Surrozen (SRZN) CFO acquires 607 shares through 2021 employee stock purchase plan

Rhea-AI Filing Summary

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.

Insights

Insider transactions analyst

Routine ESPP acquisition by CFO with a small share amount.

The transaction shows Surrozen’s CFO acquiring 607 shares of common stock at $19.01 per share via the 2021 Employee Stock Purchase Plan. The Form 4 classifies this as a grant or award-type acquisition, not an open-market purchase.

The footnote explains the transaction is exempt under Rule 16b-3(d) and Rule 16b-3(c), indicating a board- or plan-approved mechanism rather than discretionary trading. With total holdings of 607 shares after the transaction and no derivative positions reported, this appears to be a modest, routine compensation-related equity purchase.

Insider Trade Summary

1 transaction reported

Mixed 1 txn

Insider Maleki Andrew Pedrum

Role Chief Financial Officer

Type	Security	Shares	Price	Value
Grant/Award	Common Stock	607	$19.01	$12K

Holdings After Transaction: Common Stock — 607 shares (Direct, null)

Footnotes (1)

1. [object Object]

Key Figures

Shares acquired: 607 shares Price per share: $19.01 per share Total holdings after transaction: 607 shares +1 more

4 metrics

Shares acquired 607 shares Common Stock acquired on June 15, 2026

Price per share $19.01 per share Acquisition price under 2021 Employee Stock Purchase Plan

Total holdings after transaction 607 shares Directly held common stock after acquisition

Transaction code A (Grant, award, or other acquisition) Characterization of Form 4 transaction

Key Terms

2021 Employee Stock Purchase Plan, Rule 16b-3(d), Rule 16b-3(c), Grant, award, or other acquisition

4 terms

2021 Employee Stock Purchase Plan financial

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

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 indicates Grant, award, or other acquisition"

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Form 4 Insider Transactions: What Each Field Means →

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^*

Maleki Andrew Pedrum

(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 Financial 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	607	A	$19.01	607	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, Attorney-in-Fact for Andrew Pedrum Maleki	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)

FAQ

What did Surrozen (SRZN) CFO Andrew Pedrum Maleki report on this Form 4?

Surrozen CFO Andrew Pedrum Maleki reported acquiring 607 shares of common stock. The shares were obtained through the Surrozen, Inc. 2021 Employee Stock Purchase Plan at a price of $19.01 per share, reflecting a compensation-related equity purchase rather than an open-market trade.

Was the Surrozen (SRZN) CFO transaction an open-market buy or a plan acquisition?

The transaction was a plan acquisition, not an open-market buy. The Form 4 classifies it as a grant or award acquisition under the 2021 Employee Stock Purchase Plan and notes exemption under Rule 16b-3(d) and Rule 16b-3(c), indicating board- or plan-approved treatment.

How many Surrozen (SRZN) shares does the CFO hold after this Form 4 transaction?

After this transaction, the Surrozen CFO directly holds 607 shares of common stock. The Form 4 shows total shares following the transaction equal to 607, with no additional derivative securities reported in the derivative holdings summary for this filing.

What price per share did the Surrozen (SRZN) CFO pay for the acquired shares?

The Surrozen CFO acquired the 607 shares at a price of $19.01 per share. This price is reported as the transaction price per share in the Form 4 and applies to the common stock obtained through the 2021 Employee Stock Purchase Plan.

What is the role of Rule 16b-3 in this Surrozen (SRZN) insider transaction?

The filing states the acquisition is exempt under Rule 16b-3(d) and Rule 16b-3(c). These provisions can exempt certain insider transactions, such as plan-based awards or purchases, from short-swing profit recovery rules when properly approved by the company’s board or compensation committee.

Does this Surrozen (SRZN) Form 4 show any option exercises or derivative securities?

This Form 4 does not show any option exercises or derivative transactions. The derivative summary section is empty, and the single reported transaction involves non-derivative common stock acquired under the 2021 Employee Stock Purchase Plan at $19.01 per share.