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SVF Excalibur (Cayman) Ltd

Disclosed activity across 4 companies

Tapewire entity
81523
SEC CIK
0001836869

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Reported relationships

Latest disclosed role at each company.

CompanyLast reported asReport datePublished
Opendoor Technologies Inc.OPEN · Entity 424210% ownerSeptember 16, 2021September 20, 2021
View, Inc.VIEW · Entity 9122510% ownerMarch 08, 2021March 18, 2021

Disclosed balances

About these balances

Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.

Opendoor Technologies Inc.

Report date September 16, 2021 · Filed September 20, 2021

Jointly reported with SVF Endurance (Cayman) Ltd, SB INVESTMENT ADVISERS (UK) LTD, SOFTBANK VISION FUND (AIV M1) L.P.

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Common StockSEC Table I · non-derivativeIndirectSee footnotes41,420,282 Reported balance After 2021-09-16 transaction · row 1 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source row

Row 1 · 2021-09-16 · Sale · Disposed 32,200,000 · Balance 41,420,282

F1: The securities reported herein are held of record by SVF Excalibur (Cayman) Limited, which is a wholly owned subsidiary of SVF Endurance (Cayman) Limited, which is a wholly owned subsidiary of SoftBank Vision Fund (AIV M1) L.P. SB Investment Advisers (UK) Limited ("SBIA UK") has been appointed as alternative investment fund manager ("AIFM") and is exclusively responsible for managing SoftBank Vision Fund (AIV M1) L.P. in accordance with the Alternative Investment Fund Managers Directive and is authorized and regulated by the UK Financial Conduct Authority accordingly.

F2: As AIFM of SoftBank Vision Fund (AIV M1) L.P., SB Investment Advisers (UK) Limited is exclusively responsible for making all decisions related to the acquisition, structuring, financing and disposal of SoftBank Vision Fund (AIV M1) L.P.'s investments. Each Reporting Person disclaims beneficial ownership of such shares except to the extent of its pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission that any reporting person is the beneficial owner of such shares for purposes of the Securities Exchange Act of 1934 or for any other purpose.

Filing footnotes · ownership attribution and instrument terms

F1: The securities reported herein are held of record by SVF Excalibur (Cayman) Limited, which is a wholly owned subsidiary of SVF Endurance (Cayman) Limited, which is a wholly owned subsidiary of SoftBank Vision Fund (AIV M1) L.P. SB Investment Advisers (UK) Limited ("SBIA UK") has been appointed as alternative investment fund manager ("AIFM") and is exclusively responsible for managing SoftBank Vision Fund (AIV M1) L.P. in accordance with the Alternative Investment Fund Managers Directive and is authorized and regulated by the UK Financial Conduct Authority accordingly.

F2: As AIFM of SoftBank Vision Fund (AIV M1) L.P., SB Investment Advisers (UK) Limited is exclusively responsible for making all decisions related to the acquisition, structuring, financing and disposal of SoftBank Vision Fund (AIV M1) L.P.'s investments. Each Reporting Person disclaims beneficial ownership of such shares except to the extent of its pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission that any reporting person is the beneficial owner of such shares for purposes of the Securities Exchange Act of 1934 or for any other purpose.

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Class A Common StockSEC Table I · non-derivativeIndirectSee footnotes66,194,110 Reported balance Holding disclosure · report date 2021-03-08 · row 1 Holding and transaction disclosures are not merged.
1 source row

Row 1 · Balance 66,194,110

F1: The securities reported herein are held of record by SVF Excalibur (Cayman) Limited, which is a wholly owned subsidiary of SVF Endurance (Cayman) Limited, which is a wholly owned subsidiary of SoftBank Vision Fund (AIV M1) L.P. SB Investment Advisers (UK) Limited has been appointed as alternative investment fund manager ("AIFM") and is exclusively responsible for managing SoftBank Vision Fund (AIV M1) L.P. in accordance with the Alternative Investment Fund Managers Directive and is authorized and regulated by the UK Financial Conduct Authority accordingly.

F2: As AIFM of SoftBank Vision Fund (AIV M1) L.P., SB Investment Advisers (UK) Limited is exclusively responsible for making all decisions related to the acquisition, structuring, financing and disposal of SoftBank Vision Fund (AIV M1) L.P.'s investments. As a result, each of the reporting persons may be deemed to share beneficial ownership of the securities reported herein. Each of them disclaims any such beneficial ownership except to the extent of its pecuniary interest therein.

Filing footnotes · ownership attribution and instrument terms

F1: The securities reported herein are held of record by SVF Excalibur (Cayman) Limited, which is a wholly owned subsidiary of SVF Endurance (Cayman) Limited, which is a wholly owned subsidiary of SoftBank Vision Fund (AIV M1) L.P. SB Investment Advisers (UK) Limited has been appointed as alternative investment fund manager ("AIFM") and is exclusively responsible for managing SoftBank Vision Fund (AIV M1) L.P. in accordance with the Alternative Investment Fund Managers Directive and is authorized and regulated by the UK Financial Conduct Authority accordingly.

F2: As AIFM of SoftBank Vision Fund (AIV M1) L.P., SB Investment Advisers (UK) Limited is exclusively responsible for making all decisions related to the acquisition, structuring, financing and disposal of SoftBank Vision Fund (AIV M1) L.P.'s investments. As a result, each of the reporting persons may be deemed to share beneficial ownership of the securities reported herein. Each of them disclaims any such beneficial ownership except to the extent of its pecuniary interest therein.

Past disclosures · reporting ended (2)

No longer tracked through insider filings. These historical balances do not imply present ownership or a zero position.

Section 16 reporting ended · disclosed 2025-03-26. Current position is not established by this disclosure.

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Class A Common StockSEC Table I · non-derivativeIndirectSee footnotes48,070,273 Reported balance After 2025-03-24 transaction · row 1 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source row

Row 1 · 2025-03-24 · Sale · Disposed 10,000,000 · Balance 48,070,273

F1: The securities reported herein are held of record by SVF Excalibur (Cayman) Limited, which is a wholly owned subsidiary of SVF Endurance (Cayman) Limited, which is a wholly owned subsidiary of SoftBank Vision Fund (AIV M1) L.P. SB Investment Advisers (UK) Limited has been appointed as alternative investment fund manager ("AIFM") and is exclusively responsible for managing SoftBank Vision Fund (AIV M1) L.P. in accordance with the Alternative Investment Fund Managers Directive and is authorized and regulated by the UK Financial Conduct Authority accordingly.

F2: As AIFM of SoftBank Vision Fund (AIV M1) L.P., SB Investment Advisers (UK) Limited is exclusively responsible for making all decisions related to the acquisition, structuring, financing and disposal of SoftBank Vision Fund (AIV M1) L.P.'s investments. As a result, each of the reporting persons may be deemed to share beneficial ownership of the securities reported herein. Each of them disclaims any such beneficial ownership except to the extent of its pecuniary interest therein.

Filing footnotes · ownership attribution and instrument terms

F1: The securities reported herein are held of record by SVF Excalibur (Cayman) Limited, which is a wholly owned subsidiary of SVF Endurance (Cayman) Limited, which is a wholly owned subsidiary of SoftBank Vision Fund (AIV M1) L.P. SB Investment Advisers (UK) Limited has been appointed as alternative investment fund manager ("AIFM") and is exclusively responsible for managing SoftBank Vision Fund (AIV M1) L.P. in accordance with the Alternative Investment Fund Managers Directive and is authorized and regulated by the UK Financial Conduct Authority accordingly.

