InsiderTrades

Form 4 for SRZN Surrozen, Inc./DE

Accepted 2024-04-08 00:00:00 ET · period of report 2024-04-04 · accession 0001593968-24-000563 · SEC index · Original document

Summary rows

Aggregated the way they appear in lists: one row per insider, transaction code and security table.

X Filed Traded Ticker Insider Title Type Price Qty Owned ΔOwn Value
D 2024-04-08 2024-04-04 SRZN Williams Charles O CFO, COO P - Purchase — +1,474 1,474 New —
DM 2024-04-08 2024-04-04 SRZN Williams Charles O CFO, COO P - Purchase — +14.5K 1,603 New —

Purchase Sale Sale after option exercise All abbreviations

Every reported transaction

#TableSecurityDateCodeA/DSharesPriceOwned afterOwnExercise / expiryUnderlyingFootnotes
1 Common Common Stock 2024-04-04 P A 1,474 — 1,474 D — — (F1) 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.
2 Derivative Series D Common Stock Warrant (right to buy) 2024-04-04 P A 5,712 — 5,712 D $16.00 · — to — 5,712 Common Stock (F1) 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. (F4) 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).
3 Derivative Series C Common Stock Warrant (right to buy) 2024-04-04 P A 5,712 — 5,712 D $16.00 · — to — 5,712 Common Stock (F1) 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. (F3) 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).
4 Derivative Series A Common Stock Warrant (right to buy) 2024-04-04 P A 1,474 — 1,474 D $16.96 · 2024-04-04 to 2029-04-04 1,474 Common Stock (F1) 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.
5 Derivative Series B Common Stock Warrant (right to buy) 2024-04-04 P A 1,603 — 1,603 D $15.71 · 2024-04-04 to — 1,603 Common Stock (F1) 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. (F2) 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.