASS THERAPEUTICS, INC. COMPASS INTERMEDIATE ACQUISITION COMPANY, INC., COMPASS ACQUISITION COMPANY, LLC, TRIGR THERAPEUTICS, INC. AND PENG VENTURES, LLC, AS STOCKHOLDER REPRESENTATIVE Dated as of May 13, 2021 i ACTIVE/108710474.16 TABLE OF CONTENTS Page ARTICLE I DEFINITIONS2 ARTICLE II THE MERGER14 2.1 First Merger and
May 13, 2021	EX-99.1	Compass Therapeutics, Inc. to Acquire TRIGR Therapeutics, Inc. To Obtain Global Rights to TR009, A Novel bispecific antibody and Inhibitor of the Notch Pathway Targeting DLL4 and VEGF-A EXHIBIT 99.1 Compass Therapeutics, Inc. to Acquire TRIGR Therapeutics, Inc. To Obtain Global Rights to TR009, A Novel bispecific antibody and Inhibitor of the Notch Pathway Targeting DLL4 and VEGF-A BOSTON & IRVINE, Calif. May 13th , 2021 - (BUSINESS WIRE) ? Compass Therapeutics, Inc. (?Compass?; OTCQB: CMPX), a clinical-stage biotechnology company developing proprietary antibody therapeutics to t
April 30, 2021	10-Q	Quarterly Report - 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q (Mark One) ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2021 OR ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 000-55939 COMPASS THERAPEUTICS, INC.
April 30, 2021	424B3	Compass Therapeutics, Inc. 52,112,143 Shares of Common Stock Filed pursuant to Rule 424(b)(3) Registration No. 333-244353 PROSPECTUS SUPPLEMENT NO. 1 (To Prospectus Dated March 8, 2021) Compass Therapeutics, Inc. 52,112,143 Shares of Common Stock This prospectus supplement no. 1 supplements the prospectus dated March 8, 2021, relating to the offering and resale of up to 52,112,143 shares of common stock, par value $0.0001 per share, that were privately issu
April 29, 2021	DEF 14A	definitive proxy statement UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ? Filed by a party other than the Registrant ? Check the appropriate box: ? Preliminary Proxy Statement ? Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ? Definitive Proxy State
April 19, 2021	EX-10.1	Employment Agreement between Compass Therapeutics, Inc. and Thomas J. Schuetz, M.D., Ph.D. Exhibit 10.1 COMPASS THERAPEUTICS, INC. EMPLOYMENT AGREEMENT This Employment Agreement (?Agreement?), dated as of April 14, 2021, is made between Compass Therapeutics, Inc., a Delaware corporation (including all wholly-owned subsidiaries of Compass Therapeutics, Inc., the ?Company?), and Thomas J. Schuetz, M.D., Ph.D. (the ?Executive?). Except with respect to the Restrictive Covenants Agreement an
April 19, 2021	EX-10.2	Employment Agreement between Compass Therapeutics, Inc. and Vered Bisker-Leib, Ph.D., dated April 14, 2021 (incorporated by reference to Exhibit 10.2 to the Current Report on Form 8-K filed with the SEC on April 19, 2021) Exhibit 10.2 COMPASS THERAPEUTICS, INC. EMPLOYMENT AGREEMENT This Employment Agreement (?Agreement?), dated as of April 14, 2021, is made between Compass Therapeutics, Inc., a Delaware corporation (including all wholly-owned subsidiaries of Compass Therapeutics, Inc., the ?Company?), and Vered Bisker-Leib (the ?Executive?). Except with respect to the Restrictive Covenants Agreement and the Equity
April 19, 2021	8-K	Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): April 14, 2021 Compass Therapeutics, Inc. (Exact name of Registrant as Specified in Its Charter) Delaware 000-55939 82-4876496 (State or Other Jurisdiction of Incorporation) (Commissi
March 11, 2021	424B3	52,112,143 Shares of Common Stock Filed Pursuant to Rule 424(b)(3) File No. 333-244353 PROSPECTUS 52,112,143 Shares of Common Stock This prospectus relates to the offering and resale by the selling stockholders identified herein of up to 52,112,143 shares of common stock, par value $0.0001 per share, of Compass Therapeutics, Inc., which include (i) 39,015,701 shares of common stock privately issued to the selling stockholders on J
March 5, 2021	POS AM	- POS AM As filed with the Securities and Exchange Commission on March 5, 2021 Registration Number 333-244353 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.