F2: As AIFM of SoftBank Vision Fund (AIV M1) L.P., SB Investment Advisers (UK) Limited is exclusively responsible for making all decisions related to the acquisition, structuring, financing and disposal of SoftBank Vision Fund (AIV M1) L.P.'s investments. As a result, each of the reporting persons may be deemed to share beneficial ownership of the securities reported herein. Each of them disclaims any such beneficial ownership except to the extent of its pecuniary interest therein.

Section 16 reporting ended · disclosed 2022-10-21. Current position is not established by this disclosure.

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Common StockSEC Table I · non-derivativeIndirectSee footnotes0 Reported balance After 2022-10-19 transaction · row 1 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source row

Row 1 · 2022-10-19 · Other · Disposed 26,614,219 · Balance 0

F1: Pursuant to the Merger Agreement, dated July 24, 2022 (the "Merger Agreement"), by and among the Issuer, Ginkgo Bioworks Holdings, Inc. ("Ginkgo") and Pepper Merger Subsidiary Inc., the Issuer became an indirect wholly owned subsidiary of Ginkgo upon consummation of the merger on October 19, 2022 (the "Effective Time"), as provided for in the Merger Agreement. At the Effective Time, each share of the Issuer's common stock was automatically cancelled, extinguished and converted into the right to receive 0.9179 shares of Class A common stock of Ginkgo, with fractional shares paid in cash, without interest.

F2: The securities reported herein are held of record by SVF Excalibur (Cayman) Limited, which is a wholly owned subsidiary of SVF Endurance (Cayman) Limited, which is a wholly owned subsidiary of SoftBank Vision Fund (AIV M1) L.P. SB Investment Advisers (UK) Limited has been appointed as alternative investment fund manager ("AIFM") and is exclusively responsible for managing SoftBank Vision Fund (AIV M1) L.P. in accordance with the Alternative Investment Fund Managers Directive and is authorized and regulated by the UK Financial Conduct Authority accordingly.

F3: As AIFM of SoftBank Vision Fund (AIV M1) L.P., SB Investment Advisers (UK) Limited is exclusively responsible for making all decisions related to the acquisition, structuring, financing and disposal of SoftBank Vision Fund (AIV M1) L.P.'s investments. As a result, each of the reporting persons may be deemed to share beneficial ownership of the securities reported herein, but disclaims beneficial ownership except to the extent of the pecuniary interest therein.

Filing footnotes · ownership attribution and instrument terms

F1: Pursuant to the Merger Agreement, dated July 24, 2022 (the "Merger Agreement"), by and among the Issuer, Ginkgo Bioworks Holdings, Inc. ("Ginkgo") and Pepper Merger Subsidiary Inc., the Issuer became an indirect wholly owned subsidiary of Ginkgo upon consummation of the merger on October 19, 2022 (the "Effective Time"), as provided for in the Merger Agreement. At the Effective Time, each share of the Issuer's common stock was automatically cancelled, extinguished and converted into the right to receive 0.9179 shares of Class A common stock of Ginkgo, with fractional shares paid in cash, without interest.

F2: The securities reported herein are held of record by SVF Excalibur (Cayman) Limited, which is a wholly owned subsidiary of SVF Endurance (Cayman) Limited, which is a wholly owned subsidiary of SoftBank Vision Fund (AIV M1) L.P. SB Investment Advisers (UK) Limited has been appointed as alternative investment fund manager ("AIFM") and is exclusively responsible for managing SoftBank Vision Fund (AIV M1) L.P. in accordance with the Alternative Investment Fund Managers Directive and is authorized and regulated by the UK Financial Conduct Authority accordingly.

F3: As AIFM of SoftBank Vision Fund (AIV M1) L.P., SB Investment Advisers (UK) Limited is exclusively responsible for making all decisions related to the acquisition, structuring, financing and disposal of SoftBank Vision Fund (AIV M1) L.P.'s investments. As a result, each of the reporting persons may be deemed to share beneficial ownership of the securities reported herein, but disclaims beneficial ownership except to the extent of the pecuniary interest therein.

Transaction history

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Purchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”

The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.

Transaction dateCompanyActivity / securityShares / unitsReported priceReported valueDetails
March 24, 2025 Filed Mar 26, 2025 21:00 UTC Compass, Inc. COMP · Entity 3646 SaleClass A Common Stock 10,000,000 $9.15 $91,500,000.00
Disclosure

SEC source: 0001641172-25-000811 · ownership.xml · nonDerivative · entry 1

SVF Excalibur (Cayman) Ltd · CIK 0001836869 · 10% owner

SVF Endurance (Cayman) Ltd · CIK 0001782338 · 10% owner

SOFTBANK VISION FUND (AIV M1) L.P. · CIK 0001755143 · 10% owner

SB INVESTMENT ADVISERS (UK) LTD · CIK 0001731509 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Indirect · See footnotes

Disclosed balance after: 48,070,273

F1 · ownership.nature: The securities reported herein are held of record by SVF Excalibur (Cayman) Limited, which is a wholly owned subsidiary of SVF Endurance (Cayman) Limited, which is a wholly owned subsidiary of SoftBank Vision Fund (AIV M1) L.P. SB Investment Advisers (UK) Limited has been appointed as alternative investment fund manager ("AIFM") and is exclusively responsible for managing SoftBank Vision Fund (AIV M1) L.P. in accordance with the Alternative Investment Fund Managers Directive and is authorized and regulated by the UK Financial Conduct Authority accordingly.

F2 · ownership.nature: As AIFM of SoftBank Vision Fund (AIV M1) L.P., SB Investment Advisers (UK) Limited is exclusively responsible for making all decisions related to the acquisition, structuring, financing and disposal of SoftBank Vision Fund (AIV M1) L.P.'s investments. As a result, each of the reporting persons may be deemed to share beneficial ownership of the securities reported herein. Each of them disclaims any such beneficial ownership except to the extent of its pecuniary interest therein.

Read SEC document
December 17, 2024 Filed Dec 19, 2024 21:00 UTC Compass, Inc. COMP · Entity 3646 SaleClass A Common Stock 10,000,000 $6.33 $63,300,000.00
Disclosure

SEC source: 0001493152-24-050856 · ownership.xml · nonDerivative · entry 1

SVF Excalibur (Cayman) Ltd · CIK 0001836869 · 10% owner

SVF Endurance (Cayman) Ltd · CIK 0001782338 · 10% owner

SOFTBANK VISION FUND (AIV M1) L.P. · CIK 0001755143 · 10% owner

SB INVESTMENT ADVISERS (UK) LTD · CIK 0001731509 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Indirect · See footnotes

Disclosed balance after: 58,070,273

F1 · ownership.nature: The securities reported herein are held of record by SVF Excalibur (Cayman) Limited, which is a wholly owned subsidiary of SVF Endurance (Cayman) Limited, which is a wholly owned subsidiary of SoftBank Vision Fund (AIV M1) L.P. SB Investment Advisers (UK) Limited has been appointed as alternative investment fund manager ("AIFM") and is exclusively responsible for managing SoftBank Vision Fund (AIV M1) L.P. in accordance with the Alternative Investment Fund Managers Directive and is authorized and regulated by the UK Financial Conduct Authority accordingly.

F2 · ownership.nature: As AIFM of SoftBank Vision Fund (AIV M1) L.P., SB Investment Advisers (UK) Limited is exclusively responsible for making all decisions related to the acquisition, structuring, financing and disposal of SoftBank Vision Fund (AIV M1) L.P.'s investments. As a result, each of the reporting persons may be deemed to share beneficial ownership of the securities reported herein. Each of them disclaims any such beneficial ownership except to the extent of its pecuniary interest therein.

