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4//SEC Filing

COLUMN GROUP III-A, LP 4

Accession 0000950170-24-042633

CIK 0001824893other
View on SEC.govCompany Profile

Filed

Apr 7, 8:00 PM ET

Accepted

Apr 8, 4:23 PM ET

Size

30.9 KB

Accession

0000950170-24-042633

Insider Transaction Report

Form 4
Period: 2024-04-04
Surrozen, Inc./DESRZN
COLUMN GROUP III, LP
10% Owner
Transactions
  • Purchase

    Series A Common Warrants

    2024-04-04+90,897→ 90,897 total(indirect: By The Column Group III, LP)
    Exercise: $15.50→ Common Stock (90,897 underlying)
  • Purchase

    Series B Common Warrants

    2024-04-04+111,656→ 111,656 total(indirect: By The Column Group III-A, LP)
    Exercise: $14.25→ Common Stock (111,656 underlying)
  • Purchase

    Common Stock

    2024-04-04$15.50/sh+90,897$1,408,904→ 294,767 total(indirect: By The Column Group III, LP)
  • Purchase

    Series B Common Warrants

    2024-04-04+98,870→ 98,870 total(indirect: By The Column Group III, LP)
    Exercise: $14.25→ Common Stock (98,870 underlying)
  • Purchase

    Series C Common Warrants

    2024-04-04+352,225→ 352,225 total(indirect: By The Column Group III, LP)
    Exercise: $16.00→ Common Stock (352,225 underlying)
  • Purchase

    Series D Common Warrants

    2024-04-04+352,225→ 352,225 total(indirect: By The Column Group III, LP)
    Exercise: $16.00→ Common Stock (352,225 underlying)
  • Purchase

    Common Stock

    2024-04-04$15.50/sh+102,651$1,591,091→ 332,885 total(indirect: By The Column Group III-A, LP)
  • Purchase

    Series A Common Warrants

    2024-04-04+102,651→ 102,651 total(indirect: By The Column Group III-A, LP)
    Exercise: $15.50→ Common Stock (102,651 underlying)
  • Purchase

    Series C Common Warrants

    2024-04-04+397,773→ 397,773 total(indirect: By The Column Group III-A, LP)
    Exercise: $16.00→ Common Stock (397,773 underlying)
  • Purchase

    Series D Common Warrants

    2024-04-04+397,773→ 397,773 total(indirect: By The Column Group III-A, LP)
    Exercise: $16.00→ Common Stock (397,773 underlying)
COLUMN GROUP III-A, LP
10% Owner
Transactions
  • Purchase

    Series B Common Warrants

    2024-04-04+111,656→ 111,656 total(indirect: By The Column Group III-A, LP)
    Exercise: $14.25→ Common Stock (111,656 underlying)
  • Purchase

    Series C Common Warrants

    2024-04-04+397,773→ 397,773 total(indirect: By The Column Group III-A, LP)
    Exercise: $16.00→ Common Stock (397,773 underlying)
  • Purchase

    Common Stock

    2024-04-04$15.50/sh+90,897$1,408,904→ 294,767 total(indirect: By The Column Group III, LP)
  • Purchase

    Common Stock

    2024-04-04$15.50/sh+102,651$1,591,091→ 332,885 total(indirect: By The Column Group III-A, LP)
  • Purchase

    Series B Common Warrants

    2024-04-04+98,870→ 98,870 total(indirect: By The Column Group III, LP)
    Exercise: $14.25→ Common Stock (98,870 underlying)
  • Purchase

    Series A Common Warrants

    2024-04-04+90,897→ 90,897 total(indirect: By The Column Group III, LP)
    Exercise: $15.50→ Common Stock (90,897 underlying)
  • Purchase

    Series A Common Warrants

    2024-04-04+102,651→ 102,651 total(indirect: By The Column Group III-A, LP)
    Exercise: $15.50→ Common Stock (102,651 underlying)
  • Purchase

    Series D Common Warrants

    2024-04-04+352,225→ 352,225 total(indirect: By The Column Group III, LP)
    Exercise: $16.00→ Common Stock (352,225 underlying)
  • Purchase

    Series C Common Warrants

    2024-04-04+352,225→ 352,225 total(indirect: By The Column Group III, LP)
    Exercise: $16.00→ Common Stock (352,225 underlying)
  • Purchase

    Series D Common Warrants

    2024-04-04+397,773→ 397,773 total(indirect: By The Column Group III-A, LP)
    Exercise: $16.00→ Common Stock (397,773 underlying)
COLUMN GROUP III GP, LP
10% Owner
Transactions
  • Purchase

    Common Stock

    2024-04-04$15.50/sh+90,897$1,408,904→ 294,767 total(indirect: By The Column Group III, LP)
  • Purchase

    Series A Common Warrants

    2024-04-04+102,651→ 102,651 total(indirect: By The Column Group III-A, LP)
    Exercise: $15.50→ Common Stock (102,651 underlying)
  • Purchase

    Series B Common Warrants

    2024-04-04+98,870→ 98,870 total(indirect: By The Column Group III, LP)
    Exercise: $14.25→ Common Stock (98,870 underlying)
  • Purchase

    Series D Common Warrants

    2024-04-04+397,773→ 397,773 total(indirect: By The Column Group III-A, LP)
    Exercise: $16.00→ Common Stock (397,773 underlying)
  • Purchase

    Common Stock

    2024-04-04$15.50/sh+102,651$1,591,091→ 332,885 total(indirect: By The Column Group III-A, LP)
  • Purchase

    Series A Common Warrants

    2024-04-04+90,897→ 90,897 total(indirect: By The Column Group III, LP)
    Exercise: $15.50→ Common Stock (90,897 underlying)
  • Purchase

    Series B Common Warrants

    2024-04-04+111,656→ 111,656 total(indirect: By The Column Group III-A, LP)
    Exercise: $14.25→ Common Stock (111,656 underlying)
  • Purchase

    Series C Common Warrants

    2024-04-04+397,773→ 397,773 total(indirect: By The Column Group III-A, LP)
    Exercise: $16.00→ Common Stock (397,773 underlying)
  • Purchase

    Series C Common Warrants

    2024-04-04+352,225→ 352,225 total(indirect: By The Column Group III, LP)
    Exercise: $16.00→ Common Stock (352,225 underlying)
  • Purchase

    Series D Common Warrants

    2024-04-04+352,225→ 352,225 total(indirect: By The Column Group III, LP)
    Exercise: $16.00→ Common Stock (352,225 underlying)
Footnotes (7)
  • [F1]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.
  • [F2]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.
  • [F3]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.
  • [F4]These Series A Common Warrants are immediately exercisable and expire on April 4, 2029.
  • [F5]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.
  • [F6]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).
  • [F7]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).

Documents

1 file

Issuer

Surrozen, Inc./DE

CIK 0001824893

→
Entity typeother
IncorporatedDE

Related Parties

1
  • filerCIK 0001668085

Filing Metadata

Form type
4
Filed
Apr 7, 8:00 PM ET
Accepted
Apr 8, 4:23 PM ET
Size
30.9 KB
View on SEC.gov