Other Information.
−Removed: During the three-month period ended September 30, 2025, none of our directors or officers (as defined in Rule 16a-1(f) of the Securities Exchange Act of 1934, as amended) adopted, terminated or modified a Rule 10b5-1 trading arrangement or any “non-Rule 10b5-1 trading agreement” (as defined in Item 408(c) of Regulation S-K).
+Added: During the three-month period ended March 31, 2026, none of our directors or officers (as defined in Rule 16a-1(f) of the Securities Exchange Act of 1934, as amended) adopted, terminated or modified a Rule 10b5-1 trading arrangement or any “non-Rule 10b5-1 trading agreement” (as defined in Item 408(c) of Regulation S-K).
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).
1 unchanged sentence
Form of Pre-Funded Warrant (incorporated by reference to Exhibit 4.1 to the Current Report on Form 8-K filed with the SEC on August 13, 2025).
−Removed: Certification of Principal Executive Officer Pursuant to Rules 13a-14(a) and 15d-14(a) under the Securities Exchange Act of 1934, as Adopted Pursuant to Section 302 of the Sarbanes-Oxley Act of 2002.
+Added: Employment Agreement between Compass Therapeutics, Inc.
+Added: and Arjun Prasad, dated January 1, 2026 (incorporated by reference to Exhibit 10.17 to the Annual Report on Form 10-K filed with the SEC on March 5, 2026.
+Added: Employment Agreement between Compass Therapeutics, Inc.
+Added: and Cynthia Sirard, dated January 1, 2026 (incorporated by reference to Exhibit 10.18 to the Annual Report on Form 10-K filed with the SEC on March 5, 2026.
Certification of Principal Financial Officer Pursuant to Rules 13a-14(a) and 15d-14(a) under the Securities Exchange Act of 1934, as Adopted Pursuant to Section 302 of the Sarbanes-Oxley Act of 2002.
12 unchanged sentences
This exhibit is being furnished and shall not be deemed to be “filed” for purposes of Section 18 of the Exchange Act, or otherwise subject to the liability of that section, nor shall such exhibits be deemed to be incorporated by reference in any registration statement or other document filed under the Securities Act or the Exchange Act, except as otherwise stated in such filing.
+Added: Indicates a management contract or any compensatory plan, contract or arrangement.
Pursuant to the requirements of the Exchange Act, the registrant has duly caused this report to be signed on its behalf by the undersigned thereunto duly authorized.
Compass Therapeutics, Inc.
−Removed: November 5, 2025
/s/ Thomas Schuetz
1 unchanged sentence
Principal Executive Officer
−Removed: November 5, 2025
/s/ Barry Shin
Principal Financial Officer
−Removed: November 5, 2025
/s/ Neil Lerner
1 unchanged sentence
Compared sentence by sentence after normalising whitespace, quotation marks, case and digits, so re-formatting and restated figures do not read as changed language. Wording changes appear as one removal and one addition. The current filing and the prior one are authoritative.