Filing Details
- Accession Number:
- 0000950170-24-042633
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2024-04-08 16:23:59
- Reporting Period:
- 2024-04-04
- Accepted Time:
- 2024-04-08 16:23:59
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1824893 | Surrozen Inc. | SRZN | () | DE |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1668085 | Column Group Iii-A, Lp | 1 Letterman Dr., Bldg D, Suite Dm-900 San Francisco CA 94129 | No | No | No | No | |
| 1668159 | Column Group Iii, Lp | 1 Letterman Dr., Bldg D, Suite Dm-900 San Francisco CA 94129 | No | No | No | No | |
| 1790965 | Column Group Iii Gp, Lp | 1 Letterman Dr., Bldg D, Suite Dm-900 San Francisco CA 94129 | 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
- 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.
- 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 Tim Kutzkey, 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.
- 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.
- These Series A Common Warrants are immediately exercisable and expire on April 4, 2029.
- 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.
- 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).
- 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).
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