March 5, 2021	EX-10.16	Sublease Agreement, effective as of December 1, 2020, by and between Roche Diagnostic Operations, Inc. and Compass Therapeutics, Inc. EX-10.16 3 cmpx-ex101691.htm EX-10.16 - SUBLEASE Exhibit 10.16 SUBLEASE THIS SUBLEASE (this “Sublease”) is dated for reference purposes as of 1 December 2020 (“Effective Date”), and is made by and between Roche Diagnostics Operations, Inc., a Delaware corporation (“Sublandlord”), and Compass Therapeutics, Inc., a Delaware corporation (“Subtenant”). Sublandlord and Subtenant hereby agree as follows
March 5, 2021	10-K	Annual Report - 10-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K (Mark One) ? ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2020 OR ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR THE TRANSITION PERIOD FROM TO Commission File Number 000-55939 Compass Therape
March 5, 2021	EX-4.2	Description of Registered Securities EX-4.2 2 cmpx-ex42124.htm EX-4.2 - DESCRIPTION OF SECURITIES Exhibit 4.2 Description of the Registrant’s Securities Registered Pursuant to Section 12 of the Securities Exchange Act of 1934, as amended The common stock, par value $0.0001 per share (“Common Stock”), of Compass Therapeutics, Inc. (“Compass,” “we,” or “our”) is registered under Section 12 of the Securities Exchange Act of 1934, as ame
March 5, 2021	EX-16.1	Letter from Raich Ende Malter & Co. LLP as to the change in certifying accountant Exhibit 16.1 March 5, 2021 Securities and Exchange Commission 100 F Street NE Washington, D.C. 20549 Ladies and Gentlemen: We have read the section under the heading ?Changes in and Disagreements with Accountants on Accounting and Financial Disclosure? included in the Post-Effective Amendment No. 1 to Form S-1 of Compass Therapeutics, Inc., to be filed on or about March 5, 2021, and agree with the
January 14, 2021	S-8	- FORM S-8 As filed with the Securities and Exchange Commission on January 14, 2021 Registration No.
December 17, 2020	8-K	Entry into a Material Definitive Agreement, Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): December 12, 2020 Compass Therapeutics, Inc. (Exact name of Registrant as Specified in Its Charter) Delaware 000-55939 82-4876496 (State or Other Jurisdiction of Incorporation) (Commi
November 13, 2020	RW	- REGISTRATION WITHDRAWAL Registration Withdrawal Compass Therapeutics, Inc. 245 First Street 3rd Floor Cambridge, Massachusetts 02142 November 13, 2020 VIA EDGAR United States Securities and Exchange Commission Division of Corporation Finance 100 F Street, N.E. Washington, D.C. 20549 Re: Compass Therapeutics, Inc. Withdrawal of Registration Statement on Form S-1 File No. 333-249536 Ladies and Gentlemen: Compass Therapeuti
November 10, 2020	8-A12B	- 8-A12B 8-A12B UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-A FOR REGISTRATION OF CERTAIN CLASSES OF SECURITIES PURSUANT TO SECTION 12(b) OR (g) OF THE SECURITIES EXCHANGE ACT OF 1934 Compass Therapeutics, Inc. (Exact name of registrant as specified in its charter) Delaware 82-4876496 (State or other jurisdiction of incorporation or organization) (I.R.S. Employer Identifi
November 9, 2020	424B3	Compass Therapeutics, Inc. 52,127,041 Shares of Common Stock 424B3 Filed pursuant to Rule 424(b)(3) Registration No. 333-244353 PROSPECTUS SUPPLEMENT NO. 1 (To Prospectus Dated September 18, 2020) Compass Therapeutics, Inc. 52,127,041 Shares of Common Stock This prospectus supplement no. 1 supplements the prospectus dated September 18, 2020, relating to the offering and resale of up to 52,127,041 shares of common stock, par value $0.0001 per share, that wer
November 9, 2020	S-1/A	As filed with the Securities and Exchange Commission on November 9, 2020 S-1/A Table of Contents As filed with the Securities and Exchange Commission on November 9, 2020 Registration Number 333-249536 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.
November 9, 2020	EX-1.1	Form of Underwriting Agreement Exhibit 1.1 Compass Therapeutics, Inc. [•] Shares1 Common Stock ($0.0001 par value) Underwriting Agreement New York, New York [•], 2020 Citigroup Global Markets Inc. Credit Suisse Securities (USA) LLC Stifel, Nicolaus & Company, Incorporated As Representatives of the several Underwriters, c/o Citigroup Global Markets Inc. 388 Greenwich Street New York, New York 10013 c/o Credit Suisse Securities (
November 9, 2020	EX-16.1	Letter from Raich Ende Malter & Co. LLP as to the change in certifying accountant, dated as of November 9, 2020 EX-16.1 Exhibit 16.1 November 9, 2020 Securities and Exchange Commission 100 F Street NE Washington, D.C. 20549 Ladies and Gentlemen: We have read the section under the heading “Changes in and Disagreements with Accountants on Accounting and Financial Disclosure” included in Form S-1 of Compass Therapeutics, Inc., to be filed on or about November 9, 2020, and agree with the statements contained th
November 9, 2020	10-Q	UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2020 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 000-55939 COMPASS THERAPEUTICS, INC.
