4//SEC Filing
Invus Public Equities, L.P. 4
Accession 0000899243-20-030316
CIK 0001604477other
Filed
Nov 2, 7:00 PM ET
Accepted
Nov 3, 8:00 PM ET
Size
26.2 KB
Accession
0000899243-20-030316
Insider Transaction Report
Form 4
Invus Public Equities, LP
10% Owner
Transactions
- Conversion
Series D Convertible Preferred Stock
2020-11-03−240,375→ 0 total→ Common Stock (253,114 underlying) - Conversion
Series C Convertible Preferred Stock
2020-11-03−843,490→ 0 total→ Common Stock (888,194 underlying) - Conversion
Common Stock
2020-11-03+1,141,308→ 1,141,308 total - Purchase
Common Stock
2020-11-03$16.00/sh+465,000$7,440,000→ 1,606,308 total
ARTAL INTERNATIONAL SCA
10% Owner
Transactions
- Conversion
Common Stock
2020-11-03+1,141,308→ 1,141,308 total - Conversion
Series D Convertible Preferred Stock
2020-11-03−240,375→ 0 total→ Common Stock (253,114 underlying) - Purchase
Common Stock
2020-11-03$16.00/sh+465,000$7,440,000→ 1,606,308 total - Conversion
Series C Convertible Preferred Stock
2020-11-03−843,490→ 0 total→ Common Stock (888,194 underlying)
ARTAL GROUP S A
10% Owner
Transactions
- Purchase
Common Stock
2020-11-03$16.00/sh+465,000$7,440,000→ 1,606,308 total - Conversion
Common Stock
2020-11-03+1,141,308→ 1,141,308 total - Conversion
Series D Convertible Preferred Stock
2020-11-03−240,375→ 0 total→ Common Stock (253,114 underlying) - Conversion
Series C Convertible Preferred Stock
2020-11-03−843,490→ 0 total→ Common Stock (888,194 underlying)
Minne Pascal
10% Owner
Transactions
- Purchase
Common Stock
2020-11-03$16.00/sh+465,000$7,440,000→ 1,606,308 total - Conversion
Series C Convertible Preferred Stock
2020-11-03−843,490→ 0 total→ Common Stock (888,194 underlying) - Conversion
Common Stock
2020-11-03+1,141,308→ 1,141,308 total - Conversion
Series D Convertible Preferred Stock
2020-11-03−240,375→ 0 total→ Common Stock (253,114 underlying)
Artal International Management S.A.
10% Owner
Transactions
- Conversion
Series D Convertible Preferred Stock
2020-11-03−240,375→ 0 total→ Common Stock (253,114 underlying) - Purchase
Common Stock
2020-11-03$16.00/sh+465,000$7,440,000→ 1,606,308 total - Conversion
Common Stock
2020-11-03+1,141,308→ 1,141,308 total - Conversion
Series C Convertible Preferred Stock
2020-11-03−843,490→ 0 total→ Common Stock (888,194 underlying)
WESTEND SA
10% Owner
Transactions
- Conversion
Common Stock
2020-11-03+1,141,308→ 1,141,308 total - Purchase
Common Stock
2020-11-03$16.00/sh+465,000$7,440,000→ 1,606,308 total - Conversion
Series D Convertible Preferred Stock
2020-11-03−240,375→ 0 total→ Common Stock (253,114 underlying) - Conversion
Series C Convertible Preferred Stock
2020-11-03−843,490→ 0 total→ Common Stock (888,194 underlying)
Artal Treasury Ltd
10% Owner
Transactions
- Purchase
Common Stock
2020-11-03$16.00/sh+465,000$7,440,000→ 1,606,308 total - Conversion
Series C Convertible Preferred Stock
2020-11-03−843,490→ 0 total→ Common Stock (888,194 underlying) - Conversion
Series D Convertible Preferred Stock
2020-11-03−240,375→ 0 total→ Common Stock (253,114 underlying) - Conversion
Common Stock
2020-11-03+1,141,308→ 1,141,308 total
Transactions
- Conversion
Common Stock
2020-11-03+1,141,308→ 1,141,308 total - Purchase
Common Stock
2020-11-03$16.00/sh+465,000$7,440,000→ 1,606,308 total - Conversion
Series D Convertible Preferred Stock
2020-11-03−240,375→ 0 total→ Common Stock (253,114 underlying) - Conversion
Series C Convertible Preferred Stock
2020-11-03−843,490→ 0 total→ Common Stock (888,194 underlying)
Invus Public Equities Advisors, LLC
10% Owner
Transactions
- Conversion
Common Stock
2020-11-03+1,141,308→ 1,141,308 total - Conversion
Series C Convertible Preferred Stock
2020-11-03−843,490→ 0 total→ Common Stock (888,194 underlying) - Purchase
Common Stock
2020-11-03$16.00/sh+465,000$7,440,000→ 1,606,308 total - Conversion
Series D Convertible Preferred Stock
2020-11-03−240,375→ 0 total→ Common Stock (253,114 underlying)
Footnotes (3)
- [F1]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.
- [F2]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").
- [F3](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.
Documents
Issuer
SQZ Biotechnologies Co
CIK 0001604477
Entity typeother
Related Parties
1- filerCIK 0001340097
Filing Metadata
- Form type
- 4
- Filed
- Nov 2, 7:00 PM ET
- Accepted
- Nov 3, 8:00 PM ET
- Size
- 26.2 KB