Surrozen COO acquires 1,666 shares via plan

Surrozen, Inc. Chief Operating Officer Charles O. Williams reported a routine share acquisition through an employee stock purchase plan.

Rhea-AI Filing Summary

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.

Insider Trade Summary

Grant/Award: 1,666 shares

Grant/Award 1 txn

Insider Williams Charles O

Role Chief Operating Officer

Type	Security	Shares	Price	Value
Grant/Award	Common Stock	1,666	$8.11	$14K

Holdings After Transaction: Common Stock — 18,237 shares (Direct)

Footnotes (1)

1. F1. This reporting person is voluntarily reporting these shares acquired under the Surrozen, Inc. 2021 Employee Stock Purchase Plan in transactions that were exempt under both Rule 16b-3(d) and Rule 16b-3(c).

Key Figures

Shares acquired: 1,666 shares Acquisition price: $8.11 per share Holdings after transaction: 18,237 shares +1 more

4 metrics

Shares acquired 1,666 shares Common stock acquired under 2021 Employee Stock Purchase Plan

Acquisition price $8.11 per share Price for shares acquired on 2026-06-15

Holdings after transaction 18,237 shares Total direct Surrozen common stock held by COO after acquisition

Transaction code A (grant, award, or other acquisition) Non-derivative common stock transaction classification

Key Terms

Employee Stock Purchase Plan, Rule 16b-3(d), Rule 16b-3(c), grant, award, or other acquisition

4 terms

Employee Stock Purchase Plan financial

"shares acquired under the Surrozen, Inc. 2021 Employee Stock Purchase Plan"

An employee stock purchase plan is a company program that lets workers buy shares through small payroll deductions, often at a discount to the market price and after a set offering period. Think of it like a workplace savings plan that turns into ownership: it encourages employees to share in the company’s success and can create predictable buying or selling of stock that investors watch because it affects supply, demand and employee incentives.

Rule 16b-3(d) regulatory

"transactions that were exempt under both Rule 16b-3(d) and Rule 16b-3(c)"

Rule 16b-3(d) is a narrow SEC safe-harbor that shields company insiders (officers, directors and large shareholders) from liability for short‑swing profits when their buys or sells of company stock are made under a pre-established, written plan or contract that removes the insider’s ability to time trades. For investors, this matters because it permits predictable, automated insider transactions — like scheduled sales for diversification or payroll withholding — without triggering forced disgorgement, so such planned trades are treated differently from opportunistic insider trading.

Rule 16b-3(c) regulatory

"transactions that were exempt under both Rule 16b-3(d) and Rule 16b-3(c)"

An SEC rule that lets corporate insiders avoid automatic "short‑swing" profit recovery when they buy or sell their company’s stock under a pre‑approved, written plan that meets specific conditions. For investors, it matters because it clarifies when insider trades are treated as routine, reducing legal uncertainty and helping distinguish trades made for ordinary compensation or pre‑planned reasons from those that might signal opportunistic or timely insider advantage.

grant, award, or other acquisition financial

"transaction code description: Grant, award, or other acquisition"

FAQ

AI-generated questions and answers. How Rhea-AI works. Not financial advice.

What insider transaction did Surrozen (SRZN) report for Charles O. Williams?

Surrozen reported that Chief Operating Officer Charles O. Williams acquired 1,666 shares of common stock. The transaction was a grant or award acquisition under the company’s 2021 Employee Stock Purchase Plan, rather than an open-market purchase or sale of existing holdings.

At what price did Charles O. Williams acquire Surrozen (SRZN) shares?

Charles O. Williams acquired 1,666 Surrozen common shares at $8.11 per share. This price applies to the shares obtained through the company’s 2021 Employee Stock Purchase Plan, as disclosed in the Form 4 insider trading report filed for this transaction.

How many Surrozen (SRZN) shares does Charles O. Williams hold after this Form 4 transaction?

After acquiring 1,666 shares, Charles O. Williams holds 18,237 Surrozen common shares directly. This total reflects his position following the employee stock purchase plan transaction reported in the Form 4, and there are no derivative securities reported as remaining in this filing.

Was the Surrozen (SRZN) COO’s share acquisition an open-market trade?

The COO’s acquisition was not an open-market trade. The Form 4 and footnote state the 1,666 shares were acquired under Surrozen’s 2021 Employee Stock Purchase Plan, in transactions exempt under Rule 16b-3(d) and Rule 16b-3(c), indicating a compensation-related purchase mechanism.

What does the Surrozen (SRZN) Form 4 say about Rule 16b-3 exemptions?

The Form 4 explains that the reported shares were acquired in transactions exempt under Rule 16b-3(d) and Rule 16b-3(c). These provisions cover certain employee and director compensation-related equity transactions, clarifying the regulatory treatment of this stock purchase plan acquisition by the company’s Chief Operating Officer.

AI-generated analysis. How Rhea-AI works. Not financial advice.

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Accepted by SEC EDGAR 06/16/2026 - 04:47 PM Learn about SEC filing dates

SEC Form 4

FORM 4

UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940

OMB APPROVAL

OMB Number:			3235-0287
Estimated average burden
hours per response:			0.5

Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).

Check this box to indicate that a transaction was made pursuant to a contract, instruction or written plan for the purchase or sale of equity securities of the issuer that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c). See Instruction 10.

1. Name and Address of Reporting Person^*

Williams Charles O

(Last) (First) (Middle)

C/O SURROZEN, INC.

171 OYSTER POINT BLVD., SUITE 400

(Street)

SOUTH SAN FRANCISCO CALIFORNIA 94080

(City) (State) (Zip)

UNITED STATES

(Country)

2. Issuer Name and Ticker or Trading Symbol
Surrozen, Inc./DE [ SRZN ]

5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)

	Director		10% Owner
X	Officer (give title below)		Other (specify below)
	Chief Operating Officer

2a. Foreign Trading Symbol

3. Date of Earliest Transaction (Month/Day/Year)
06/15/2026

6. Individual or Joint/Group Filing (Check Applicable Line)

X	Form filed by One Reporting Person
	Form filed by More than One Reporting Person

4. If Amendment, Date of Original Filed (Month/Day/Year)

Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1. Title of Security (Instr. 3)	2. Transaction Date (Month/Day/Year)	2A. Deemed Execution Date, if any (Month/Day/Year)	3. Transaction Code (Instr. 8)		4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5)			5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)	6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	7. Nature of Indirect Beneficial Ownership (Instr. 4)
			Code	V	Amount	(A) or (D)	Price
Common Stock	06/15/2026		A(1)	V	1,666	A	$8.11	18,237	D

Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 3)	2. Conversion or Exercise Price of Derivative Security	3. Transaction Date (Month/Day/Year)	3A. Deemed Execution Date, if any (Month/Day/Year)	4. Transaction Code (Instr. 8)		5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)		6. Date Exercisable and Expiration Date (Month/Day/Year)		7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4)		8. Price of Derivative Security (Instr. 5)	9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4)	10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	11. Nature of Indirect Beneficial Ownership (Instr. 4)
				Code	V	(A)	(D)	Date Exercisable	Expiration Date	Title	Amount or Number of Shares

Explanation of Responses:

1. This reporting person is voluntarily reporting these shares acquired under the Surrozen, Inc. 2021 Employee Stock Purchase Plan in transactions that were exempt under both Rule 16b-3(d) and Rule 16b-3(c).

	/s/ Charles Williams	06/16/2026
	** Signature of Reporting Person	Date
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 4 (b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number.
* Form 4: SEC 1474 (03-26)