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