Read SEC document
September 13, 2024 Filed Sep 17, 2024 21:00 UTC Compass, Inc. COMP · Entity 3646 SaleClass A Common Stock 7,500,000 $6.24 $46,800,000.00
Disclosure

SEC source: 0001493152-24-036915 · ownership.xml · nonDerivative · entry 1

SVF Excalibur (Cayman) Ltd · CIK 0001836869 · 10% owner

SVF Endurance (Cayman) Ltd · CIK 0001782338 · 10% owner

SOFTBANK VISION FUND (AIV M1) L.P. · CIK 0001755143 · 10% owner

SB INVESTMENT ADVISERS (UK) LTD · CIK 0001731509 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Indirect · See footnotes

Disclosed balance after: 68,070,273

F1 · ownership.nature: The securities reported herein are held of record by SVF Excalibur (Cayman) Limited, which is a wholly owned subsidiary of SVF Endurance (Cayman) Limited, which is a wholly owned subsidiary of SoftBank Vision Fund (AIV M1) L.P. SB Investment Advisers (UK) Limited has been appointed as alternative investment fund manager ("AIFM") and is exclusively responsible for managing SoftBank Vision Fund (AIV M1) L.P. in accordance with the Alternative Investment Fund Managers Directive and is authorized and regulated by the UK Financial Conduct Authority accordingly.

F2 · ownership.nature: As AIFM of SoftBank Vision Fund (AIV M1) L.P., SB Investment Advisers (UK) Limited is exclusively responsible for making all decisions related to the acquisition, structuring, financing and disposal of SoftBank Vision Fund (AIV M1) L.P.'s investments. As a result, each of the reporting persons may be deemed to share beneficial ownership of the securities reported herein. Each of them disclaims any such beneficial ownership except to the extent of its pecuniary interest therein.

Read SEC document
May 16, 2024 Filed May 20, 2024 21:00 UTC Compass, Inc. COMP · Entity 3646 SaleClass A Common Stock 16,900,000 $4.30 $72,670,000.00
Disclosure

SEC source: 0001493152-24-020806 · ownership.xml · nonDerivative · entry 1

SVF Excalibur (Cayman) Ltd · CIK 0001836869 · 10% owner

SVF Endurance (Cayman) Ltd · CIK 0001782338 · 10% owner

SOFTBANK VISION FUND (AIV M1) L.P. · CIK 0001755143 · 10% owner

SB INVESTMENT ADVISERS (UK) LTD · CIK 0001731509 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Indirect · See footnotes

Disclosed balance after: 75,570,273

F1 · ownership.nature: The securities reported herein are held of record by SVF Excalibur (Cayman) Limited, which is a wholly owned subsidiary of SVF Endurance (Cayman) Limited, which is a wholly owned subsidiary of SoftBank Vision Fund (AIV M1) L.P. SB Investment Advisers (UK) Limited has been appointed as alternative investment fund manager ("AIFM") and is exclusively responsible for managing SoftBank Vision Fund (AIV M1) L.P. in accordance with the Alternative Investment Fund Managers Directive and is authorized and regulated by the UK Financial Conduct Authority accordingly.

F2 · ownership.nature: As AIFM of SoftBank Vision Fund (AIV M1) L.P., SB Investment Advisers (UK) Limited is exclusively responsible for making all decisions related to the acquisition, structuring, financing and disposal of SoftBank Vision Fund (AIV M1) L.P.'s investments. As a result, each of the reporting persons may be deemed to share beneficial ownership of the securities reported herein. Each of them disclaims any such beneficial ownership except to the extent of its pecuniary interest therein.

Read SEC document
January 09, 2024 Filed Jan 11, 2024 21:00 UTC Compass, Inc. COMP · Entity 3646 SaleClass A Common Stock 10,000,000 $3.66 $36,600,000.00
Disclosure

SEC source: 0001493152-24-002111 · ownership.xml · nonDerivative · entry 1

SVF Excalibur (Cayman) Ltd · CIK 0001836869 · 10% owner

SVF Endurance (Cayman) Ltd · CIK 0001782338 · 10% owner

SOFTBANK VISION FUND (AIV M1) L.P. · CIK 0001755143 · 10% owner

SB INVESTMENT ADVISERS (UK) LTD · CIK 0001731509 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Indirect · See footnotes

Disclosed balance after: 92,470,273

F1 · ownership.nature: The securities reported herein are held of record by SVF Excalibur (Cayman) Limited, which is a wholly owned subsidiary of SVF Endurance (Cayman) Limited, which is a wholly owned subsidiary of SoftBank Vision Fund (AIV M1) L.P. SB Investment Advisers (UK) Limited has been appointed as alternative investment fund manager ("AIFM") and is exclusively responsible for managing SoftBank Vision Fund (AIV M1) L.P. in accordance with the Alternative Investment Fund Managers Directive and is authorized and regulated by the UK Financial Conduct Authority accordingly.

F2 · ownership.nature: As AIFM of SoftBank Vision Fund (AIV M1) L.P., SB Investment Advisers (UK) Limited is exclusively responsible for making all decisions related to the acquisition, structuring, financing and disposal of SoftBank Vision Fund (AIV M1) L.P.'s investments. As a result, each of the reporting persons may be deemed to share beneficial ownership of the securities reported herein. Each of them disclaims any such beneficial ownership except to the extent of its pecuniary interest therein.

Read SEC document
December 14, 2023 Filed Dec 18, 2023 21:00 UTC Compass, Inc. COMP · Entity 3646 SaleClass A Common Stock 14,895,000 $2.66 $39,620,700.00
Disclosure

SEC source: 0001493152-23-045325 · ownership.xml · nonDerivative · entry 1

SVF Excalibur (Cayman) Ltd · CIK 0001836869 · 10% owner

SVF Endurance (Cayman) Ltd · CIK 0001782338 · 10% owner

SOFTBANK VISION FUND (AIV M1) L.P. · CIK 0001755143 · 10% owner

SB INVESTMENT ADVISERS (UK) LTD · CIK 0001731509 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Indirect · See footnotes

Disclosed balance after: 102,470,273

F1 · ownership.nature: The securities reported herein are held of record by SVF Excalibur (Cayman) Limited, which is a wholly owned subsidiary of SVF Endurance (Cayman) Limited, which is a wholly owned subsidiary of SoftBank Vision Fund (AIV M1) L.P. SB Investment Advisers (UK) Limited has been appointed as alternative investment fund manager ("AIFM") and is exclusively responsible for managing SoftBank Vision Fund (AIV M1) L.P. in accordance with the Alternative Investment Fund Managers Directive and is authorized and regulated by the UK Financial Conduct Authority accordingly.

F2 · ownership.nature: As AIFM of SoftBank Vision Fund (AIV M1) L.P., SB Investment Advisers (UK) Limited is exclusively responsible for making all decisions related to the acquisition, structuring, financing and disposal of SoftBank Vision Fund (AIV M1) L.P.'s investments. As a result, each of the reporting persons may be deemed to share beneficial ownership of the securities reported herein. Each of them disclaims any such beneficial ownership except to the extent of its pecuniary interest therein.

