Parker Craig C's Form 4 filing
Surrozen, Inc. (SRZN) · filed Apr 8, 2024
- Accession no.
- 0001593968-24-000562
- Filed
- Apr 8, 2024
- Trade date
- Apr 4, 2024
- Filing delay
- 4 days
- Rule 10b5-1 plan
- Not checked
This filing lists 1 non-derivative transaction and 4 derivative transactions. It was filed 4 days after the trade.
Reporting owners
A Form 4 can have several reporting owners, such as a person and a fund they control. Trade tables show the first one.
| Owner | Relationship to the company |
|---|---|
| Parker Craig CCIK 0001526064 | Director, Officer (Chief Executive Officer) |
Non-derivative securities (Table I)
Acquisitions and disposals of common stock and similar shares, one row per line on the filing.
| Trade date | Security | Transaction | Shares | Price | Value | Shares after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Apr 4, 2024 | Common Stock | PPurchaseAcquired | +1,474 | –F1 | – | 1,474 | Direct |
Derivative securities (Table II)
Options, warrants, restricted stock units and similar. Shares are the underlying shares; price and value are for the derivative itself, and the holding after is in derivative units.
| Trade date | Security | Transaction | Underlying shares | Unit price | Value | Held after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Apr 4, 2024 | Common Stock | PPurchaseAcquired | +1,474 | –F1 | – | 1,474 | Direct | |
| Apr 4, 2024 | Common Stock | PPurchaseAcquired | +1,603 | –F1 | – | 1,603 | Direct | |
| Apr 4, 2024 | Common Stock | PPurchaseAcquired | +5,712 | –F1 | – | 5,712 | Direct | |
| Apr 4, 2024 | Common Stock | PPurchaseAcquired | +5,712 | –F1 | – | 5,712 | Direct |
Footnotes and remarks
Livermore keeps the footnotes that transaction prices refer to, all footnotes of amendments (Form 4/A) and the filing's remarks. Other footnotes, such as how indirect holdings are held or the details of a trading plan, are only in the original on SEC EDGAR.
- F1
On April 4, 2024, the reporting person acquired shares in a private placement by the Issuer pursuant to the terms of a Securities Purchase Agreement, dated as of April 1, 2024, by and among the Issuer and certain institutional investors and members of management, at a purchase price of $16.96 per share, which amount includes $1.25 for the accompanying common stock warrants.
Referenced by the price of 1 transaction in Table I and 4 transactions in Table II.