October 19, 2020	EX-4.1	Specimen Certificate for Common Stock (incorporated by reference to Exhibit 4.1 to the Registration Statement on Form S-1 (Registration No. 333-249536) filed with the SEC on November 9, 2020) EX-4.1 Exhibit 4.1 NUMBER COMPASS THERAPEUTICS, INC. INCORPORATED UNDER THE LAWS OF THE STATE OF DELAWARE SHARES SEE REVERSE SIDE FOR CERTAIN DEFINITIONS THIS CERTIFIES THAT is the owner of FULLY PAID AND NON-ASSESSABLE COMMON SHARES, $0.0001 PAR VALUE, OF COMPASS THERAPEUTICS, INC. transferable on the books of the Corporation by the holder hereof in person or by Attorney upon surrender of this ce
October 19, 2020	S-1	Registration Statement - S-1 S-1 Table of Contents As filed with the Securities and Exchange Commission on October 19, 2020 Registration Number 333- UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.
September 25, 2020	424B3	52,127,041 Shares of Common Stock 424B3 Table of Contents File pursuant to Rule 424(b)(3) Registration No. 333-244353 PROSPECTUS 52,127,041 Shares of Common Stock This prospectus relates to the offering and resale by the selling stockholders identified herein of up to 52,127,041 shares of common stock, par value $0.0001 per share, of Compass Therapeutics, Inc., which include (i) 39,030,599 shares of common stock privately issued t
September 23, 2020	CORRESP	- CORRESP VIA EDGAR September 23, 2020 United States Securities and Exchange Commission Division of Corporation Finance Office of Life Sciences Mail Stop 4561 100 F Street, N.
September 23, 2020	DRS	- DRS Table of Contents Confidential Treatment Requested by Compass Therapeutics, Inc.
September 18, 2020	S-1/A	- S-1/A S-1/A Table of Contents As filed with the Securities and Exchange Commission on September 18, 2020 Registration Number 333-244353 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.
September 15, 2020	EX-99.1	Compass Therapeutics, Inc. Provides Corporate Update EX-99.1 Exhibit 99.1 Compass Therapeutics, Inc. Provides Corporate Update CAMBRIDGE, Mass., September 15th, 2020 — Compass Therapeutics, Inc. a clinical-stage biotechnology company developing proprietary antibody therapeutics intended to engage the immune system to treat both solid tumors and hematological malignancies, today announced the promotion of Vered Bisker-Leib, PhD, MBA to President, in
September 15, 2020	8-K	Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers, Financial Statements and Exhibits 8-K 1 d939365d8k.htm 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event Reported): September 10, 2020 Compass Therapeutics, Inc. (Exact Name of Registrant as Specified in Charter) Delaware 000-55939 82-4876496 (State or Other Jurisdiction of
August 13, 2020	10-Q	Quarterly Report - 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q (Mark One) ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2020 OR ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 000-55939 COMPASS THERAPEUTICS, INC.
August 11, 2020	EX-16.1	Letter from Raich Ende Malter & Co. LLP as to the change in certifying accountant, dated as of August 11, 2020 EX-16.1 Exhibit 16.1 August 11, 2020 Securities and Exchange Commission 100 F Street NE Washington, D.C. 20549 Ladies and Gentlemen: We have read the section under the heading “Changes in and Disagreements with Accountants on Accounting and Financial Disclosure” included in Form S-1 of Compass Therapeutics, Inc., to be filed on or about August 11, 2020, and agree with the statements contained ther
August 11, 2020	S-1	Power of Attorney S-1 Table of Contents As filed with the Securities and Exchange Commission on August 11, 2020 Registration Number 333- UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.
July 31, 2020	8-K/A	Completion of Acquisition or Disposition of Assets UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K/A (Amendment No. 1) CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): June 17, 2020 COMPASS THERAPEUTICS, INC. (Exact Name of Registrant as Specified in its Charter) Delaware 000-55939 EIN 82-4876496 (State of Incorporation) (Commiss
July 31, 2020	CORRESP	- Goodwin Procter LLP 100 Northern Avenue Boston, MA 02210 goodwinlaw.com +1 617 570 1000 July 31, 2020 Mr. Courtney Lindsay Ms. Mary Beth Breslin Office of Life Sciences Division of Corporation Finance Securities and Exchange Commission 100 F Street, N.E. Washington, D.C. 20549 Re: Compass Therapeutics, Inc. Current Report on Form 8-K Filed June 23, 2020 File No. 000-55939 Dear Mr. Lindsay and Ms.