Read SEC document
June 07, 2023 Filed Jun 9, 2023 21:00 UTC Compass, Inc. COMP · Entity 3646 SaleClass A Common Stock 15,000,000 $3.69 $55,350,000.00
Disclosure

SEC source: 0000899243-23-015323 · doc4.xml · nonDerivative · entry 1

SVF Excalibur (Cayman) Ltd · CIK 0001836869 · 10% owner

SVF Endurance (Cayman) Ltd · CIK 0001782338 · 10% owner

SB INVESTMENT ADVISERS (UK) LTD · CIK 0001731509 · 10% owner

SOFTBANK VISION FUND (AIV M1) L.P. · CIK 0001755143 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Indirect · See footnotes

Disclosed balance after: 117,365,273

F1 · ownership.nature: The securities reported herein are held of record by SVF Excalibur (Cayman) Limited, which is a wholly owned subsidiary of SVF Endurance (Cayman) Limited, which is a wholly owned subsidiary of SoftBank Vision Fund (AIV M1) L.P. SB Investment Advisers (UK) Limited has been appointed as alternative investment fund manager ("AIFM") and is exclusively responsible for managing SoftBank Vision Fund (AIV M1) L.P. in accordance with the Alternative Investment Fund Managers Directive and is authorized and regulated by the UK Financial Conduct Authority accordingly.

F2 · ownership.nature: As AIFM of SoftBank Vision Fund (AIV M1) L.P., SB Investment Advisers (UK) Limited is exclusively responsible for making all decisions related to the acquisition, structuring, financing and disposal of SoftBank Vision Fund (AIV M1) L.P.'s investments. As a result, each of the reporting persons may be deemed to share beneficial ownership of the securities reported herein. Each of them disclaims any such beneficial ownership except to the extent of its pecuniary interest therein.

Read SEC document
October 19, 2022 Filed Oct 21, 2022 16:30 UTC Zymergen Inc. ZY · Entity 122955 OtherCommon Stock 26,614,219 Not disclosed Not disclosed
Disclosure

SEC source: 0000899243-22-033957 · doc4.xml · nonDerivative · entry 1

SVF Excalibur (Cayman) Ltd · CIK 0001836869 · 10% owner

SVF Endurance (Cayman) Ltd · CIK 0001782338 · 10% owner

SB INVESTMENT ADVISERS (UK) LTD · CIK 0001731509 · 10% owner

SOFTBANK VISION FUND (AIV M1) L.P. · CIK 0001755143 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnotes

Disclosed balance after: 0

F1 · kind: Pursuant to the Merger Agreement, dated July 24, 2022 (the "Merger Agreement"), by and among the Issuer, Ginkgo Bioworks Holdings, Inc. ("Ginkgo") and Pepper Merger Subsidiary Inc., the Issuer became an indirect wholly owned subsidiary of Ginkgo upon consummation of the merger on October 19, 2022 (the "Effective Time"), as provided for in the Merger Agreement. At the Effective Time, each share of the Issuer's common stock was automatically cancelled, extinguished and converted into the right to receive 0.9179 shares of Class A common stock of Ginkgo, with fractional shares paid in cash, without interest.

F1 · price: Pursuant to the Merger Agreement, dated July 24, 2022 (the "Merger Agreement"), by and among the Issuer, Ginkgo Bioworks Holdings, Inc. ("Ginkgo") and Pepper Merger Subsidiary Inc., the Issuer became an indirect wholly owned subsidiary of Ginkgo upon consummation of the merger on October 19, 2022 (the "Effective Time"), as provided for in the Merger Agreement. At the Effective Time, each share of the Issuer's common stock was automatically cancelled, extinguished and converted into the right to receive 0.9179 shares of Class A common stock of Ginkgo, with fractional shares paid in cash, without interest.

F2 · ownership.nature: The securities reported herein are held of record by SVF Excalibur (Cayman) Limited, which is a wholly owned subsidiary of SVF Endurance (Cayman) Limited, which is a wholly owned subsidiary of SoftBank Vision Fund (AIV M1) L.P. SB Investment Advisers (UK) Limited has been appointed as alternative investment fund manager ("AIFM") and is exclusively responsible for managing SoftBank Vision Fund (AIV M1) L.P. in accordance with the Alternative Investment Fund Managers Directive and is authorized and regulated by the UK Financial Conduct Authority accordingly.

F3 · ownership.nature: As AIFM of SoftBank Vision Fund (AIV M1) L.P., SB Investment Advisers (UK) Limited is exclusively responsible for making all decisions related to the acquisition, structuring, financing and disposal of SoftBank Vision Fund (AIV M1) L.P.'s investments. As a result, each of the reporting persons may be deemed to share beneficial ownership of the securities reported herein, but disclaims beneficial ownership except to the extent of the pecuniary interest therein.

Read SEC document
September 16, 2021 Filed Sep 20, 2021 16:30 UTC Opendoor Technologies Inc. OPEN · Entity 4242 SaleCommon Stock 32,200,000 $16.69 $537,418,000.00
Disclosure

SEC source: 0000899243-21-036583 · doc4.xml · nonDerivative · entry 1

SVF Excalibur (Cayman) Ltd · CIK 0001836869 · 10% owner

SVF Endurance (Cayman) Ltd · CIK 0001782338 · 10% owner

SB INVESTMENT ADVISERS (UK) LTD · CIK 0001731509 · 10% owner

SOFTBANK VISION FUND (AIV M1) L.P. · CIK 0001755143 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnotes

Disclosed balance after: 41,420,282

F1 · ownership.nature: The securities reported herein are held of record by SVF Excalibur (Cayman) Limited, which is a wholly owned subsidiary of SVF Endurance (Cayman) Limited, which is a wholly owned subsidiary of SoftBank Vision Fund (AIV M1) L.P. SB Investment Advisers (UK) Limited ("SBIA UK") has been appointed as alternative investment fund manager ("AIFM") and is exclusively responsible for managing SoftBank Vision Fund (AIV M1) L.P. in accordance with the Alternative Investment Fund Managers Directive and is authorized and regulated by the UK Financial Conduct Authority accordingly.

F2 · ownership.nature: As AIFM of SoftBank Vision Fund (AIV M1) L.P., SB Investment Advisers (UK) Limited is exclusively responsible for making all decisions related to the acquisition, structuring, financing and disposal of SoftBank Vision Fund (AIV M1) L.P.'s investments. Each Reporting Person disclaims beneficial ownership of such shares except to the extent of its pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission that any reporting person is the beneficial owner of such shares for purposes of the Securities Exchange Act of 1934 or for any other purpose.

Read SEC document
April 26, 2021 Filed Apr 28, 2021 16:30 UTC Zymergen Inc. ZY · Entity 122955 ConversionSeries D Preferred Stock · Derivative 1,119,726 Not disclosed Not disclosed
Disclosure

SEC source: 0000899243-21-017177 · doc4.xml · derivative · entry 4

SVF Excalibur (Cayman) Ltd · CIK 0001836869 · 10% owner

SVF Endurance (Cayman) Ltd · CIK 0001782338 · 10% owner

SB INVESTMENT ADVISERS (UK) LTD · CIK 0001731509 · 10% owner

SOFTBANK VISION FUND (AIV M1) L.P. · CIK 0001755143 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnotes

Disclosed balance after: 0

Underlying: Common Stock · 1,119,726 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: Upon the closing of the Issuer's initial public offering, each share of the Issuer's Series A, A-1, C and D Preferred Stock automatically converted into shares of the Issuer's Common Stock on a 1-to-1 basis, and each share of the Issuer's Series B Preferred Stock automatically converted into shares of the Issuer's Common Stock on a 1-to-1.001575089 basis.

F1 · price: Upon the closing of the Issuer's initial public offering, each share of the Issuer's Series A, A-1, C and D Preferred Stock automatically converted into shares of the Issuer's Common Stock on a 1-to-1 basis, and each share of the Issuer's Series B Preferred Stock automatically converted into shares of the Issuer's Common Stock on a 1-to-1.001575089 basis.

F1 · derivative.exercise_date: Upon the closing of the Issuer's initial public offering, each share of the Issuer's Series A, A-1, C and D Preferred Stock automatically converted into shares of the Issuer's Common Stock on a 1-to-1 basis, and each share of the Issuer's Series B Preferred Stock automatically converted into shares of the Issuer's Common Stock on a 1-to-1.001575089 basis.

