0000950170-24-042633.txt : 20240408 0000950170-24-042633.hdr.sgml : 20240408 20240408162359 ACCESSION NUMBER: 0000950170-24-042633 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: COLUMN GROUP III-A, LP CENTRAL INDEX KEY: 0001668085 ORGANIZATION NAME: STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-39635 FILM NUMBER: 24829890 BUSINESS ADDRESS: STREET 1: 1700 OWENS STREET STREET 2: SUITE 500 CITY: SAN FRANCISCO STATE: CA ZIP: 94158 BUSINESS PHONE: 415 8652050 MAIL ADDRESS: STREET 1: 1700 OWENS STREET STREET 2: SUITE 500 CITY: SAN FRANCISCO STATE: CA ZIP: 94158 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: COLUMN GROUP III, LP CENTRAL INDEX KEY: 0001668159 ORGANIZATION NAME: STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-39635 FILM NUMBER: 24829889 BUSINESS ADDRESS: STREET 1: 1700 OWENS STREET STREET 2: SUITE 500 CITY: SAN FRANCISCO STATE: CA ZIP: 94158 BUSINESS PHONE: 4158652050 MAIL ADDRESS: STREET 1: 1700 OWENS STREET STREET 2: SUITE 500 CITY: SAN FRANCISCO STATE: CA ZIP: 94158 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: COLUMN GROUP III GP, LP CENTRAL INDEX KEY: 0001790965 ORGANIZATION NAME: STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-39635 FILM NUMBER: 24829891 BUSINESS ADDRESS: STREET 1: 1700 OWENS STREET STREET 2: SUITE 500 CITY: SAN FRANCISCO STATE: CA ZIP: 94158 BUSINESS PHONE: 4158652050 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 0001790965 COLUMN GROUP III GP, LP 1 LETTERMAN DR., BLDG D, SUITE DM-900 SAN FRANCISCO CA 94129 false false true false 0001668085 COLUMN GROUP III-A, LP 1 LETTERMAN DR., BLDG D, SUITE DM-900 SAN FRANCISCO CA 94129 false false true false 0001668159 COLUMN GROUP III, LP 1 LETTERMAN DR., BLDG D, SUITE DM-900 SAN FRANCISCO CA 94129 false 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 15.50 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 352225 I By The Column Group III, LP Series D Common Warrants 16.00 2024-04-04 4 P false 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 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). /s/ The Column Group III GP, LP /s/ James Evangelista, Attorney-in-Fact 2024-04-08 /s/ The Column Group III-A, LP. by The Column Group III GP, LP, its general partner /s/ James Evangelista Attorney-in-Fact 2024-04-08 /s/ The Column Group III, LP by The Column Group III GP, LP, its general partner /s/ James Evangelista Attorney-in-Fact 2024-04-08