0001209191-21-071110.txt : 20211223
0001209191-21-071110.hdr.sgml : 20211223
20211223171510
ACCESSION NUMBER: 0001209191-21-071110
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20211222
FILED AS OF DATE: 20211223
DATE AS OF CHANGE: 20211223
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: SCHULMAN AMY W
CENTRAL INDEX KEY: 0001438226
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-39662
FILM NUMBER: 211517944
MAIL ADDRESS:
STREET 1: PFIZER INC. ATTN: CORPORATE SECRETARY
STREET 2: 235 EAST 42ND STREET
CITY: NEW YORK
STATE: NY
ZIP: 10017
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: SQZ Biotechnologies Co
CENTRAL INDEX KEY: 0001604477
STANDARD INDUSTRIAL CLASSIFICATION: BIOLOGICAL PRODUCTS (NO DIAGNOSTIC SUBSTANCES) [2836]
IRS NUMBER: 462431115
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
BUSINESS ADDRESS:
STREET 1: 200 ARSENAL YARDS BLVD., STE. 210
CITY: WATERTOWN
STATE: MA
ZIP: 02472
BUSINESS PHONE: 617-898-8824
MAIL ADDRESS:
STREET 1: 200 ARSENAL YARDS BLVD., STE. 210
CITY: WATERTOWN
STATE: MA
ZIP: 02472
4
1
doc4.xml
FORM 4 SUBMISSION
X0306
4
2021-12-22
0
0001604477
SQZ Biotechnologies Co
SQZ
0001438226
SCHULMAN AMY W
200 ARSENAL YARDS BLVD, SUITE 210
WATERTOWN
MA
02472
1
0
1
0
Common Stock
2021-12-22
4
M
0
10091
2.02
A
200775
D
Common Stock
2021-12-22
4
M
0
7458
4.59
A
208233
D
Common Stock
2021-12-22
4
M
0
6581
4.59
A
214814
D
Common Stock
275860
I
See footnote
Common Stock
178340
I
See footnotes
Common Stock
2549306
I
See footnotes
Common Stock
1850
I
See footnote
Common Stock
1850
I
See footnote
Stock Option
2.02
2021-12-22
4
M
0
10091
0.00
D
2028-03-04
Common Stock
10091
439
D
Stock Option
4.59
2021-12-22
4
M
0
7458
0.00
D
2029-02-18
Common Stock
7458
3072
D
Stock Option
4.59
2021-12-22
4
M
0
6581
0.00
D
2029-06-05
Common Stock
6581
3949
D
Options were exercised and held for tax planning purposes.
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.
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 in trust 1 for the benefit of a child of the reporting person. The reporting person's spouse has investment authorization over the trust. The reporting person disclaims beneficial ownership of these securities, and the filing of this report is not an admission that the reporting person is the beneficial owner of these securities for purposes of Section 16 or for any other purpose.
These shares are held in trust 2 for the benefit of a child of the reporting person. The reporting person's spouse has investment authorization over the trust. The reporting person disclaims beneficial ownership of these securities, and the filing of this report is not an admission that the reporting person is the beneficial owner of these securities for purposes of Section 16 or for any other purpose.
The option vests and becomes exercisable as to 25% of the underlying securities on January 23, 2019 and in 36 equal monthly installments thereafter.
The option vests and becomes exercisable as to 25% of the underlying securities on February 1, 2020 and in 36 equal monthly installments thereafter.
The option vests and becomes exercisable in 48 equal monthly installments commencing on July 5, 2019.
/s/ Lawrence Knopf, Attorney-in-Fact for Amy W. Schulman
2021-12-23