F1 · derivative.expiration_date: Upon the closing of the Issuer's initial public offering, each share of the Issuer's Series A, A-1, C and D Preferred Stock automatically converted into shares of the Issuer's Common Stock on a 1-to-1 basis, and each share of the Issuer's Series B Preferred Stock automatically converted into shares of the Issuer's Common Stock on a 1-to-1.001575089 basis.

F2 · ownership.nature: The securities reported herein are held of record by SVF Excalibur (Cayman) Limited, which is a wholly owned subsidiary of SVF Endurance (Cayman) Limited, which is a wholly owned subsidiary of SoftBank Vision Fund (AIV M1) L.P. SB Investment Advisers (UK) Limited has been appointed as alternative investment fund manager ("AIFM") and is exclusively responsible for managing SoftBank Vision Fund (AIV M1) L.P. in accordance with the Alternative Investment Fund Managers Directive and is authorized and regulated by the UK Financial Conduct Authority accordingly.

F3 · ownership.nature: As AIFM of SoftBank Vision Fund (AIV M1) L.P., SB Investment Advisers (UK) Limited is exclusively responsible for making all decisions related to the acquisition, structuring, financing and disposal of SoftBank Vision Fund (AIV M1) L.P.'s investments. As a result, each of the reporting persons may be deemed to share beneficial ownership of the securities reported herein. Each of them disclaims any such beneficial ownership except to the extent of its pecuniary interest therein.

Read SEC document
April 26, 2021 Filed Apr 28, 2021 16:30 UTC Zymergen Inc. ZY · Entity 122955 ConversionSeries C Preferred Stock · Derivative 17,664,099 Not disclosed Not disclosed
Disclosure

SEC source: 0000899243-21-017177 · doc4.xml · derivative · entry 3

SVF Excalibur (Cayman) Ltd · CIK 0001836869 · 10% owner

SVF Endurance (Cayman) Ltd · CIK 0001782338 · 10% owner

SB INVESTMENT ADVISERS (UK) LTD · CIK 0001731509 · 10% owner

SOFTBANK VISION FUND (AIV M1) L.P. · CIK 0001755143 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnotes

Disclosed balance after: 0

Underlying: Common Stock · 17,664,099 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: Upon the closing of the Issuer's initial public offering, each share of the Issuer's Series A, A-1, C and D Preferred Stock automatically converted into shares of the Issuer's Common Stock on a 1-to-1 basis, and each share of the Issuer's Series B Preferred Stock automatically converted into shares of the Issuer's Common Stock on a 1-to-1.001575089 basis.

F1 · price: Upon the closing of the Issuer's initial public offering, each share of the Issuer's Series A, A-1, C and D Preferred Stock automatically converted into shares of the Issuer's Common Stock on a 1-to-1 basis, and each share of the Issuer's Series B Preferred Stock automatically converted into shares of the Issuer's Common Stock on a 1-to-1.001575089 basis.

F1 · derivative.exercise_date: Upon the closing of the Issuer's initial public offering, each share of the Issuer's Series A, A-1, C and D Preferred Stock automatically converted into shares of the Issuer's Common Stock on a 1-to-1 basis, and each share of the Issuer's Series B Preferred Stock automatically converted into shares of the Issuer's Common Stock on a 1-to-1.001575089 basis.

F1 · derivative.expiration_date: Upon the closing of the Issuer's initial public offering, each share of the Issuer's Series A, A-1, C and D Preferred Stock automatically converted into shares of the Issuer's Common Stock on a 1-to-1 basis, and each share of the Issuer's Series B Preferred Stock automatically converted into shares of the Issuer's Common Stock on a 1-to-1.001575089 basis.

F2 · ownership.nature: The securities reported herein are held of record by SVF Excalibur (Cayman) Limited, which is a wholly owned subsidiary of SVF Endurance (Cayman) Limited, which is a wholly owned subsidiary of SoftBank Vision Fund (AIV M1) L.P. SB Investment Advisers (UK) Limited has been appointed as alternative investment fund manager ("AIFM") and is exclusively responsible for managing SoftBank Vision Fund (AIV M1) L.P. in accordance with the Alternative Investment Fund Managers Directive and is authorized and regulated by the UK Financial Conduct Authority accordingly.

F3 · ownership.nature: As AIFM of SoftBank Vision Fund (AIV M1) L.P., SB Investment Advisers (UK) Limited is exclusively responsible for making all decisions related to the acquisition, structuring, financing and disposal of SoftBank Vision Fund (AIV M1) L.P.'s investments. As a result, each of the reporting persons may be deemed to share beneficial ownership of the securities reported herein. Each of them disclaims any such beneficial ownership except to the extent of its pecuniary interest therein.

Read SEC document
April 26, 2021 Filed Apr 28, 2021 16:30 UTC Zymergen Inc. ZY · Entity 122955 ConversionSeries B Preferred Stock · Derivative 7,818,079 Not disclosed Not disclosed
Disclosure

SEC source: 0000899243-21-017177 · doc4.xml · derivative · entry 2

SVF Excalibur (Cayman) Ltd · CIK 0001836869 · 10% owner

SVF Endurance (Cayman) Ltd · CIK 0001782338 · 10% owner

SB INVESTMENT ADVISERS (UK) LTD · CIK 0001731509 · 10% owner

SOFTBANK VISION FUND (AIV M1) L.P. · CIK 0001755143 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnotes

Disclosed balance after: 0

Underlying: Common Stock · 7,830,394 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: Upon the closing of the Issuer's initial public offering, each share of the Issuer's Series A, A-1, C and D Preferred Stock automatically converted into shares of the Issuer's Common Stock on a 1-to-1 basis, and each share of the Issuer's Series B Preferred Stock automatically converted into shares of the Issuer's Common Stock on a 1-to-1.001575089 basis.

F1 · price: Upon the closing of the Issuer's initial public offering, each share of the Issuer's Series A, A-1, C and D Preferred Stock automatically converted into shares of the Issuer's Common Stock on a 1-to-1 basis, and each share of the Issuer's Series B Preferred Stock automatically converted into shares of the Issuer's Common Stock on a 1-to-1.001575089 basis.

F1 · derivative.exercise_date: Upon the closing of the Issuer's initial public offering, each share of the Issuer's Series A, A-1, C and D Preferred Stock automatically converted into shares of the Issuer's Common Stock on a 1-to-1 basis, and each share of the Issuer's Series B Preferred Stock automatically converted into shares of the Issuer's Common Stock on a 1-to-1.001575089 basis.

F1 · derivative.expiration_date: Upon the closing of the Issuer's initial public offering, each share of the Issuer's Series A, A-1, C and D Preferred Stock automatically converted into shares of the Issuer's Common Stock on a 1-to-1 basis, and each share of the Issuer's Series B Preferred Stock automatically converted into shares of the Issuer's Common Stock on a 1-to-1.001575089 basis.

F2 · ownership.nature: The securities reported herein are held of record by SVF Excalibur (Cayman) Limited, which is a wholly owned subsidiary of SVF Endurance (Cayman) Limited, which is a wholly owned subsidiary of SoftBank Vision Fund (AIV M1) L.P. SB Investment Advisers (UK) Limited has been appointed as alternative investment fund manager ("AIFM") and is exclusively responsible for managing SoftBank Vision Fund (AIV M1) L.P. in accordance with the Alternative Investment Fund Managers Directive and is authorized and regulated by the UK Financial Conduct Authority accordingly.

