Filing Details

Accession Number:
0000950170-24-042636
Form Type:
4
Zero Holdings:
No
Publication Time:
2024-04-08 16:24:22
Reporting Period:
2024-04-04
Accepted Time:
2024-04-08 16:24:22
SEC Url:
Form 4 Filing
Issuer
Cik Name Symbol Sector (SIC) IRS No
1824893 Surrozen Inc. SRZN () 4
Insiders
Cik Name Reported Address Insider Title Director Officer Large Shareholder Other
1614186 Tim Kutzkey C/O Surrozen, Inc.
171 Oyster Point Blvd., Suite 400
South San Francisco CA 94080
No No No No
Reported Non-Derivative Transactions
Sec. Name Acquisiton - Disposition Date Amount Price Remaning Holdings Equity Swap Involved Form Type Code Nature of Ownership Explanation
Common Stock Acquisiton 2024-04-04 90,897 $15.50 294,767 No 4 P Indirect By The Column Group III, LP
Common Stock Acquisiton 2024-04-04 102,651 $15.50 332,885 No 4 P Indirect By The Column Group III-A, LP
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 P Indirect By The Column Group III, LP
No 4 P Indirect By The Column Group III-A, LP
Reported Derivative Transactions
Sec. Name Sec. Type Acquisiton - Disposition Date Amount Price Amount - 2 Price - 2
Common Stock Series A Common Warrants Acquisiton 2024-04-04 90,897 $0.00 90,897 $15.50
Common Stock Series A Common Warrants Acquisiton 2024-04-04 102,651 $0.00 102,651 $15.50
Common Stock Series B Common Warrants Acquisiton 2024-04-04 98,870 $0.00 98,870 $14.25
Common Stock Series B Common Warrants Acquisiton 2024-04-04 111,656 $0.00 111,656 $14.25
Common Stock Series C Common Warrants Acquisiton 2024-04-04 352,225 $0.00 352,225 $16.00
Common Stock Series C Common Warrants Acquisiton 2024-04-04 397,773 $0.00 397,773 $16.00
Common Stock Series D Common Warrants Acquisiton 2024-04-04 352,225 $0.00 352,225 $16.00
Common Stock Series D Common Warrants Acquisiton 2024-04-04 397,773 $0.00 397,773 $16.00
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
90,897 No 4 P Indirect
102,651 No 4 P Indirect
98,870 No 4 P Indirect
111,656 No 4 P Indirect
352,225 No 4 P Indirect
397,773 No 4 P Indirect
352,225 No 4 P Indirect
397,773 No 4 P Indirect
Footnotes
  1. Represents a price per unit, consisting of (i) $14.25 per share of the Issuer's Common Stock and (ii) $1.25 attributable to accompanying warrants to purchase shares of the Issuer's Common Stock, which The Column Group III, LP ("TCG III LP") and The Column Group III-A, LP ("TCG III-A LP") purchased in the Issuer's private placement on April 4, 2024.
  2. The securities are directly held by TCG III LP. The Column Group III GP, LP ("TCG III GP") is the general partner of TCG III LP and may be deemed to have voting, investment and dispositive power with respect to these securities. The managing partners of TCG III GP are David Goeddel, Peter Svennilson and the Reporting Person, a member of the Issuer's board of directors (collectively, the "Managing Partners"). The Managing Partners may be deemed to share voting and investment power with respect to such securities. TCG III GP and each of the Managing Partners disclaim beneficial ownership of these securities, except to the extent of their respective pecuniary interest in such securities.
  3. The securities are directly held by TCG III-A LP. TCG III GP is the general partner of TCG III-A LP and may be deemed to have voting, investment and dispositive power with respect to these securities. The managing partners of TCG III GP are the Managing Partners. The Managing Partners may be deemed to share voting and investment power with respect to such securities. TCG III GP and each of the Managing Partners disclaim beneficial ownership of these securities, except to the extent of their respective pecuniary interest in such securities.
  4. These Series A Common Warrants are immediately exercisable and expire on April 4, 2029.
  5. These Series B Common Warrants are exercisable immediately upon issuance and expire on the fifth trading day following the Issuer's announcement that (i) it has completed the enrollment of at least 15 patients with a 30-day mortality rate less than 30% in the Issuer's SZN-043 Phase 1b clinical trial for the treatment of severe alcohol-associated hepatitis, with no recommended changes by the Safety Review Committee to the study design, including changes related to dose or schedule, and (ii) Safety Review Committee approval for the Issuer to advance to a higher dose cohort.
  6. These Series C Common Warrants are exercisable for 30 days following the Issuer's announcement of final data from the SZN-043 Phase 1b clinical trial for the treatment of severe alcohol-associated hepatitis. The Series C Common Warrants will also become exercisable in the event of a Fundamental Transaction (as defined in the Series C Warrants).
  7. These Series D Common Warrants are exercisable for 30 days following the Issuer's announcement of the enrollment of at least 50 patients in the SZN-043 Phase 2/3 clinical trial for the treatment of severe alcohol-associated hepatitis. The Series D Common Warrants will also become exercisable in the event of a Fundamental Transaction (as defined in the Series D Warrants).