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Braidwell LP and affiliated reporting persons report beneficial ownership of Surrozen, Inc. common stock. As of June 30, 2026, they may be deemed to beneficially own 460,753 shares of common stock, representing approximately 3.9% of the class.
The position consists of 390,753 shares directly owned by Braidwell Partners Master Fund LP and 70,000 shares that the fund has the right to acquire within 60 days upon exercise of warrants. All 460,753 shares are reported with shared voting and dispositive power and no sole voting or dispositive power. The percentage is calculated using 11,610,371 shares outstanding as of May 4, 2026, plus the warrant shares, under Rule 13d-3(d)(1)(i) of the Exchange Act. The filing notes that the holding represents ownership of five percent or less of the class.
Boxer Capital Management, LLC and affiliated entities, together with Aaron Davis, report beneficial ownership of Surrozen, Inc. common stock on an amended Schedule 13G. As of June 30, 2026, the group beneficially owned 1,039,017 shares of common stock, representing 8.9% of the class, based on 11,610,371 shares outstanding as of May 4, 2026. The Reporting Persons have no sole voting or dispositive power and instead report shared voting and shared dispositive power over all 1,039,017 shares.
StemPoint Capital LP, StemPoint Capital Management GP LLC, and Michelle Ross report beneficial ownership of 602,798 shares of Surrozen, Inc. common stock. This includes 273,140 shares of common stock and 329,658 shares issuable upon exercise of Series A, B, and E warrants, all subject to a 9.99% Beneficial Ownership Limitation.
Based on 11,610,371 shares outstanding as of May 4, 2026 (plus the warrants counted under Rule 13d-3(d)(1)(i)), the Reporting Persons may be deemed to beneficially own 5.0% of the common stock. They report no sole voting or dispositive power, with shared voting power over 543,495 shares and shared dispositive power over all 602,798 shares.
5AM Ventures VII, L.P., 5AM Partners VII, LLC, Kush Parmar and Andrew J. Schwab report beneficial ownership of 968,750 shares of Surrozen, Inc. common stock, representing 7.8% of the class as of June 30, 2026. This includes 271,250 shares directly held by 5AM Ventures VII and additional rights under a March 24, 2025 Securities Purchase Agreement to acquire 465,000 2nd Closing Shares and 2nd Closing Warrants exercisable for up to 232,500 shares, contingent on a regulatory milestone or a Termination Notice related to the SZN-8141 development program. 5AM Partners VII is the sole general partner of 5AM Ventures VII, and Schwab and Parmar, as managing members of Partners VII, share voting and dispositive power over the reported securities.
Surrozen, Inc. has had its warrants expiring 8/10/2026 removed from listing and/or registration on the Nasdaq Stock Market LLC under Section 12(b) of the Securities Exchange Act of 1934. Nasdaq certifies that it has complied with its rules and the requirements of 17 CFR 240.12d2-2 for filing this Form 25.
Surrozen, Inc. reported second-quarter 2026 revenue of $5.0 million, entirely from collaboration and license milestones with Boehringer Ingelheim, compared with related-party research revenue a year earlier. Research and development expense was $8.5 million and general and administrative expense $6.9 million, resulting in a loss from operations of $10.4 million. Noncash gains of $59.6 million from remeasurement of tranche and warrant liabilities and other items produced quarterly net income of $50.2 million, though the company posted a first-half 2026 net loss of $77.3 million.
Cash and cash equivalents were $102.0 million as of June 30, 2026, with $19.9 million of cash used in operations in the first half. Management believes this cash is sufficient for at least 12 months, while anticipating the need to raise additional capital to execute its long-range plan. In ophthalmology, Surrozen plans to file an IND for SZN-8141 by the end of the third quarter of 2026 and start the DUET Phase 1b/2a DME trial by year-end, with initial data expected in the second half of 2027. SZN-8143 remains in preclinical development, and Boehringer Ingelheim has advanced SZN-413 into Phase 1. Boehringer has asserted a contractual basis to reduce future milestones and royalties under the SZN-413 collaboration, which Surrozen disputes; $10.0 million of 2026 milestones have been recognized to date.
Surrozen reported Q2 2026 results and updated its ophthalmology pipeline. Collaboration and license revenue was $5.0 million, driven by a milestone from Boehringer Ingelheim. Research and development expenses were $8.5 million and general and administrative expenses $6.9 million. Net income was $50.2 million, including $59.6 million of non-cash gains on tranche and warrant liabilities. Cash and cash equivalents were $102.0 million as of June 30, 2026.
The company plans to submit an IND for SZN-8141 by the end of the third quarter of 2026, initiate the DUET Phase 1b/2a study in diabetic macular edema by year-end 2026, and expects initial DUET data in the second half of 2027. In June 2026 Boehringer Ingelheim achieved a development milestone for SZN-413, and in July 2026 the U.S. Patent Trial and Appeal Board denied institution of Merck’s post-grant review petition challenging a Surrozen patent, reinforcing its intellectual property position.
Surrozen, Inc. is the subject of an amended ownership report by investment entities affiliated with TCG Crossover and by Chen Yu. TCG Crossover Fund II, L.P. and TCG Crossover GP II, LLC each report beneficial ownership of 574,054 shares of common stock, representing 4.9% of the class, with shared voting and dispositive power. TCG Crossover Fund III, L.P. and TCG Crossover GP III, LLC each report beneficial ownership of 574,047 shares, also 4.9% of the class, with shared voting and dispositive power.
Chen Yu reports beneficial ownership of 1,148,101 shares of common stock, or 9.9% of the outstanding shares, through these funds, with shared voting and dispositive power and no sole power. All reporting persons state that beneficial ownership is disclaimed except to the extent of their pecuniary interest. Percentages are based on 11,610,371 shares of common stock outstanding as of May 4, 2026.
TCG Crossover-affiliated 10% owners of Surrozen, Inc. reported sales of 325,000 shares of common stock on July 22, 2026, at $21.25 per share in transactions coded as open-market or private sales. The shares were sold in two equal 162,500-share blocks held by TCG Crossover Fund II, L.P. and TCG Crossover Fund III, L.P., and the reporting persons have disgorged to Surrozen the full short-swing profits from these sales as required by Section 16(b).
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.