0001593968-24-000562.txt : 20240408 0001593968-24-000562.hdr.sgml : 20240408 20240408172735 ACCESSION NUMBER: 0001593968-24-000562 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: Parker Craig C CENTRAL INDEX KEY: 0001526064 ORGANIZATION NAME: FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-39635 FILM NUMBER: 24830559 MAIL ADDRESS: STREET 1: 21 BEVERLY TERRACE CITY: MILL VALLEY STATE: CA ZIP: 94941 FORMER NAME: FORMER CONFORMED NAME: Parker Craig C. DATE OF NAME CHANGE: 20150730 FORMER NAME: FORMER CONFORMED NAME: Parker Craig C DATE OF NAME CHANGE: 20110718 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 primary_01.xml PRIMARY DOCUMENT X0508 4 2024-04-04 0001824893 Surrozen, Inc./DE SRZN 0001526064 Parker Craig C C/O SURROZEN, INC. 171 OYSTER POINT BLVD., SUITE 400 SOUTH SAN FRANCISCO CA 94080 true true false false Chief Executive Officer false Common Stock 2024-04-04 4 P false 1474 A 1474 D Series A Common Stock Warrant (right to buy) 16.96 2024-04-04 4 P false 1474 A 2024-04-04 2029-04-04 Common Stock 1474 1474 D Series B Common Stock Warrant (right to buy) 15.71 2024-04-04 4 P false 1603 A 2024-04-04 Common Stock 1603 1603 D Series C Common Stock Warrant (right to buy) 16 2024-04-04 4 P false 5712 A Common Stock 5712 5712 D Series D Common Stock Warrant (right to buy) 16 2024-04-04 4 P false 5712 A Common Stock 5712 5712 D On April 4, 2024, the reporting person acquired shares in a private placement by the Issuer pursuant to the terms of a Securities Purchase Agreement, dated as of April 1, 2024, by and among the Issuer and certain institutional investors and members of management, at a purchase price of $16.96 per share, which amount includes $1.25 for the accompanying common stock warrants. The warrant expires on the fifth trading day following the occurrence of the Series B Milestone Event (as defined in the Series B Common Stock Warrant). In the event the Series B Milestone Event has not occurred prior to the fifth anniversary of the issuance date of the warrant, the warrant will automatically terminate on such anniversary date. The warrant is exercisable for 30 days after the earlier of (i) the occurrence of the Series C Milestone Event (as defined in the Series C Common Stock Warrant) and (ii) a Fundamental Transaction (as defined in the Series C Common Stock Warrant). The warrant is exercisable for 30 days after the earlier of (i) the occurrence of the Series D Milestone Event (as defined in the Series D Common Stock Warrant) and (ii) a Fundamental Transaction (as defined in the Series D Common Stock Warrant). /s/Charles Williams, Attorney-in-Fact for Craig C Parker 2024-04-08