F3 · ownership.nature: As AIFM of SoftBank Vision Fund (AIV M1) L.P., SB Investment Advisers (UK) Limited is exclusively responsible for making all decisions related to the acquisition, structuring, financing and disposal of SoftBank Vision Fund (AIV M1) L.P.'s investments. As a result, each of the reporting persons may be deemed to share beneficial ownership of the securities reported herein. Each of them disclaims any such beneficial ownership except to the extent of its pecuniary interest therein.

Read SEC document
April 26, 2021 Filed Apr 28, 2021 16:30 UTC Zymergen Inc. ZY · Entity 122955 ConversionCommon Stock 26,614,219 Not disclosed Not disclosed
Disclosure

SEC source: 0000899243-21-017177 · doc4.xml · nonDerivative · entry 1

SVF Excalibur (Cayman) Ltd · CIK 0001836869 · 10% owner

SVF Endurance (Cayman) Ltd · CIK 0001782338 · 10% owner

SB INVESTMENT ADVISERS (UK) LTD · CIK 0001731509 · 10% owner

SOFTBANK VISION FUND (AIV M1) L.P. · CIK 0001755143 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnotes

Disclosed balance after: 26,614,219

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: Upon the closing of the Issuer's initial public offering, each share of the Issuer's Series A, A-1, C and D Preferred Stock automatically converted into shares of the Issuer's Common Stock on a 1-to-1 basis, and each share of the Issuer's Series B Preferred Stock automatically converted into shares of the Issuer's Common Stock on a 1-to-1.001575089 basis.

F2 · ownership.nature: The securities reported herein are held of record by SVF Excalibur (Cayman) Limited, which is a wholly owned subsidiary of SVF Endurance (Cayman) Limited, which is a wholly owned subsidiary of SoftBank Vision Fund (AIV M1) L.P. SB Investment Advisers (UK) Limited has been appointed as alternative investment fund manager ("AIFM") and is exclusively responsible for managing SoftBank Vision Fund (AIV M1) L.P. in accordance with the Alternative Investment Fund Managers Directive and is authorized and regulated by the UK Financial Conduct Authority accordingly.

F3 · ownership.nature: As AIFM of SoftBank Vision Fund (AIV M1) L.P., SB Investment Advisers (UK) Limited is exclusively responsible for making all decisions related to the acquisition, structuring, financing and disposal of SoftBank Vision Fund (AIV M1) L.P.'s investments. As a result, each of the reporting persons may be deemed to share beneficial ownership of the securities reported herein. Each of them disclaims any such beneficial ownership except to the extent of its pecuniary interest therein.

Read SEC document
April 06, 2021 Filed Apr 8, 2021 21:39 UTC Compass, Inc. COMP · Entity 3646 ConversionSeries G Preferred Stock · Derivative 16,205,450 Not disclosed Not disclosed
Disclosure

SEC source: 0000899243-21-015454 · doc4.xml · derivative · entry 7

SVF Excaliber (Cayman) Ltd · CIK 0001836869 · 10% owner

SVF Endurance (Cayman) Ltd · CIK 0001782338 · 10% owner

SB INVESTMENT ADVISERS (UK) LTD · CIK 0001731509 · 10% owner

SOFTBANK VISION FUND (AIV M1) L.P. · CIK 0001755143 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnotes

Disclosed balance after: 0

Underlying: Class A Common Stock · 16,205,450 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: Upon the closing of the Issuer's initial public offering, each share of the Issuer's Series A, B, C, D, F and G Preferred Stock automatically converted into shares of the Issuer's Class A Common Stock on a 1-to-1 basis, and each share of the Issuer's Series E Preferred Stock automatically converted into shares of the Issuer's Class A Common Stock on a 1-to-1.0242748 basis.

F1 · price: Upon the closing of the Issuer's initial public offering, each share of the Issuer's Series A, B, C, D, F and G Preferred Stock automatically converted into shares of the Issuer's Class A Common Stock on a 1-to-1 basis, and each share of the Issuer's Series E Preferred Stock automatically converted into shares of the Issuer's Class A Common Stock on a 1-to-1.0242748 basis.

F1 · derivative.exercise_date: Upon the closing of the Issuer's initial public offering, each share of the Issuer's Series A, B, C, D, F and G Preferred Stock automatically converted into shares of the Issuer's Class A Common Stock on a 1-to-1 basis, and each share of the Issuer's Series E Preferred Stock automatically converted into shares of the Issuer's Class A Common Stock on a 1-to-1.0242748 basis.

F1 · derivative.expiration_date: Upon the closing of the Issuer's initial public offering, each share of the Issuer's Series A, B, C, D, F and G Preferred Stock automatically converted into shares of the Issuer's Class A Common Stock on a 1-to-1 basis, and each share of the Issuer's Series E Preferred Stock automatically converted into shares of the Issuer's Class A Common Stock on a 1-to-1.0242748 basis.

F2 · ownership.nature: The securities reported herein are held of record by SVF Excalibur (Cayman) Limited, which is a wholly owned subsidiary of SVF Endurance (Cayman) Limited, which is a wholly owned subsidiary of SoftBank Vision Fund (AIV M1) L.P. SB Investment Advisers (UK) Limited has been appointed as alternative investment fund manager ("AIFM") and is exclusively responsible for managing SoftBank Vision Fund (AIV M1) L.P. in accordance with the Alternative Investment Fund Managers Directive and is authorized and regulated by the UK Financial Conduct Authority accordingly.

F3 · ownership.nature: As AIFM of SoftBank Vision Fund (AIV M1) L.P., SB Investment Advisers (UK) Limited is exclusively responsible for making all decisions related to the acquisition, structuring, financing and disposal of SoftBank Vision Fund (AIV M1) L.P.'s investments. As a result, each of the reporting persons may be deemed to share beneficial ownership of the securities reported herein. Each of them disclaims any such beneficial ownership except to the extent of its pecuniary interest therein.

Read SEC document
April 06, 2021 Filed Apr 8, 2021 21:39 UTC Compass, Inc. COMP · Entity 3646 ConversionSeries F Preferred Stock · Derivative 13,494,130 Not disclosed Not disclosed
Disclosure

SEC source: 0000899243-21-015454 · doc4.xml · derivative · entry 6

SVF Excaliber (Cayman) Ltd · CIK 0001836869 · 10% owner

SVF Endurance (Cayman) Ltd · CIK 0001782338 · 10% owner

SB INVESTMENT ADVISERS (UK) LTD · CIK 0001731509 · 10% owner

SOFTBANK VISION FUND (AIV M1) L.P. · CIK 0001755143 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnotes

Disclosed balance after: 0

Underlying: Class A Common Stock · 13,494,130 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: Upon the closing of the Issuer's initial public offering, each share of the Issuer's Series A, B, C, D, F and G Preferred Stock automatically converted into shares of the Issuer's Class A Common Stock on a 1-to-1 basis, and each share of the Issuer's Series E Preferred Stock automatically converted into shares of the Issuer's Class A Common Stock on a 1-to-1.0242748 basis.

F1 · price: Upon the closing of the Issuer's initial public offering, each share of the Issuer's Series A, B, C, D, F and G Preferred Stock automatically converted into shares of the Issuer's Class A Common Stock on a 1-to-1 basis, and each share of the Issuer's Series E Preferred Stock automatically converted into shares of the Issuer's Class A Common Stock on a 1-to-1.0242748 basis.

F1 · derivative.exercise_date: Upon the closing of the Issuer's initial public offering, each share of the Issuer's Series A, B, C, D, F and G Preferred Stock automatically converted into shares of the Issuer's Class A Common Stock on a 1-to-1 basis, and each share of the Issuer's Series E Preferred Stock automatically converted into shares of the Issuer's Class A Common Stock on a 1-to-1.0242748 basis.