June 29, 2020	EX-99.2	LOCK-UP AGREEMENT LOCK-UP AGREEMENT This LOCK-UP AGREEMENT (this ?Agreement?) is made as of June 19, 2020, by and between the undersigned person or entity (the ?Restricted Holder?) and Compass Therapeutics, Inc.
June 29, 2020	SC 13D	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 Compass Therapeutics, Inc. (Name of Issuer) COMMON STOCK (Title of Class of Securities) None (CUSIP Number) OrbiMed Advisors LLC OrbiMed Capital GP V LLC 601 Lexington Avenue, 54th Floor New York, NY 10022 Telephone: (212) 739-6400 (Name, Address and Telephone Number of Pe
June 29, 2020	EX-99.1	JOINT FILING AGREEMENT Exhibit 1 JOINT FILING AGREEMENT The undersigned hereby agree that the Statement on Schedule 13D, dated June 29, 2020, with respect to the common shares of Compass Therapeutics, Inc.
June 26, 2020	EX-99.2	Form of Lock-Up Agreement. Exhibit 2 LOCK-UP AGREEMENT This LOCK-UP AGREEMENT (this ?Agreement?) is made as of June 17, 2020, by and between the undersigned person or entity (the ?Restricted Holder?) and Compass Therapeutics, Inc.
June 26, 2020	EX-99.1	Joint Filing Agreement. Exhibit 1 JOINT FILING AGREEMENT The undersigned hereby agree that the Statement on this Schedule 13D, dated June 26, 2020 (the ?Schedule 13D?), with respect to the Common Stock, of Compass Therapeutics, Inc.
June 26, 2020	SC 13D	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 COMPASS THERAPEUTICS, INC. (Name of Issuer) COMMON STOCK (Title of Class of Securities) (CUSIP Number) Thomas J. Schuetz 24 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 COMPASS THERAPEUTICS, INC. (Name of Issuer) COMMON STOCK (Title of Class of Securities) NONE (CUSIP Number) Thomas J. Schuetz 245 First Street, 3rd Floor Cambridge, MA 02142 Telephone: (617) 500-8099 (Name, Address and Telephone Number of Person Authorized to Receive Notic
June 26, 2020	EX-99.1	Form of Lock-Up Agreement. Exhibit 1 LOCK-UP AGREEMENT This LOCK-UP AGREEMENT (this ?Agreement?) is made as of June 17, 2020, by and between the undersigned person or entity (the ?Restricted Holder?) and Compass Therapeutics, Inc.
June 26, 2020	SC 13D	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 COMPASS THERAPEUTICS, INC. (Name of Issuer) COMMON STOCK (Title of Class of Securities) (CUSIP Number) Philip Ferneau Borea UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 COMPASS THERAPEUTICS, INC. (Name of Issuer) COMMON STOCK (Title of Class of Securities) NONE (CUSIP Number) Philip Ferneau Borealis Granite Fund, L.P. Vox Health Fund, L.P. Borealis Capital Partners III, LLC Borealis Capital Partners IV, LLC Philip Ferneau 10 Allen Street
June 23, 2020	EX-10.8	Subscription Agreement, dated June 19, 2020, by and between Compass Therapeutics, Inc. and the investors party thereto (incorporated by reference to Exhibit 10.8 to the Current Report on Form 8-K filed with the SEC on June 23, 2020) Exhibit 10.8 SUBSCRIPTION AGREEMENT This Subscription Agreement (this “Agreement”) has been entered into by and between the purchaser set forth on the Omnibus Signature Page hereof (the “Purchaser”) and Olivia Ventures, Inc. (to be renamed “Compass Therapeutics, Inc.” upon consummation of the Merger (as defined below)), a Delaware corporation (the “Company”) in connection with the private placemen
June 23, 2020	EX-99.1	Report of Independent Registered Public Accounting Firm Exhibit 99.1 Compass Therapeutics LLC and Subsidiary Consolidated Financial Statements December 31, 2019 and 2018 Compass Therapeutics LLC and Subsidiary Index December 31, 2019 and 2018 Page(s) Report of Independent Registered Public Accounting Firm 1 Consolidated Financial Statements Consolidated Balance Sheets 2 Consolidated Statements of Operations 3 Consolidated Statements of Preferred Units
June 23, 2020	EX-10.5	Form of Indemnification Agreement (executive officers) (incorporated by reference to Exhibit 10.5 to the Current Report on Form 8-K filed with the SEC on June 23, 2020) Exhibit 10.5 Compass THERAPEutics, inc. FORM OF OFFICER INDEMNIFICATION AGREEMENT This Indemnification Agreement (“Agreement”) is made as of [Date] by and between Compass Therapeutics, Inc., a Delaware corporation (the “Company”), and [Officer] (“Indemnitee”). RECITALS WHEREAS, the Company desires to attract and retain the services of highly qualified individuals, such as Indemnitee, to serve the
