0000950170-24-042636.txt : 20240408
0000950170-24-042636.hdr.sgml : 20240408
20240408162422
ACCESSION NUMBER: 0000950170-24-042636
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20240404
FILED AS OF DATE: 20240408
DATE AS OF CHANGE: 20240408
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Kutzkey Tim
CENTRAL INDEX KEY: 0001614186
ORGANIZATION NAME:
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-39635
FILM NUMBER: 24829896
MAIL ADDRESS:
STREET 1: 1700 OWENS STREET
STREET 2: SUITE 500
CITY: SAN FRANCISCO
STATE: CA
ZIP: 94158
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: Surrozen, Inc./DE
CENTRAL INDEX KEY: 0001824893
STANDARD INDUSTRIAL CLASSIFICATION: BIOLOGICAL PRODUCTS (NO DIAGNOSTIC SUBSTANCES) [2836]
ORGANIZATION NAME: 03 Life Sciences
IRS NUMBER: 301374889
FISCAL YEAR END: 1231
BUSINESS ADDRESS:
STREET 1: 171 OYSTER POINT BLVD
STREET 2: SUITE 400
CITY: SOUTH SAN FRANCISCO
STATE: CA
ZIP: 94080
BUSINESS PHONE: 650-475-2820
MAIL ADDRESS:
STREET 1: 171 OYSTER POINT BLVD
STREET 2: SUITE 400
CITY: SOUTH SAN FRANCISCO
STATE: CA
ZIP: 94080
FORMER COMPANY:
FORMER CONFORMED NAME: Consonance-HFW Acquisition Corp.
DATE OF NAME CHANGE: 20200915
4
1
ownership.xml
4
X0508
4
2024-04-04
0001824893
Surrozen, Inc./DE
SRZN
0001614186
Kutzkey Tim
C/O SURROZEN, INC.
171 OYSTER POINT BLVD., SUITE 400
SOUTH SAN FRANCISCO
CA
94080
true
false
true
false
false
Common Stock
2024-04-04
4
P
false
90897
15.50
A
294767
I
By The Column Group III, LP
Common Stock
2024-04-04
4
P
false
102651
15.50
A
332885
I
By The Column Group III-A, LP
Series A Common Warrants
15.50
2024-04-04
4
P
false
90897
A
Common Stock
90897
90897
I
By The Column Group III, LP
Series A Common Warrants
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2024-04-04
4
P
false
102651
A
Common Stock
102651
102651
I
By The Column Group III-A, LP
Series B Common Warrants
14.25
2024-04-04
4
P
false
98870
A
Common Stock
98870
98870
I
By The Column Group III, LP
Series B Common Warrants
14.25
2024-04-04
4
P
false
111656
A
Common Stock
111656
111656
I
By The Column Group III-A, LP
Series C Common Warrants
16.00
2024-04-04
4
P
false
352225
A
Common Stock
352225
352225
I
By The Column Group III, LP
Series C Common Warrants
16.00
2024-04-04
4
P
false
397773
A
Common Stock
397773
397773
I
By The Column Group III-A, LP
Series D Common Warrants
16.00
2024-04-04
4
P
false
352225
A
Common Stock
352225
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Series D Common Warrants
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2024-04-04
4
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397773
A
Common Stock
397773
397773
I
By The Column Group III-A, LP
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).
/s/James Evangelista, as attorney-in-fact for Tim Kutzkey
2024-04-08