Insider filing report for Changes in Beneficial Ownership
- Schedule 13G & 13D forms are used to report a party's ownership of stock which exceeds 5% of a company's total stock issue.
- Schedule 13G is a shorter version of Schedule 13D with fewer reporting requirements.
"Insiders might sell their shares for any number of reasons, but they buy them for only one: they think the price will rise"
- Peter Lynch
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- Peter Lynch
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UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
SCHEDULE 13G
UNDER THE SECURITIES EXCHANGE ACT OF 1934
(Amendment No. __)*
COMPASS Pathways plc
(Name of Issuer)
Ordinary shares, nominal value £0.008 per share
(Title of Class of Securities)
20451W101 (1)
(CUSIP Number)
December 31, 2020
(Date of Event Which Requires Filing of this Statement)
Check the appropriate box to designate the rule pursuant to which this Schedule is filed:
| ☐ | Rule 13d-1(b) | ||||
| ☐ | Rule 13d-1(c) | ||||
| ☒ | Rule 13d-1(d) | ||||
| * | The remainder of this cover page shall be filled out for a reporting person’s initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter the disclosures provided in a prior cover page. | ||||
The information required in the remainder of this cover page shall not be deemed to be “filed” for the purpose of Section 18 of the Securities Exchange Act of 1934 (“Act”) or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act (however, see the Notes).
(1) CUSIP number 20451W101 has been assigned to the American Depositary Shares (“ADSs”) of the Issuer. Each ADS represents one Ordinary Share. No CUSIP number has been assigned to the Ordinary Shares of the Issuer.
| 1. | Names of Reporting Person George Jay Goldsmith | |||||||||||||||||||||||||||||||
| 2. | Check the Appropriate Box if a Member of a Group (See Instructions) (a) ☐ (b) ☐ | |||||||||||||||||||||||||||||||
| 3. | SEC Use Only | |||||||||||||||||||||||||||||||
| 4. | Citizenship or Place of Organization United Kingdom | |||||||||||||||||||||||||||||||
Number of Shares Beneficially Owned by Each Reporting Person With | 5. | Sole Voting Power 4,521,571 | ||||||||||||||||||||||||||||||
| 6. | Shared Voting Power 0 | |||||||||||||||||||||||||||||||
| 7. | Sole Dispositive Power 4,521,571 | |||||||||||||||||||||||||||||||
| 8. | Shared Dispositive Power 0 | |||||||||||||||||||||||||||||||
| 9. | Aggregate Amount Beneficially Owned by Each Reporting Person 4,521,571 | |||||||||||||||||||||||||||||||
| 10. | Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions) ☐ | |||||||||||||||||||||||||||||||
| 11. | Percent of Class Represented by Amount in Row (9) 12.6% (1) | |||||||||||||||||||||||||||||||
| 12. | Type of Reporting Person (See Instructions) IN | |||||||||||||||||||||||||||||||
| (1) | The percentage of the outstanding ordinary shares of the Issuer, nominal value £0.008 per share (“Ordinary Shares”) beneficially owned by the Reporting Person is based on 35,930,331 Ordinary Shares outstanding as of December 31, 2020, as reported by the Issuer to the Reporting Person. The Reporting Person and Ekaterina Malievaskaia are married but the Reporting Person expressly disclaims beneficial ownership of the Ordinary Shares owned by Dr. Malievskaia. | ||||
| 1. | Names of Reporting Person Ekaterina Malievskaia | |||||||||||||||||||||||||||||||
| 2. | Check the Appropriate Box if a Member of a Group (See Instructions) (a) ☐ (b) ☐ | |||||||||||||||||||||||||||||||
| 3. | SEC Use Only | |||||||||||||||||||||||||||||||
| 4. | Citizenship or Place of Organization United Kingdom | |||||||||||||||||||||||||||||||
Number of Shares Beneficially Owned by Each Reporting Person With | 5. | Sole Voting Power 4,521,571 | ||||||||||||||||||||||||||||||
| 6. | Shared Voting Power 0 | |||||||||||||||||||||||||||||||
| 7. | Sole Dispositive Power 4,521,571 | |||||||||||||||||||||||||||||||
| 8. | Shared Dispositive Power 0 | |||||||||||||||||||||||||||||||
| 9. | Aggregate Amount Beneficially Owned by Each Reporting Person 4,521,571 | |||||||||||||||||||||||||||||||
| 10. | Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions) ☐ | |||||||||||||||||||||||||||||||
| 11. | Percent of Class Represented by Amount in Row (9) 12.6% (1) | |||||||||||||||||||||||||||||||
| 12. | Type of Reporting Person (See Instructions) IN | |||||||||||||||||||||||||||||||
| (1) | The percentage of the outstanding Ordinary Shares of the Issuer beneficially owned by the Reporting Person is based on 35,930,331 Ordinary Shares outstanding as of December 31, 2020, as reported by the Issuer to the Reporting Person. The Reporting Person and George Jay Goldsmith are married but the Reporting Person expressly disclaims beneficial ownership of the Ordinary Shares owned by Mr. Goldsmith. | ||||
Item 1. | |||||
| (a) | Name of Issuer | |||||||
COMPASS Pathways plc (the “Issuer”)
| (b) | Address of Issuer’s Principal Executive Offices | |||||||
3rd Floor
1 Ashley Road
Altrincham
Chesire WA14 2DT
United Kingdom
| Item 2. | |||||
| (a) | Name of Person Filing | |||||||
This statement is filed by George Jay Goldsmith and Ekaterina Malievskaia.
| (b) | Address of Principal Business Office or, if none, Residence | |||||||
Each Reporting Person’s address is c/o COMPASS Pathways plc, 3
rd Floor, 1 Ashley Road, Altrincham, Cheshire WA14 2DT, United Kingdom.