June 23, 2020	EX-10.1	2020 Stock Option and Incentive Plan (incorporated by reference to Exhibit 10.1 to the Current Report on Form 8-K filed with the SEC on June 23, 2020) Exhibit 10.1 COMPASS THERAPEUTICS, INC. 2020 STOCK OPTION AND INCENTIVE PLAN SECTION 1. GENERAL PURPOSE OF THE PLAN; DEFINITIONS The name of the plan is the Compass Therapeutics, Inc. 2020 Stock Option and Incentive Plan (the “Plan”). The purpose of the Plan is to encourage and enable the officers, employees, Non-Employee Directors and Consultants of Compass Therapeutics, Inc. (the “Company”) and
June 23, 2020	EX-10.3	Offer letter, dated November 8, 2017, between Vered Bisker-Leib and Compass Therapeutics LLC (incorporated by reference to Exhibit 10.3 to the Current Report on Form 8-K filed with the SEC on June 23, 2020) Exhibit 10.3 CONFIDENTIAL Confidential Offer Letter For Vered Bisker-Leib November 28, 2017 Dear Vered: We are very pleased to offer you full time, permanent employment with Compass Therapeutics LLC (“Compass”) as Chief Business Officer (CBO), under the following terms. You will report directly to Co-founder and Chief Executive Officer, Thomas Schuetz. Your responsibilities will include oversight
June 23, 2020	EX-10.6	Form of Pre-Merger Indemnification Agreement (directors and executive officers) (incorporated by reference to Exhibit 10.6 to the Current Report on Form 8-K filed with the SEC on June 23, 2020) Exhibit 10.6 INDEMNITY AGREEMENT This Indemnity Agreement (the “Agreement”), dated as of June , 2020, is entered into by and among Olivia Ventures, Inc., a Delaware corporation (the “Parent”), Compass Therapeutics LLC, a Delaware limited liability company (“Compass” and together with the Parent, the “Companies”), and the undersigned Indemnitee (the “Indemnitee”) W I T N E S S E T H: WHEREAS, Indem
June 23, 2020	EX-10.13	Third Amendment to Loan and Security Agreement, dated October 29, 2019, by and between Pacific Western Bank, Inc., Compass Therapeutics, LLC and Compass Therapeutics Advisors, Inc. (incorporated by reference to Exhibit 10.13 to the Current Report on Form 8-K filed with the SEC on June 23, 2020) Exhibit 10.13 THIRD AMENDMENT TO LOAN AND SECURITY AGREEMENT This Third Amendment to Loan and Security Agreement (this “Amendment”) is made and entered into as of October 29, 2019, by and among PACIFIC WESTERN BANK, a California state chartered bank (“Bank”), and COMPASS THERAPEUTICS LLC and COMPASS THERAPEUTICS ADVISORS, INC. (each a “Borrower” and collectively, “Borrowers”). RECITALS Borrowers a
June 23, 2020	EX-10.10	Loan and Security Agreement, dated March 30, 2018, by and between Pacific Western Bank, Inc., Compass Therapeutics, LLC and Compass Therapeutics Advisors, Inc. (incorporated by reference to Exhibit 10.10 to the Current Report on Form 8-K filed with the SEC on June 23, 2020) Exhibit 10.10 COMPASS THERAPEUTICS LLC COMPASS THERAPEUTICS ADVISORS, INC. PACIFIC WESTERN BANK LOAN AND SECURITY AGREEMENT This LOAN AND SECURITY AGREEMENT (the “Agreement”) is entered into as of March 30, 2018, by and between PACIFIC WESTERN BANK, a California state chartered bank (“Bank”) and COMPASS THERAPEUTICS LLC, a Delaware limited liability company (“Parent”), and COMPASS THERAPEUTICS ADV
June 23, 2020	8-K	Changes in Control of Registrant, Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers, Amendments to Articles of Incorporation or Bylaws; Change in Fiscal Year, Change in Shell Company Status, Material Modification to Rights of Security Holders, Unregistered Sales of Equity Securities, Financial Statements and Exhibits, Changes in Registrant's Certifying Accountant, Completion of Acquisition or Disposition of Assets, Other Events, Submission of Matters to a Vote of Security Holders, Entry into a Material Definitive Agreement, Entry into a Material Definitive Agreement UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): June 17, 2020 COMPASS THERAPEUTICS, INC. (Exact Name of Registrant as Specified in its Charter) Delaware 000-55939 EIN 82-4876496 (State of Incorporation) (Commission File Number) (IR
June 23, 2020	EX-3.3	Amended and Restated Bylaws (incorporated by reference to Exhibit 3.3 to the Current Report on Form 8-K filed with the SEC on June 23, 2020) Exhibit 3.3 AMENDED AND RESTATED BYLAWS OF COMPASS THERAPEUTICS, INC. (the “Corporation”) ARTICLE I Stockholders SECTION 1. Annual Meeting. The annual meeting of stockholders (any such meeting being referred to in these Bylaws as an “Annual Meeting”) shall be held at the hour, date and place within or without the United States which is fixed by the Board of Directors, which time, date and place ma
