SEC Form 4
FORM 4 UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940
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X
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
1. Name and Address of Reporting Person*
AMERICAN INTERNATIONAL GROUP INC

(Last) (First) (Middle)
175 WATER STREET

(Street)
NEW YORK NY 10038

(City) (State) (Zip)
2. Issuer Name and Ticker or Trading Symbol
SQZ Biotechnologies Co [ SQZ ]
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
Director X 10% Owner
Officer (give title below) Other (specify below)
3. Date of Earliest Transaction (Month/Day/Year)
11/03/2020
4. If Amendment, Date of Original Filed (Month/Day/Year)
11/02/2020
6. Individual or Joint/Group Filing (Check Applicable Line)
X Form filed by One Reporting Person
Form filed by More than One Reporting Person
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1. Title of Security (Instr. 3) 2. Transaction Date (Month/Day/Year) 2A. Deemed Execution Date, if any (Month/Day/Year) 3. Transaction Code (Instr. 8) 4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5) 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 7. Nature of Indirect Beneficial Ownership (Instr. 4)
Code V Amount (A) or (D) Price
Common Stock 11/03/2020(4) C 1,511,139 A (1) 1,511,139 I Through AIG DECO Fund I, LP(2)
Common Stock 11/03/2020(4) C 38,895 A (1) 38,895 I Through LS Polaris Innovation Fund LP(3)
Common Stock 11/03/2020(4) C 70,344 A (1) 70,344 I Through LS Polaris Innovation Fund LP(3)
Common Stock 11/03/2020(4) P 625,000 A $16 625,000 I Through AIG DECO Fund I, LP(2)
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 3) 2. Conversion or Exercise Price of Derivative Security 3. Transaction Date (Month/Day/Year) 3A. Deemed Execution Date, if any (Month/Day/Year) 4. Transaction Code (Instr. 8) 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) 6. Date Exercisable and Expiration Date (Month/Day/Year) 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) 8. Price of Derivative Security (Instr. 5) 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) 10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 11. Nature of Indirect Beneficial Ownership (Instr. 4)
Code V (A) (D) Date Exercisable Expiration Date Title Amount or Number of Shares
Series D Preferred Stock (1) 11/03/2020(4) C 1,435,079 (1) (1) Common Stock 1,511,139 (1) 0 I Through AIG DECO Fund I, LP(2)
Series D Preferred Stock (1) 11/03/2020(4) C 36,937 (1) (1) Common Stock 38,895 (1) 0 I Through LS Polaris Innovation Fund LP(3)
Series C Preferred Stock (1) 11/03/2020(4) C 66,803 (1) (1) Common Stock 70,344 (1) 0 I Through LS Polaris Innovation Fund LP(3)
Explanation of Responses:
1. There is a 1.0530-for-one stock split of Issuer's common stock, and a proportionate adjustment to the ratio at which Issuer's preferred stock is convertible into common stock, effected on October 23, 2020. Shares of Issuer's outstanding preferred stock will automatically convert into shares of the Issuer's common stock upon the closing of the Issuer's initial public offering of common stock.
2. The stock is held directly by AIG DECO Fund I, LP is a wholly owned, indirect subsidiary of American International Group, Inc.
3. The stock is held indirectly through American General Life Insurance Company ("AGL") as an LP in LS Polaris Innovation Fund LP. AGL is an indirect, wholly-owned subsidiary of American International Group, Inc.
4. The Transaction Date was amended from 10/30/2020 to 11/3/2020.
/s/ Geoffrey Cornell, Vice President and Deputy Chief Investment Officer 11/04/2020
** Signature of Reporting Person Date
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 4 (b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
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