SC 13G: Surrozen, Inc./DE

AI Summary

SC 13G filing by Surrozen, Inc./DE.

Risk Assessment

Risk Level: low

FAQ

Key Financial Figures

• $0.0001 — Inc. (Name of Issuer) Common Stock, $0.0001 par value per share (Title of Class o

Filing Documents

• surrozen13g.htm (SC 13G) — 65KB
• 0000935836-24-000364.txt ( ) — 67KB

Ownership

Item 4. Ownership. See Items 5-9 and 11 of the cover page for each Filer. The shares of Common Stock beneficially owned by the Filers reported in this Schedule 13G consist of (1) 64,500 shares of Common Stock, (2) 64,500 shares of Common Stock issuable on exercise of Series A Warrants, and (3) 70,158 shares of Common Stock issuable on exercise of Series B Warrants. This Schedule 13G does not include 499,874 shares issuable on exercise of Series C Warrants and Series D Warrants, which are not exercisable within 60 days. The Series A Warrants, Series B Warrants, Series C Warrants and Series D Warrants are each subject to a 9.99% beneficial ownership limitation. The percentages reported in this Schedule 13G are based on 3,198,786 shares of Common Stock outstanding as of April 8, 20204, as reported in the Form 10-K filed by the Issuer on April 10, 2024.

Ownership of Five Percent or Less of a Class

Item 5. Ownership of Five Percent or Less of a Class If this statement is being filed to report the fact that as of the date hereof the reporting person has ceased to be the beneficial owner of more than five percent of the class of securities, check the following [ ]. 8 CUSIP No. 86889P208

Ownership of More than Five Percent on Behalf of Another Person

Item 6. Ownership of More than Five Percent on Behalf of Another Person. The Partnership holds the Stock for the benefit of its investors and has the right to receive or the power to direct the receipt of dividends from, or the proceeds from the sale of, the Stock. Item 7. Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on By the Parent Holding Company. Not applicable.

Identification and Classification of Members of the Group

Item 8. Identification and Classification of Members of the Group. Not applicable.

Notice of Dissolution of Group

Item 9. Notice of Dissolution of Group Not applicable.

Material to Be Filed as Exhibits

Item 10. Material to Be Filed as Exhibits Agreement Regarding Joint Filing of Statement on Schedule 13D or 13G.

Certification of Stonepine, the General Partner, Mr. Plexico and Mr. Lynch

Item 11. Certification of Stonepine, the General Partner, Mr. Plexico and Mr. Lynch By signing below I certify that, to the best of my knowledge and belief, the securities referred to above were acquired and are held in the ordinary course of business and were not acquired and are not held for the purpose of or with the effect of changing or influencing the control of the issuer of the securities and were not acquired and are not held in connection with or as a participant in any transaction having that purpose or effect, other than activities solely in connection with a nomination under § 240.14a-11. Certification of the Partnership By signing below I certify that, to the best of my knowledge and belief, the securities referred to above were not acquired and are not held for the purpose of or with the effect of changing or influencing the control of the issuer of the securities and were not acquired and are not held in connection with or as a participant in any transaction having that purpose or effect, other than activities solely in connection with a nomination under § 240.14a-11. 9 CUSIP No. 86889P208 SIGNATURE After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct. Dated:April 19, 2024 STONEPINE CAPITAL MANAGEMENT, LLC By: /s/ Timothy P. Lynch Timothy P. Lynch Managing Member STONEPINE CAPITAL, L.P. By:Stonepine GP, LLC, General Partner By: /s/ Timothy P. Lynch Timothy P. Lynch Managing Member STONEPINE GP, LLC By: /s/ Timothy P. Lynch Timothy P. Lynch Managing Member /s/ Jon M. Plexico Jon M. Plexico /s/ Timothy P. Lynch Timothy P. Lynch 10 CUSIP No. 86889P208 EXHIBIT A AGREEMENT REGARDING JOINT FILING OF STATEMENT ON SCHEDULE 13D OR 13G The undersigned agree to file jointly with the Securities and Exchange Commission (the “SEC”) any and all statements on Schedule 13D or Schedule 13G or Forms 3,

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View this SC 13G filing on SEC EDGAR