June 23, 2020	EX-10.11	First Amendment to Loan and Security Agreement, dated September 26, 2018, by and between Pacific Western Bank, Inc., Compass Therapeutics, LLC and Compass Therapeutics Advisors, Inc. (incorporated by reference to Exhibit 10.11 to the Current Report on Form 8-K filed with the SEC on June 23, 2020) Exhibit 10.11 FIRST AMENDMENT TO LOAN AND SECURITY AGREEMENT This First Amendment to Loan and Security Agreement (this “Amendment”) is entered into as of September 26, 2018, by and among PACIFIC WESTERN BANK, a California state chartered bank (“Bank”), and COMPASS THERAPEUTICS LLC and COMPASS THERAPEUTICS ADVISORS, INC. (each a “Borrower” and collectively, “Borrowers”). RECITALS Borrower and Bank
June 23, 2020	EX-99.3	UNAUDITED PRO FORMA COMBINED FINANCIAL INFORMATION Exhibit 99.3 UNAUDITED PRO FORMA COMBINED FINANCIAL INFORMATION We were incorporated as Olivia Ventures, Inc., or Olivia, in the State of Delaware on March 20, 2018. Prior to the Merger (as defined below), we were a “shell company” (as defined in Rule 12b-2 of the Securities Exchange Act of 1934, as amended, or the Exchange Act). As a result of the Merger, we have ceased to be a “shell company”. O
June 23, 2020	EX-3.1	Certificate of Merger relating to the merger of Compass Acquisition LLC with and into Compass Therapeutics LLC, filed with the Secretary of State of the State of Delaware on 17, 2020 (incorporated by reference to Exhibit 3.1 to the Current Report on Form 8-K filed with the SEC on June 23, 2020) Exhibit 3.1 STATE OF DELAWARE CERTIFICATE OF MERGER OF DOMESTIC LIMITED LIABILITY COMPANIES Pursuant to Section 18-209 of the Delaware Limited Liability Company Act, the undersigned limited liability company executed the following Certificate of Merger: 1. The names of each of the constituent companies that are to merge are Compass Acquisition LLC, a Delaware limited liability company, and Compass
June 23, 2020	EX-2.1	Agreement and Plan of Merger, dated June 17, 2020, by and among the Olivia Ventures, Inc., Compass Acquisition LLC, Compass Therapeutics LLC, BBV International Compass Inc., Biomatics—Compass, Inc., CHI II Blocker LLC, OrbiMed Private Investments V—KA (Blocker), Inc., Eight Roads Investments, Biomatics Capital Partners, L.P., Cowen Healthcare Investments II LP, CHI EF II LP, and OrbiMed Private Investments V—KA (Feeder), LP (incorporated by reference to Exhibit 2.1 to the Current Report on Form 8-K filed with the SEC on June 23, 2020) Exhibit 2.1 AGREEMENT AND PLAN OF MERGER AND REORGANIZATION among OLIVIA VENTURES, INC., a Delaware corporation COMPASS ACQUISITION LLC, a Delaware limited liability company and COMPASS THERAPEUTICS LLC, a Delaware limited liability company and BBV International Compass Inc. Biomatics – Compass, Inc. CHI II Blocker LLC OrbiMed Private Investments V – KA (Blocker), Inc. and Eight Roads Investments
June 23, 2020	EX-10.9	Amended and Restated Collaboration Agreement, dated February 11, 2015, by and between Adimab LLC and Kairos Biologics Foundation LLC (incorporated by reference to Exhibit 10.9 to the Current Report on Form 8-K filed with the SEC on June 23, 2020) Exhibit 10.9 EXECUTION COPY CERTAIN CONFIDENTIAL PORTIONS OF THIS EXHIBIT HAVE BEEN OMITTED AND REPLACED WITH “[***]”. SUCH IDENTIFIED INFORMATION HAS BEEN EXCLUDED FROM THIS EXHIBIT BECAUSE IT IS (I) NOT MATERIAL AND (II) WOULD LIKELY CAUSE COMPETITIVE HARM TO THE COMPANY IF DISCLOSED. AMENDED AND RESTATED COLLABORATION AGREEMENT This Amended and Restated Collaboration Agreement (the “Agreement”)
June 23, 2020	EX-10.7	Registration Rights Agreement, dated June 19, 2020, by and among Compass Therapeutics, Inc. and the parties thereto (incorporated by reference to Exhibit 10.7 to the Current Report on Form 8-K filed with the SEC on June 23, 2020) Exhibit 10.7 REGISTRATION RIGHTS AGREEMENT This Registration Rights Agreement (this “Agreement”) is made and entered into effective as of June 19, 2020, among Compass Therapeutics, Inc., a Delaware corporation (the “Company”), the persons who have purchased the Offering Shares (as defined below) and have executed omnibus or counterpart signature page(s) hereto (each, a “Purchaser” and collectively
