Surrozen CEO receives 1,622-share ESPP grant

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.

Accepted by SEC EDGAR 06/16/2026 - 04:44 PM EDT Learn about SEC filing dates

Rhea-AI Filing Summary

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.

Insider Trade Summary

Grant/Award: 1,622 shares

Grant/Award 1 txn

Insider Parker Craig C

Role Chief Executive Officer

Type	Security	Shares	Price	Value
Grant/Award	Common Stock	1,622	$8.11	$13K

Holdings After Transaction: Common Stock — 18,175 shares (Direct)

Holdings Before and After: Common Stock, 16,553 to 18,175 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 granted: 1,622 shares Grant price: $8.11 per share Total holdings after grant: 18,175 shares

3 metrics

Shares granted 1,622 shares Common Stock grant on June 15, 2026

Grant price $8.11 per share Price for ESPP acquisition

Total holdings after grant 18,175 shares Direct ownership following transaction

Key Terms

2021 Employee Stock Purchase Plan, Rule 16b-3(d), Rule 16b-3(c)

3 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.

FAQ

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

What insider transaction did Surrozen (SRZN) report for CEO Craig C. Parker?

Surrozen reported that CEO Craig C. Parker received a grant of 1,622 shares of common stock at $8.11 per share. The shares were acquired through the 2021 Employee Stock Purchase Plan as a compensation-related award, not an open-market purchase.

How many Surrozen (SRZN) shares does CEO Craig C. Parker hold after this Form 4?

After the reported transaction, Craig C. Parker directly holds 18,175 shares of Surrozen common stock. This total includes the 1,622 shares acquired through the company’s 2021 Employee Stock Purchase Plan in the June 15, 2026 award transaction.

Was the Surrozen (SRZN) CEO’s 1,622-share acquisition an open-market stock purchase?

No. The 1,622 shares were acquired under Surrozen’s 2021 Employee Stock Purchase Plan as a grant or award. The filing states the transactions were exempt under Rule 16b-3(d) and Rule 16b-3(c), indicating routine, compensation-related activity rather than open-market buying.

What price was used for the Surrozen (SRZN) CEO’s ESPP share acquisition?

The Form 4 shows a transaction price of $8.11 per share for the 1,622 Surrozen common shares. This price applies to the shares acquired under the 2021 Employee Stock Purchase Plan in the June 15, 2026 compensation-related award transaction.

What is the significance of Rule 16b-3 in the Surrozen (SRZN) CEO’s Form 4 filing?

The footnote explains the ESPP shares were acquired in transactions exempt under Rule 16b-3(d) and Rule 16b-3(c). These provisions allow certain insider compensation awards without triggering short-swing profit rules, highlighting that this is routine equity compensation rather than speculative trading.

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

Form 4 Insider Transactions: What Each Field Means →

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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^*

Parker Craig C

(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)

X	Director		10% Owner
X	Officer (give title below)		Other (specify below)
	Chief Executive 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	1,622	A	$8.11	18,175	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 Craig C. Parker	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)