F1 · derivative.expiration_date: Upon the closing of the Issuer's initial public offering, each share of the Issuer's Series A, B, C, D, F and G Preferred Stock automatically converted into shares of the Issuer's Class A Common Stock on a 1-to-1 basis, and each share of the Issuer's Series E Preferred Stock automatically converted into shares of the Issuer's Class A Common Stock on a 1-to-1.0242748 basis.

F2 · ownership.nature: The securities reported herein are held of record by SVF Excalibur (Cayman) Limited, which is a wholly owned subsidiary of SVF Endurance (Cayman) Limited, which is a wholly owned subsidiary of SoftBank Vision Fund (AIV M1) L.P. SB Investment Advisers (UK) Limited has been appointed as alternative investment fund manager ("AIFM") and is exclusively responsible for managing SoftBank Vision Fund (AIV M1) L.P. in accordance with the Alternative Investment Fund Managers Directive and is authorized and regulated by the UK Financial Conduct Authority accordingly.

F3 · ownership.nature: As AIFM of SoftBank Vision Fund (AIV M1) L.P., SB Investment Advisers (UK) Limited is exclusively responsible for making all decisions related to the acquisition, structuring, financing and disposal of SoftBank Vision Fund (AIV M1) L.P.'s investments. As a result, each of the reporting persons may be deemed to share beneficial ownership of the securities reported herein. Each of them disclaims any such beneficial ownership except to the extent of its pecuniary interest therein.

Read SEC document
April 06, 2021 Filed Apr 8, 2021 21:39 UTC Compass, Inc. COMP · Entity 3646 ConversionSeries E Preferred Stock · Derivative 66,688,200 Not disclosed Not disclosed
Disclosure

SEC source: 0000899243-21-015454 · doc4.xml · derivative · entry 5

SVF Excaliber (Cayman) Ltd · CIK 0001836869 · 10% owner

SVF Endurance (Cayman) Ltd · CIK 0001782338 · 10% owner

SB INVESTMENT ADVISERS (UK) LTD · CIK 0001731509 · 10% owner

SOFTBANK VISION FUND (AIV M1) L.P. · CIK 0001755143 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnotes

Disclosed balance after: 0

Underlying: Class A Common Stock · 68,307,043 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: Upon the closing of the Issuer's initial public offering, each share of the Issuer's Series A, B, C, D, F and G Preferred Stock automatically converted into shares of the Issuer's Class A Common Stock on a 1-to-1 basis, and each share of the Issuer's Series E Preferred Stock automatically converted into shares of the Issuer's Class A Common Stock on a 1-to-1.0242748 basis.

F1 · price: Upon the closing of the Issuer's initial public offering, each share of the Issuer's Series A, B, C, D, F and G Preferred Stock automatically converted into shares of the Issuer's Class A Common Stock on a 1-to-1 basis, and each share of the Issuer's Series E Preferred Stock automatically converted into shares of the Issuer's Class A Common Stock on a 1-to-1.0242748 basis.

F1 · derivative.exercise_date: Upon the closing of the Issuer's initial public offering, each share of the Issuer's Series A, B, C, D, F and G Preferred Stock automatically converted into shares of the Issuer's Class A Common Stock on a 1-to-1 basis, and each share of the Issuer's Series E Preferred Stock automatically converted into shares of the Issuer's Class A Common Stock on a 1-to-1.0242748 basis.

F1 · derivative.expiration_date: Upon the closing of the Issuer's initial public offering, each share of the Issuer's Series A, B, C, D, F and G Preferred Stock automatically converted into shares of the Issuer's Class A Common Stock on a 1-to-1 basis, and each share of the Issuer's Series E Preferred Stock automatically converted into shares of the Issuer's Class A Common Stock on a 1-to-1.0242748 basis.

F2 · ownership.nature: The securities reported herein are held of record by SVF Excalibur (Cayman) Limited, which is a wholly owned subsidiary of SVF Endurance (Cayman) Limited, which is a wholly owned subsidiary of SoftBank Vision Fund (AIV M1) L.P. SB Investment Advisers (UK) Limited has been appointed as alternative investment fund manager ("AIFM") and is exclusively responsible for managing SoftBank Vision Fund (AIV M1) L.P. in accordance with the Alternative Investment Fund Managers Directive and is authorized and regulated by the UK Financial Conduct Authority accordingly.

F3 · ownership.nature: As AIFM of SoftBank Vision Fund (AIV M1) L.P., SB Investment Advisers (UK) Limited is exclusively responsible for making all decisions related to the acquisition, structuring, financing and disposal of SoftBank Vision Fund (AIV M1) L.P.'s investments. As a result, each of the reporting persons may be deemed to share beneficial ownership of the securities reported herein. Each of them disclaims any such beneficial ownership except to the extent of its pecuniary interest therein.

Read SEC document
April 06, 2021 Filed Apr 8, 2021 21:39 UTC Compass, Inc. COMP · Entity 3646 ConversionSeries B Preferred Stock · Derivative 2,227,800 Not disclosed Not disclosed
Disclosure

SEC source: 0000899243-21-015454 · doc4.xml · derivative · entry 4

SVF Excaliber (Cayman) Ltd · CIK 0001836869 · 10% owner

SVF Endurance (Cayman) Ltd · CIK 0001782338 · 10% owner

SB INVESTMENT ADVISERS (UK) LTD · CIK 0001731509 · 10% owner

SOFTBANK VISION FUND (AIV M1) L.P. · CIK 0001755143 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnotes

Disclosed balance after: 0

Underlying: Class A Common Stock · 2,227,800 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: Upon the closing of the Issuer's initial public offering, each share of the Issuer's Series A, B, C, D, F and G Preferred Stock automatically converted into shares of the Issuer's Class A Common Stock on a 1-to-1 basis, and each share of the Issuer's Series E Preferred Stock automatically converted into shares of the Issuer's Class A Common Stock on a 1-to-1.0242748 basis.

F1 · price: Upon the closing of the Issuer's initial public offering, each share of the Issuer's Series A, B, C, D, F and G Preferred Stock automatically converted into shares of the Issuer's Class A Common Stock on a 1-to-1 basis, and each share of the Issuer's Series E Preferred Stock automatically converted into shares of the Issuer's Class A Common Stock on a 1-to-1.0242748 basis.

F1 · derivative.exercise_date: Upon the closing of the Issuer's initial public offering, each share of the Issuer's Series A, B, C, D, F and G Preferred Stock automatically converted into shares of the Issuer's Class A Common Stock on a 1-to-1 basis, and each share of the Issuer's Series E Preferred Stock automatically converted into shares of the Issuer's Class A Common Stock on a 1-to-1.0242748 basis.

F1 · derivative.expiration_date: Upon the closing of the Issuer's initial public offering, each share of the Issuer's Series A, B, C, D, F and G Preferred Stock automatically converted into shares of the Issuer's Class A Common Stock on a 1-to-1 basis, and each share of the Issuer's Series E Preferred Stock automatically converted into shares of the Issuer's Class A Common Stock on a 1-to-1.0242748 basis.

F2 · ownership.nature: The securities reported herein are held of record by SVF Excalibur (Cayman) Limited, which is a wholly owned subsidiary of SVF Endurance (Cayman) Limited, which is a wholly owned subsidiary of SoftBank Vision Fund (AIV M1) L.P. SB Investment Advisers (UK) Limited has been appointed as alternative investment fund manager ("AIFM") and is exclusively responsible for managing SoftBank Vision Fund (AIV M1) L.P. in accordance with the Alternative Investment Fund Managers Directive and is authorized and regulated by the UK Financial Conduct Authority accordingly.