June 23, 2020	EX-99.4	Compass Therapeutics Completes Reverse Merger and Closes $60 Million Private Placement Exhibit 99.4 Compass Therapeutics Completes Reverse Merger and Closes $60 Million Private Placement CAMBRIDGE, Mass., June 23rd, 2020 — Compass Therapeutics, a clinical-stage biotechnology company developing proprietary antibody therapeutics intended to engage the immune system to treat both solid tumors and hematological malignancies, today announced the closing of a $60 million private placement
June 23, 2020	EX-10.15	Sublease Modification Agreement, dated January 17, 2018, by and between Horizon Discovery, Inc. and Compass Therapeutics, LLC (incorporated by reference to Exhibit 10.15 to the Current Report on Form 8-K filed with the SEC on June 23, 2020) Exhibit 10.15 CLPF-CAMBRIDGE SCIENCE CENTER, LLC c/o Clarion Partners 101 Arch Street, 17th Floor Boston, MA 02110 January 17, 2018 Horizon Discovery Inc. 245 First Street Cambridge, Massachusetts 02142 Compass Therapeutics LLC 245 First Street Cambridge, Massachusetts 02142 Re: Consent to Sublease Modification Agreement Ladies and Gentlemen: Reference is made to Lease dated November 9, 2015 (the
June 23, 2020	EX-10.4	Form of Indemnification Agreement (directors) (incorporated by reference to Exhibit 10.4 to the Current Report on Form 8-K filed with the SEC on June 23, 2020) Exhibit 10.4 COMPASS THERAPEUTICS, INC. FORM OF DIRECTOR INDEMNIFICATION AGREEMENT This Indemnification Agreement (“Agreement”) is made as of [Date] by and between Compass Therapeutics, Inc., a Delaware corporation (the “Company”), and [Director] (“Indemnitee”). RECITALS WHEREAS, the Company desires to attract and retain the services of highly qualified individuals, such as Indemnitee, to serve th
June 23, 2020	EX-99.2	Compass Therapeutics LLC and Subsidiary Index to Unaudited Financial Statements Exhibit 99.2 Compass Therapeutics LLC and Subsidiary Index to Unaudited Financial Statements Page Condensed Consolidated Balance Sheets F-2 Condensed Consolidated Statements of Operations F-3 Condensed Consolidated Statements of Preferred Units and Members’ Deficit F-4 Condensed Consolidated Statements of Cash Flows F-5 Notes to Condensed Consolidated Financial Statements F-6 F-1 Compass Therapeut
June 23, 2020	EX-16.1	Letter from Raich Ende Malter & Co. LLP as to the change in certifying accountant, dated as of June 23, 2020 Exhibit 16.1 June 23, 2020 Securities and Exchange Commission 100 F Street NE Washington, D.C. 20549 Ladies and Gentlemen: We have read Item 4.01 of the Current Report on Form 8-K dated June 23, 2020 of Compass Therapeutics, Inc. and are in agreement with the statements in the paragraphs within that Item as they relate to our firm. We have no basis to agree or disagree with other statements of the
June 23, 2020	EX-10.14	Sublease Agreement, dated July 29, 2016, by and between Horizon Discovery, Inc. and Compass Therapeutics, LLC (incorporated by reference to Exhibit 10.14 to the Current Report on Form 8-K filed with the SEC on June 23, 2020) Exhibit 10.14 JAMESTOWN PREMIER 245 FIRST, LLC c/o Jamestown 675 Ponce de Leon Avenue, 7th Floor Atlanta, GA 30308 July 29, 2016 Horizon Discovery Inc. 245 First Street Cambridge, MA 02142 Attn: Jeb Ledell Compass Therapeutics LLC 245 First Street Cambridge, MA 02142 Attn: Errik B. Anderson Foley Hoag LLP 155 Seaport Boulevard Boston, MA 02210 Attn: Robert L. Birnbaum Esq. RE: CONSENT TO SUBLEASE
June 23, 2020	EX-10.12	Second Amendment to Loan and Security Agreement, dated March 8, 2019, by and between Pacific Western Bank, Inc., Compass Therapeutics, LLC and Compass Therapeutics Advisors, Inc. (incorporated by reference to Exhibit 10.12 to the Current Report on Form 8-K filed with the SEC on June 23, 2020) Exhibit 10.12 SECOND AMENDMENT TO LOAN AND SECURITY AGREEMENT This Second Amendment to Loan and Security Agreement (this “Amendment”) is entered into as of March 8, 2019, by and among PACIFIC WESTERN BANK, a California state chartered bank (“Bank”), and COMPASS THERAPEUTICS LLC and COMPASS THERAPEUTICS ADVISORS, INC. (each a “Borrower” and collectively, “Borrowers”). RECITALS Borrower and Bank are
June 23, 2020	EX-10.2	2020 Senior Executive Cash Incentive Bonus Plan (incorporated by reference to Exhibit 10.2 to the Current Report on Form 8-K filed with the SEC on June 23, 2020) Exhibit 10.2 COMPASS THERAPEUTICS, INC. SENIOR EXECUTIVE CASH INCENTIVE BONUS PLAN 1. Purpose This Senior Executive Cash Incentive Bonus Plan (the “Incentive Plan”) is intended to provide an incentive for superior work and to motivate eligible executives of Compass Therapeutics, Inc. (the “Company”) and its subsidiaries toward even higher achievement and business results, to tie their goals and in
