Column Group III Amends Surrozen Stake Filing

TL;DR

Column Group III updated their Surrozen stake filing on 4/8/24. Watch for changes.

AI Summary

Column Group III, LP, along with affiliates Column Group III-A, LP and Tim Kutzkey, filed an amendment (No. 2) to their Schedule 13D on April 8, 2024, regarding their holdings in Surrozen, Inc. The filing indicates a change in the number of shares beneficially owned, though specific new share counts and dollar values are not detailed in this excerpt. This filing relates to Surrozen, Inc., a company focused on biological products.

Why It Matters

This amendment signals a potential shift in significant ownership or control of Surrozen, Inc., which could impact its stock price and strategic direction.

Risk Assessment

Risk Level: medium — Schedule 13D filings often indicate significant investor activity, which can lead to price volatility.

Key Players & Entities

• Column Group III, LP (company) — Filing entity
• Surrozen, Inc. (company) — Subject company
• Column Group III-A, LP (company) — Affiliated filing entity
• Tim Kutzkey (person) — Affiliated filing entity
• James Evangelista (person) — Chief Financial Officer of The Column Group III, LP

FAQ

Key Financial Figures

• $0.0001 — INC. (Name of Issuer) Common Stock, $0.0001 par value per share (Title of Class o
• $15.50 — d 193,548 Shares at a purchase price of $15.50. The purchase price per share includes
• $1 — . The purchase price per share includes $1.25, for the following accompanying comm
• $14.25 — Common Stock with an exercise price of $14.25 per share, exercisable immediately upon
• $16.00 — tock with an exercise purchase price of $16.00 per share, exercisable for 30 days foll

Filing Documents

• d768528dsc13da.htm (SC 13D/A) — 97KB
• 0001193125-24-089766.txt ( ) — 99KB

From the Filing

SC 13D/A 1 d768528dsc13da.htm SC 13D/A SC 13D/A SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 2) SURROZEN, INC. (Name of Issuer) Common Stock, $0.0001 par value per share (Title of Class of Securities) 86889P 208 (CUSIP Number) James Evangelista Chief Financial Officer The Column Group III, LP 1 Letterman Drive, Building D, Suite M-900 San Francisco, CA 94129 (415) 865-2050 (Name, Address and Telephone Number of Person Authorized to Receive Notices and Communications) April 4, 2024 (Date of Event Which Requires Filing of this Statement) If the filing person has previously filed a statement on Schedule 13G to report the acquisition that is the subject of this Schedule 13D, and is filing this schedule because of 240.13d-1(e), 240.13d-1(f) or 240.13d-1(g), check the following box. * The remainder of this cover page shall be filled out for a reporting persons initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter disclosures provided in a prior cover page. The information required on the remainder of this cover page shall not be deemed to be filed for the purpose of Section 18 of the Securities Exchange Act of 1934 ( Act ) or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act (however, see the Notes). (Continued on following pages) CUSIP No. 86889P 208 13D 1 NAMES OF REPORTING PERSONS The Column Group III GP, LP 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (see instructions) (a)(b) 3 SEC USE ONLY 4 SOURCE OF FUNDS (see instructions) AF 5 CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(d) or 2(e) 6 CITIZENSHIP OR PLACE OF ORGANIZATION Delaware NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH 7 SOLE VOTING POWER 0 8 SHARED VOTING POWER 1,236,384 (1) 9 SOLE DISPOSITIVE POWER 0 10 SHARED DISPOSITIVE POWER 1,236,384 (1) 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 1,236,384 (1) 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (see instructions) 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 11 34.2% (2) 14 TYPE OF REPORTING PERSON (see instructions) PN (1) Consists of (i) 385,664 shares of Common Stock held of record by TCG III LP (as defined in Item 2(a) below), (ii) warrants to purchase 194,985 shares of Common Stock held by TCG III LP which are exercisable within 60 days of this Statement, (iii) 435,536 shares of Common Stock held of record by TCG III-A LP (as defined in Item 2(a) below) and (iv) warrants to purchase 220,199 shares of Common Stock held by TCG III-A LP which are exercisable within 60 days of this Statement. This total excludes (a) warrants to purchase 704,450 shares of Common Stock held by TCG III, LP, which are not exercisable within 60 days of this Statement and (b) warrants to purchase 795,546 shares of Common Stock held by TCG III-A, LP, which are not exercisable within 60 days of this Statement. TCG III GP LP is the general partner of each of TCG III LP and TCG III-A LP and may be deemed to have voting, investment and dispositive power with respect to these securities. Peter Svennilson, David Goeddel and Tim Kutzkey, a member of the Issuers board of directors, are the managing partners of TCG III GP LP and may each be deemed to share voting, investment and dispositive power with respect to these securities. (2) Based on (i) 2,106,805 shares of Common Stock outstanding as of March 31, 2024, as reported by the Issuer to the Reporting Persons plus (ii) 1,091,981 shares of Common Stock sold by the Issuer in the Private Placement (as defined in Item 4 below) as reported in its Current Report on Form 8-K filed with the Securities and Exchange Commission (the Commission ) on April 2, 2024 (the Form 8-K ) plus (iii) 194,985 shares underlying warrants to purchase shares of Common Stock held by TCG III LP which are exercisable within 60 days of this Statement and (iv) 220,199 shares underlying warrants to purchase shares of Common Stock held by TCG III-A LP which are exercisable within 60 days of this Statement. CUSIP No. 86889P 208 13D 1 NAMES OF REPORTING PERSONS The Column Group III, LP 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (see instructions) (a)(b) 3 SEC USE ONLY 4 SOURCE OF FUNDS (see instructions) WC 5 CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(d) or 2(e) 6 CITIZENSHIP OR PLACE OF ORGANIZATION Delaware NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH 7 SOLE VOTING POWER 0 8 SHARED VOTING POWER 580,649 (1) 9 SOLE DISPOSITIVE POWER 0 10 SHARED DISPOSITIVE POWER 580,649 (1) 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

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View this SC 13D/A filing on SEC EDGAR