| (c) | Citizenship | |||||||
The Reporting Persons are citizens of the United Kingdom.
| (d) | Title of Class of Securities | |||||||
Ordinary shares, nominal value £0.008 per share
| (e) | CUSIP Number | |||||||
The CUSIP number 20451W101 has been assigned to the ADSs of the Issuer. Each ADS represents one Ordinary Share. No CUSIP number has been assigned to the Ordinary Shares of the Issuer.
| Item 3. | If this statement is filed pursuant to §§240.13d-1(b) or 240.13d-2(b) or (c), check whether the person filing is a: | ||||
| (a) | ☐ | Broker or dealer registered under Section 15 of the Act; | ||||||||||||
| (b) | ☐ | Bank as defined in Section 3(a)(6) of the Act; | ||||||||||||
| (c) | ☐ | Insurance company as defined in Section 3(a)(19) of the Act; | ||||||||||||
| (d) | ☐ | Investment company registered under Section 8 of the Investment Company Act of 1940; | ||||||||||||
| (e) | ☐ | An investment adviser in accordance with Rule 13d-1(b)(1)(ii)(E); | ||||||||||||
| (f) | ☐ | An employee benefit plan or endowment fund in accordance with Rule 13d-1(b)(1)(ii)(F); | ||||||||||||
| (g) | ☐ | A parent holding company or control person in accordance with Rule 13d-1(b)(1)(ii)(G); | ||||||||||||
| (h) | ☐ | A savings associations as defined in Section 3(b) of the Federal Deposit Insurance Act (12 U.S.C. 1813); | ||||||||||||
| (i) | ☐ | A church plan that is excluded from the definition of an investment company under section 3(c)(14) of the Investment Company Act of 1940; | ||||||||||||
| (j) | ☐ | A non-U.S. institution in accordance with Rule 240.13d-1(b)(1)(ii)(J); | ||||||||||||
| (k) | ☐ | Group, in accordance with Rule 240.13d-1(b)(1)(ii)(K). If filing as a non-U.S. institution in accordance with Rule 240.13d-1(b)(1)(ii)(J), please specify the type of institution: | ||||||||||||
If filing as a non-U.S. institution in accordance with §240.13d-1(b)(1)(ii)(J), please specify the type of institution:
| Item 4. | Ownership | ||||
Provide the following information regarding the aggregate number and percentage of the class of securities of the issuer identified in Item 1.
| (a) and (b) | Amount beneficially owned: | |||||||
| (i) | Mr. Goldsmith directly owns 4,521,571 Ordinary Shares, representing approximately 12.6% of the outstanding Ordinary Shares. | ||||||||||
| (ii) | Dr. Malievskaia directly owns 4,521,571 Ordinary Shares, representing approximately 12.6% of the outstanding Ordinary Shares. Mr. Goldsmith and Dr. Malievskaia are married to each other, but each Reporting Person expressly disclaims beneficial ownership of the securities held by the other Reporting Person. The percentage of the outstanding Ordinary Shares beneficially owned by the Reporting Persons is based on 35,930,331 Ordinary Shares outstanding as of December 31, 2020, as reported by the Issuer to the Reporting Persons. | ||||||||||
| (c) | Number of shares as to which such person has: | ||||||||||
Number of Shares of Common Shares | ||||||||||||||||||||||||||
Reporting Person | (i) | (ii) | (iii) | (iv) | ||||||||||||||||||||||
George Jay Goldsmith | 4,521,571 | 0 | 4,521,571 | 0 | ||||||||||||||||||||||
Ekaterina Malievskaia | 4,521,571 | 0 | 4,521,571 | 0 | ||||||||||||||||||||||
| (i) | Sole power to vote or direct the vote | ||||
| (ii) | Shared power to vote or to direct the vote | ||||
| (iii) | Sole power to dispose or to direct the disposition of | ||||
| (iv) | Shared power to dispose or to direct the disposition of | ||||
| Item 5. | Ownership of Five Percent or Less of a Class | ||||
Not applicable.
| Item 6. | Ownership of More than Five Percent on Behalf of Another Person | ||||
Not applicable.
| Item 7. | Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on By the Parent Holding Company | ||||
Not applicable.
Item 8. | Identification and Classification of Members of the Group | ||||
Not applicable.
| Item 9. | Notice of Dissolution of Group | ||||
Not applicable.
| Item 10. | Certification | ||||
Not applicable.
SIGNATURE
After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct.
| Date: February 12, 2021 | GEORGE JAY GOLDSMITH | |||||||||||||||||||||||||
| /s/ George Jay Goldsmith | ||||||||||||||||||||||||||
EKATERINA MALIEVSKAIA | ||||||||||||||||||||||||||
| /s/ Ekaterina Malievskaia | ||||||||||||||||||||||||||
Joint Filing Agreement
The undersigned acknowledge and agree that the foregoing statement on Schedule 13G is filed on behalf of each of the undersigned and that all subsequent amendments to this statement on Schedule 13G shall be filed on behalf of each of the undersigned without the necessity of filing additional joint filing statements. The undersigned acknowledge that each shall be responsible for the timely filing of such amendments, and for the completeness and accuracy of the information concerning him, her or it contained herein, but shall not be responsible for the completeness and accuracy of the information concerning the other entities or persons, except to the extent that he, she or it knows or has reason to believe that such information is inaccurate.
Date: February 12, 2021 | GEORGE JAY GOLDSMITH | |||||||||||||||||||
| /s/ George Jay Goldsmith | ||||||||||||||||||||
EKATERINA MALIEVSKAIA | ||||||||||||||||||||
| /s/ Ekaterina Malievskaia | ||||||||||||||||||||