Filing Details

Accession Number:
0000899243-20-030318
Form Type:
4
Zero Holdings:
No
Publication Time:
2020-11-03 20:00:17
Reporting Period:
2020-11-03
Accepted Time:
2020-11-03 20:00:17
SEC Url:
Form 4 Filing
Issuer
Cik Name Symbol Sector (SIC) IRS No
1604477 Sqz Biotechnologies Co SQZ () 4
Insiders
Cik Name Reported Address Insider Title Director Officer Large Shareholder Other
1438226 W Amy Schulman C/o Sqz Biotechnologies Company
200 Arsenal Yards Blvd, Suite 210
Watertown MA 02472
Yes 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 22,204 $0.00 190,684 No 4 C Direct
Common Stock Acquisiton 2020-11-03 161,994 $0.00 161,994 No 4 C Indirect See footnotes
Common Stock Acquisiton 2020-11-03 2,315,652 $0.00 2,315,652 No 4 C Indirect See footnotes
Common Stock Acquisiton 2020-11-03 275,860 $0.00 275,860 No 4 C Indirect See footnote
Common Stock Acquisiton 2020-11-03 16,346 $16.00 178,340 No 4 P Indirect See footnotes
Common Stock Acquisiton 2020-11-03 233,654 $16.00 2,549,306 No 4 P Indirect See footnotes
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 C Direct
No 4 C Indirect See footnotes
No 4 C Indirect See footnotes
No 4 C Indirect See footnote
No 4 P Indirect See footnotes
No 4 P Indirect See footnotes
Reported Derivative Transactions
Sec. Name Sec. Type Acquisiton - Disposition Date Amount Price Amount - 2 Price - 2
Common Stock Series A Convertible Preferred Stock Disposition 2020-11-03 28,863 $0.00 30,392 $0.00
Common Stock Series A Convertible Preferred Stock Disposition 2020-11-03 412,608 $0.00 434,476 $0.00
Common Stock Series B Convertible Preferred Stock Disposition 2020-11-03 56,462 $0.00 59,454 $0.00
Common Stock Series B Convertible Preferred Stock Disposition 2020-11-03 807,096 $0.00 849,872 $0.00
Common Stock Series C Convertible Preferred Stock Disposition 2020-11-03 44,120 $0.00 46,458 $0.00
Common Stock Series C Convertible Preferred Stock Disposition 2020-11-03 630,672 $0.00 664,097 $0.00
Common Stock Series C Convertible Preferred Stock Disposition 2020-11-03 168,698 $0.00 177,638 $0.00
Common Stock Series C Convertible Preferred Stock Disposition 2020-11-03 21,087 $0.00 22,204 $0.00
Common Stock Series D Convertible Preferred Stock Disposition 2020-11-03 24,396 $0.00 25,690 $0.00
Common Stock Series D Convertible Preferred Stock Disposition 2020-11-03 348,725 $0.00 367,207 $0.00
Common Stock Series D Convertible Preferred Stock Disposition 2020-11-03 93,279 $0.00 98,222 $0.00
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
0 No 4 C Indirect
0 No 4 C Indirect
0 No 4 C Indirect
0 No 4 C Indirect
0 No 4 C Indirect
0 No 4 C Indirect
0 No 4 C Indirect
0 No 4 C Direct
0 No 4 C Indirect
0 No 4 C Indirect
0 No 4 C Indirect
Footnotes
  1. Each share of preferred stock automatically converted on a 1.053 for one basis into common stock upon the closing of the Issuer's initial public offering. The shares have no expiration date.
  2. These shares are held of record by Polaris Entrepreneurs' Fund VII, L.P. ("EF VII"). Polaris Management Co. VII, L.L.C. ("PMC VII") is the general partner of EF VII. David Barrett, Brian Chee, Amir Nashat and Bryce Youngren (the "Managing Members") are the managing members of PMC VII. The Reporting Person, a member of the Issuer's board of directors, holds an interest in PMC VII.
  3. Each of the Managing Members and the Reporting Person, in their respective capacities with respect to PMC VII, may be deemed to have shared investment, voting and dispositive power over these shares. Each of PMC VII, the Managing Members and the Reporting Person disclaim beneficial ownership of these shares and this report shall not be deemed an admission that any one of them is the beneficial owner of such securities for purposes of Section 16 or for any other purpose, except to the extent of their respective pecuniary interests therein.
  4. These shares are held of record by Polaris Partners VII, L.P. ("PP VII"). PMC VII is the general partner of PP VII. The Managing Members are the managing members of PMC VII. The Reporting Person, a member of the Issuer's board of directors, holds an interest in PMC VII.
  5. These shares are held of record by LS Polaris Innovation Fund, L.P. ("LSPIF"). LS Polaris Innovation Fund GP, L.L.C. ("LSPIF GP") is the general partner of LSPIF. The Reporting Person is the sole managing member of LSPIF GP. Each of LSPIF GP and the Reporting Person may be deemed to have sole investment, voting and dispositive power over these shares. LSPIF GP and the Reporting Person disclaim beneficial ownership of the shares held by LSPIF and this report shall not be deemed an admission that any one of them is the beneficial owner of such securities for purposes of Section 16 or for any other purpose, except to the extent of their respective pecuniary interests therein.