Filing Details

Accession Number:
0000899243-20-030316
Form Type:
4
Zero Holdings:
No
Publication Time:
2020-11-03 20:00:12
Reporting Period:
2020-11-03
Accepted Time:
2020-11-03 20:00:12
SEC Url:
Form 4 Filing
Issuer
Cik Name Symbol Sector (SIC) IRS No
1604477 Sqz Biotechnologies Co SQZ () N4
Insiders
Cik Name Reported Address Insider Title Director Officer Large Shareholder Other
1053906 S.a. Group Artal Valley Park, 44,
Rue De La Vallee
Luxembourg N4 L-2661
No No Yes No
1218180 S.c.a. International Artal Valley Park, 44,
Rue De La Vallee
Luxembourg N4 L-2661
No No Yes No
1283968 S.a. Westend Valley Park, 44,
Rue De La Vallee
Luxembourg N4 L-2661
No No Yes No
1340096 Invus Public Equities Advisors, Llc 750 Lexington Avenue 30Th Floor
New York NY 10022
No No Yes No
1340097 Invus Public Equities, L.p. 750 Lexington Avenue 30Th Floor
New York NY 10022
No No Yes No
1460839 Pascal Minne 8 Clos Du Bocage, B-1332
Genval, Belgium
C9
No No Yes No
1460840 Westend Administratiekantoor Stichting Claude Debussylaan, 46
1082 Md Amsterdam
The Netherlands P7
No No Yes No
1522131 S.a. Management International Artal Valley Park, 44,
Rue De La Vallee
Luxembourg N4 L-2661
No No Yes No
1766952 Ltd Treasury Artal P.o. Box 165
Suite 4, Borough House, Rue Du Pre
St. Peter Port GY1 3JJ
No No Yes No
Reported Non-Derivative Transactions
Sec. Name Acquisiton - Disposition Date Amount Price Remaning Holdings Equity Swap Involved Form Type Code Nature of Ownership Explanation
Common Stock Acquisiton 2020-11-03 1,141,308 $0.00 1,141,308 No 4 C Direct
Common Stock Acquisiton 2020-11-03 465,000 $16.00 1,606,308 No 4 P Direct
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 C Direct
No 4 P Direct
Reported Derivative Transactions
Sec. Name Sec. Type Acquisiton - Disposition Date Amount Price Amount - 2 Price - 2
Common Stock Series C Convertible Preferred Stock Disposition 2020-11-03 843,490 $0.00 888,194 $0.00
Common Stock Series D Convertible Preferred Stock Disposition 2020-11-03 240,375 $0.00 253,114 $0.00
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
0 No 4 C Direct
0 No 4 C Direct
Footnotes
  1. On November 3, 2020, the Series C Convertible Preferred Stock and the Series D Convertible Preferred Stock each converted to Common Stock on a 1.0530 for 1 basis without payment of further consideration upon the closing of the Issuer's initial public offering. The shares had no expiration date.
  2. The shares are held directly by Invus Public Equities, L.P. The general partner of Invus Public Equities, L.P. is Invus Public Equities Advisors, LLC. Artal Treasury Ltd is the managing member of Invus Public Equities Advisors, LLC. Artal Treasury Ltd is a wholly owned subsidiary of the Geneva branch of Artal International S.C.A. The managing partner of Artal International S.C.A. is Artal International Management S.A., which is a wholly owned subsidiary of Artal Group S.A. Westend S.A. is the parent company of Artal Group S.A., and the majority stockholder of Westend S.A. is Stichting Administratiekantoor Westend ("Stichting").
  3. (Continued from Footnote 2) Mr. Pascal Minne is the sole member of the board of Stichting. Each of the Reporting Persons, other than Invus Public Equities L.P., disclaims beneficial ownership of the securities held by the other Reporting Persons, except to the extent of such Reporting Person's pecuniary interest therein, and, pursuant to Rule 16a-1(a)(4) under the Exchange Act, each of the Reporting Persons (other than to the extent it directly holds securities reported herein) states that the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of all of the reported securities for purposes of Section 16 of the Exchange Act or for any other purpose.