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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

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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

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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

Equity Swap Involved	Transaction Form Type	Transaction Code	Nature of Ownership
No	4	C	Indirect
No	4	C	Indirect
No	4	C	Indirect
No	4	C	Indirect
No	4	C	Indirect
No	4	C	Indirect
No	4	C	Indirect
No	4	C	Direct
No	4	C	Indirect
No	4	C	Indirect
No	4	C	Indirect

Footnotes

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.
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.
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.
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.
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.