June 23, 2020	EX-21.1	Subsidiaries of the Registrant (incorporated by reference to Exhibit 21.1 to the Current Report on Form 8-K filed with the SEC on June 23, 2020) Exhibit 21.1 SUBSIDIARIES OF COMPASS THERAPEUTICS, INC. Name Jurisdiction of Formation / Incorporation Compass Therapeutics LLC Delaware Compass Therapeutics Advisors Inc. Delaware BBV International Compass Inc. Delaware Biomatics – Compass, Inc. Delaware CHI II Blocker LLC Delaware OrbiMed Private Investments V – KA (Blocker), Inc. Delaware
June 23, 2020	EX-3.2	Amended and Restated Certificate of Incorporation (incorporated by reference to Exhibit 3.2 to the Current Report on Form 8-K filed with the SEC on June 23, 2020) Exhibit 3.2 AMENDED AND RESTATED CERTIFICATE OF INCORPORATION OF COMPASS THERAPEUTICS, INC. (f/k/a OLIVIA VENTURES, INC.) Olivia Ventures, Inc., a corporation organized and existing under the laws of the State of Delaware (the “Corporation”), hereby certifies as follows: 1. This corporation was originally incorporated pursuant to the General Corporation Law on March 20, 2018. Effective immediately
June 8, 2020	10-K	Annual Report - ANNUAL REPORT UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K (Mark One) ☒ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended March 31, 2020 or ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number: 000-55939 OLIVIA VENTURES,
May 28, 2020	SC 14F1/A	- FORM SC 14F1/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 AMENDMENT NO. 1 TO SCHEDULE 14F-1 INFORMATION STATEMENT PURSUANT TO SECTION 14(f) OF THE SECURITIES EXCHANGE ACT OF 1934 AND RULE 14f-1 THEREUNDER OLIVIA VENTURES, INC. (Exact name of Registrant as specified in its charter) Delaware 000-55939 82-4876496 (State or other jurisdiction of incorporation or organization) (Commission
May 27, 2020	SC 14F1	- SCHEDULE 14F-1 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 14F-1 INFORMATION STATEMENT PURSUANT TO SECTION 14(f) OF THE SECURITIES EXCHANGE ACT OF 1934 AND RULE 14f-1 THEREUNDER OLIVIA VENTURES, INC. (Exact name of Registrant as specified in its charter) Delaware 000-55939 82-4876496 (State or other jurisdiction of incorporation or organization) (Commission File Number) (IRS
February 14, 2020	10-Q	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended December 31, 2019 ☐ TRANSITION REPOR UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended December 31, 2019 OR ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number: 000-55939 OLIVIA
November 13, 2019	10-Q	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2019 ☐ TRANSITION REPO UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2019 OR ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number: 000-55939 OLIVI
August 13, 2019	10-Q	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2019 ☐ TRANSITION REPORT PU UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2019 OR ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number: 000-55939 OLIVIA VEN
July 1, 2019	10-K	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K (Mark One) ☒ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended March 31, 2019 ☐ TRANSITION REPORT PURSUANT UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K (Mark One) ? ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended March 31, 2019 or ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number: 000-55939 OLIVIA VENTURES,
February 14, 2019	10-Q	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended December 31, 2018 ☐ TRANSITION REPOR UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended December 31, 2018 OR ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number: 000-55939 OLIVIA
February 13, 2019	SC 13G	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment ____)* OLIVIA VENTURES, INC. (Name of Issuer) Common Stock, $0.0001 par value (Title of Class of Securities) (CU UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment )* OLIVIA VENTURES, INC. (Name of Issuer) Common Stock, $0.0001 par value (Title of Class of Securities) None (CUSIP Number) December 31, 2018 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to whi
November 14, 2018	10-Q	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2018 OR ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number: 000-55939 OLIVI

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