F3 · ownership.nature: As AIFM of SoftBank Vision Fund (AIV M1) L.P., SB Investment Advisers (UK) Limited is exclusively responsible for making all decisions related to the acquisition, structuring, financing and disposal of SoftBank Vision Fund (AIV M1) L.P.'s investments. As a result, each of the reporting persons may be deemed to share beneficial ownership of the securities reported herein. Each of them disclaims any such beneficial ownership except to the extent of its pecuniary interest therein.

Read SEC document
April 06, 2021 Filed Apr 8, 2021 21:39 UTC Compass, Inc. COMP · Entity 3646 ConversionSeries A Preferred Stock · Derivative 18,056,840 Not disclosed Not disclosed
Disclosure

SEC source: 0000899243-21-015454 · doc4.xml · derivative · entry 3

SVF Excaliber (Cayman) Ltd · CIK 0001836869 · 10% owner

SVF Endurance (Cayman) Ltd · CIK 0001782338 · 10% owner

SB INVESTMENT ADVISERS (UK) LTD · CIK 0001731509 · 10% owner

SOFTBANK VISION FUND (AIV M1) L.P. · CIK 0001755143 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnotes

Disclosed balance after: 0

Underlying: Class A Common Stock · 18,056,840 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: Upon the closing of the Issuer's initial public offering, each share of the Issuer's Series A, B, C, D, F and G Preferred Stock automatically converted into shares of the Issuer's Class A Common Stock on a 1-to-1 basis, and each share of the Issuer's Series E Preferred Stock automatically converted into shares of the Issuer's Class A Common Stock on a 1-to-1.0242748 basis.

F1 · price: Upon the closing of the Issuer's initial public offering, each share of the Issuer's Series A, B, C, D, F and G Preferred Stock automatically converted into shares of the Issuer's Class A Common Stock on a 1-to-1 basis, and each share of the Issuer's Series E Preferred Stock automatically converted into shares of the Issuer's Class A Common Stock on a 1-to-1.0242748 basis.

F1 · derivative.exercise_date: Upon the closing of the Issuer's initial public offering, each share of the Issuer's Series A, B, C, D, F and G Preferred Stock automatically converted into shares of the Issuer's Class A Common Stock on a 1-to-1 basis, and each share of the Issuer's Series E Preferred Stock automatically converted into shares of the Issuer's Class A Common Stock on a 1-to-1.0242748 basis.

F1 · derivative.expiration_date: Upon the closing of the Issuer's initial public offering, each share of the Issuer's Series A, B, C, D, F and G Preferred Stock automatically converted into shares of the Issuer's Class A Common Stock on a 1-to-1 basis, and each share of the Issuer's Series E Preferred Stock automatically converted into shares of the Issuer's Class A Common Stock on a 1-to-1.0242748 basis.

F2 · ownership.nature: The securities reported herein are held of record by SVF Excalibur (Cayman) Limited, which is a wholly owned subsidiary of SVF Endurance (Cayman) Limited, which is a wholly owned subsidiary of SoftBank Vision Fund (AIV M1) L.P. SB Investment Advisers (UK) Limited has been appointed as alternative investment fund manager ("AIFM") and is exclusively responsible for managing SoftBank Vision Fund (AIV M1) L.P. in accordance with the Alternative Investment Fund Managers Directive and is authorized and regulated by the UK Financial Conduct Authority accordingly.

F3 · ownership.nature: As AIFM of SoftBank Vision Fund (AIV M1) L.P., SB Investment Advisers (UK) Limited is exclusively responsible for making all decisions related to the acquisition, structuring, financing and disposal of SoftBank Vision Fund (AIV M1) L.P.'s investments. As a result, each of the reporting persons may be deemed to share beneficial ownership of the securities reported herein. Each of them disclaims any such beneficial ownership except to the extent of its pecuniary interest therein.

Read SEC document
April 06, 2021 Filed Apr 8, 2021 21:39 UTC Compass, Inc. COMP · Entity 3646 PurchaseClass A Common Stock 4,000,000 $18.00 $72,000,000.00
Disclosure

SEC source: 0000899243-21-015454 · doc4.xml · nonDerivative · entry 2

SVF Excaliber (Cayman) Ltd · CIK 0001836869 · 10% owner

SVF Endurance (Cayman) Ltd · CIK 0001782338 · 10% owner

SB INVESTMENT ADVISERS (UK) LTD · CIK 0001731509 · 10% owner

SOFTBANK VISION FUND (AIV M1) L.P. · CIK 0001755143 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnotes

Disclosed balance after: 132,365,273

F2 · ownership.nature: The securities reported herein are held of record by SVF Excalibur (Cayman) Limited, which is a wholly owned subsidiary of SVF Endurance (Cayman) Limited, which is a wholly owned subsidiary of SoftBank Vision Fund (AIV M1) L.P. SB Investment Advisers (UK) Limited has been appointed as alternative investment fund manager ("AIFM") and is exclusively responsible for managing SoftBank Vision Fund (AIV M1) L.P. in accordance with the Alternative Investment Fund Managers Directive and is authorized and regulated by the UK Financial Conduct Authority accordingly.

F3 · ownership.nature: As AIFM of SoftBank Vision Fund (AIV M1) L.P., SB Investment Advisers (UK) Limited is exclusively responsible for making all decisions related to the acquisition, structuring, financing and disposal of SoftBank Vision Fund (AIV M1) L.P.'s investments. As a result, each of the reporting persons may be deemed to share beneficial ownership of the securities reported herein. Each of them disclaims any such beneficial ownership except to the extent of its pecuniary interest therein.

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April 06, 2021 Filed Apr 8, 2021 21:39 UTC Compass, Inc. COMP · Entity 3646 ConversionClass A Common Stock 118,291,263 Not disclosed Not disclosed
Disclosure

SEC source: 0000899243-21-015454 · doc4.xml · nonDerivative · entry 1

SVF Excaliber (Cayman) Ltd · CIK 0001836869 · 10% owner

SVF Endurance (Cayman) Ltd · CIK 0001782338 · 10% owner

SB INVESTMENT ADVISERS (UK) LTD · CIK 0001731509 · 10% owner

SOFTBANK VISION FUND (AIV M1) L.P. · CIK 0001755143 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnotes

Disclosed balance after: 128,365,273

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: Upon the closing of the Issuer's initial public offering, each share of the Issuer's Series A, B, C, D, F and G Preferred Stock automatically converted into shares of the Issuer's Class A Common Stock on a 1-to-1 basis, and each share of the Issuer's Series E Preferred Stock automatically converted into shares of the Issuer's Class A Common Stock on a 1-to-1.0242748 basis.

F2 · ownership.nature: The securities reported herein are held of record by SVF Excalibur (Cayman) Limited, which is a wholly owned subsidiary of SVF Endurance (Cayman) Limited, which is a wholly owned subsidiary of SoftBank Vision Fund (AIV M1) L.P. SB Investment Advisers (UK) Limited has been appointed as alternative investment fund manager ("AIFM") and is exclusively responsible for managing SoftBank Vision Fund (AIV M1) L.P. in accordance with the Alternative Investment Fund Managers Directive and is authorized and regulated by the UK Financial Conduct Authority accordingly.

F3 · ownership.nature: As AIFM of SoftBank Vision Fund (AIV M1) L.P., SB Investment Advisers (UK) Limited is exclusively responsible for making all decisions related to the acquisition, structuring, financing and disposal of SoftBank Vision Fund (AIV M1) L.P.'s investments. As a result, each of the reporting persons may be deemed to share beneficial ownership of the securities reported herein. Each of them disclaims any such beneficial ownership except to the extent of its pecuniary interest therein.

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Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.