Welcome to our dedicated page for Surrozen SEC filings (Ticker: SRZN), a comprehensive resource for investors and traders seeking official regulatory documents including 10-K annual reports, 10-Q quarterly earnings, 8-K material events, and insider trading forms.
Surrozen filings document a biotechnology issuer focused on Wnt signaling and antibody technologies for ophthalmic disease. Recent Form 8-K reports disclose operating results, financial condition, pipeline business updates for SZN-8141 and related retinal disease programs, and collaboration and license revenue tied to research milestones.
The company's regulatory reports also record governance and compensation matters, including board and executive changes and inducement equity arrangements, along with material-agreement disclosures such as the termination of the TCGFB collaboration for antibody discovery services. Cover-page data and exhibits identify Surrozen common stock and redeemable warrants as part of the public-company capital structure.
Surrozen, Inc. Chief Financial Officer Andrew Pedrum Maleki acquired 607 shares of Surrozen common stock on June 15, 2026. The shares were obtained at a price of $19.01 per share under the Surrozen, Inc. 2021 Employee Stock Purchase Plan.
The filing notes this was a voluntary report of transactions that were exempt from short-swing profit rules under Rule 16b-3(d) and Rule 16b-3(c). Following this acquisition, Maleki directly holds 607 shares of Surrozen common stock.
Surrozen, Inc. executive Li Yang, Executive Vice President of Research, reported receiving 1,666 shares of common stock at $8.11 per share on June 15, 2026. These shares were acquired as a compensation-related award under the Surrozen, Inc. 2021 Employee Stock Purchase Plan in transactions exempt under Rules 16b-3(d) and 16b-3(c). After this award, Yang directly holds 18,882 common shares and also reports 351 shares held indirectly for a son and 351 shares held indirectly for a daughter.
Surrozen, Inc. Chief Operating Officer Charles O. Williams reported a routine share acquisition through an employee stock purchase plan. He acquired 1,666 shares of Surrozen common stock at a price of $8.11 per share in a transaction coded as a grant or award acquisition, bringing his direct holdings to 18,237 shares.
The footnote explains that these shares were acquired under the Surrozen, Inc. 2021 Employee Stock Purchase Plan in transactions exempt under Rule 16b-3(d) and Rule 16b-3(c), indicating a compensation-related, non-open-market purchase rather than a discretionary trade in the company’s stock.
Surrozen, Inc. Chief Executive Officer Craig C. Parker received a grant of 1,622 shares of Surrozen common stock at a price of $8.11 per share. The shares were acquired as part of the Surrozen, Inc. 2021 Employee Stock Purchase Plan and are treated as a compensation-related award.
After this acquisition, Parker directly holds a total of 18,175 shares of Surrozen common stock. The company notes that these ESPP transactions were exempt under Rule 16b-3(d) and Rule 16b-3(c), indicating they are routine insider compensation rather than open-market purchases.
Surrozen, Inc. director and 10% owner Tim Kutzkey received a grant of stock options covering 5,550 shares of common stock. The options have an exercise price of $30.14 per share and were awarded at no cost as a compensation-related grant.
The options vest and become exercisable on the anniversary of the May 13, 2026 grant date, provided Kutzkey continues serving on Surrozen’s Board of Directors. After this grant, he holds options for 5,550 underlying shares directly, with no other derivative positions shown in this filing.
Surrozen, Inc. received an updated Schedule 13D/A from venture firm The Column Group and affiliated funds and managers detailing their stakes in the company’s common stock. The filing reports that various Column Group entities and principals Tim Kutzkey and Peter Svennilson collectively report significant beneficial ownership positions, calculated to include shares and warrants exercisable within 60 days.
The Column Group III GP LP reports beneficial ownership of 2,962,544 shares, or 23.6% of the class, while Kutzkey and Svennilson each report 3,824,612 shares, or 29.3%. These amounts reflect current holdings, rights to acquire shares in the second tranche of a private placement, and certain warrants that are exercisable within 60 days, and exclude additional warrants that cannot be exercised within that period due to beneficial ownership limitations.
Surrozen, Inc. ownership filing: Nantahala Capital Management, LLC and its managing members Wilmot B. Harkey and Daniel Mack report beneficial ownership of 225,772 shares of Common Stock as of March 31, 2026. The filing states these 225,772 shares may be acquired within sixty days through exercise of convertible securities, representing 2.14% of the class. The Reporting Persons disclose shared voting and dispositive power over the 225,772 shares and no sole voting or dispositive power.
Surrozen, Inc. Schedule 13G/A: a group led by Venrock-related entities and two individuals reports aggregated beneficial ownership of 9.99% of common stock as of March 31, 2026. The filing states 11,490,000 shares outstanding as of March 31, 2026 and 572,069 shares issuable upon exercise of warrants.
The group holds a mix of common shares, Pre-Funded Warrants and Series E Warrants and notes a Beneficial Ownership Blocker that prevents exercises that would increase ownership above 9.99%. Each Reporting Person is reported at the 9.99% level and certain exercises are capped at 1,205,000 shares.
Surrozen, Inc. Schedule 13G/A amendment: Reporting Persons led by TCG Crossover II/III and Chen Yu amended their prior filing to disclose beneficial ownership positions in the Issuer's Common Stock. Each of TCG Crossover II and TCG Crossover III is shown with 736,554 shares (representing 6.3%). Chen Yu is shown with 1,473,101 shares (representing 12.7%), consisting of the positions held by the two TCG funds. The filing cites 11,610,371 shares outstanding as of May 4, 2026 (and May 1, 2026 in one instance) as the basis for percentage calculations. The Reporting Persons disclaim group status and attribute record ownership to the TCG entities; Chen Yu is disclosed as sole managing member of the GP entities.
Surrozen, Inc. amendment to a Schedule 13G/A reports that each of 5AM Ventures VII, L.P., 5AM Partners VII, LLC, Andrew J. Schwab and Kush Parmar beneficially own 1,162,500 shares, representing 9.5% of common stock based on 11,486,707 shares outstanding as of March 18, 2026. The filing discloses that Ventures VII directly holds 387,500 shares plus warrants exercisable for 77,500 shares, and has rights to purchase an additional 465,000 shares and warrants exercisable for 232,500 shares upon a regulatory milestone or under limited post-termination windows.
The filing states that Partners VII is the general partner of Ventures VII and that Schwab and Dr. Parmar are managing members of Partners VII, sharing voting and dispositive power over the securities held by Ventures VII. The reporting persons disclaim status as a group.