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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

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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

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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	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 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.
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).