person · Reporting owner
Livingston Kevin Harold
Disclosed activity across 1 company
Sign in to followReported relationships
Latest disclosed role at each company.
No relationships currently tracked through insider filings.
Disclosed balances
About these balances
Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.
No balances currently tracked through insider filings.
Past disclosures · reporting ended (1)
No longer tracked through insider filings. These historical balances do not imply present ownership or a zero position.
Surrozen, Inc./DE
Report date December 14, 2022 · Filed December 15, 2022
Jointly reported with BLUTT MITCHELL J MD, Soffer Benny, Consonance Capital Management LP, Consonance Capman GP, LLC, Consonance Life Sciences
Section 16 reporting ended · disclosed 2022-12-15. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectBy Consonance Capital Master Account LP | 0 |
Reported balance
After 2022-12-14 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2022-12-14 · Sale · Disposed 1,748,750 · Balance 0 F1: On December 12, 2022, Consonance Capital Master Account LP (the "Master Account"), Consonance Capital Opportunity Master Fund, LP ("Consonance Opportunity Master"), a certain managed account (the "Managed Account"), Consonance Life Sciences, LLC ("Consonance Life Sciences"), and Surrozen, Inc. (the "Issuer") entered into a Securities Purchase Agreement (the "Purchase Agreement"). Pursuant to the Purchase Agreement, Master Account agreed to sell to the Issuer 1,748,750 shares of common stock of the Issuer and warrants to purchase 582,916 shares of common stock of the Issuer for an aggregate purchase price of $874,375. Each warrant entitles the holder thereof to purchase one share of common stock of the Issuer at a price of $11.50 per share, subject to adjustment. The warrants are currently exercisable and will expire at the earlier of August 12, 2026, or upon redemption or liquidation. F2: Consonance Capital Management LP ("Consonance Management") was an indirect beneficial owner of the securities reported herein that were held by the Master Account. Consonance Management is the investment adviser of the Master Account, and pursuant to an investment advisory agreement, Consonance Management exercises voting and investment power over the securities of the Issuer held by the Master Account. Consonance Capman GP LLC ("Capman") is the general partner of Consonance Management. Consonance Management receives an asset-based fee, but has no pecuniary interest. F3: (Continued from Footnote 2) Mitchell Blutt is the manager and member of Capman and has a pecuniary interest in the securities held by the Master Account as the manager and member of the general partner of the Master Account and thereby is entitled to a portion of the profits allocation. Each of Dr. Blutt, Consonance Management and Capman disclaims beneficial ownership of the securities that were held by the Master Account except to the extent of their pecuniary interest therein. |
| Common StockSEC Table I · non-derivative | IndirectBy Consonance Capital Opportunity Master Fund, LP | 0 |
Reported balance
After 2022-12-14 transaction · row 2
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 2 · 2022-12-14 · Sale · Disposed 1,297,922 · Balance 0 F4: Pursuant to the Purchase Agreement, Consonance Opportunity Master agreed to sell to the Issuer 1,297,922 shares of common stock of the Issuer and warrants to purchase 432,639 shares of common stock of the Issuer for an aggregate purchase price of $648,961. Each warrant entitles the holder thereof to purchase one share of common stock of the Issuer at a price of $11.50 per share, subject to adjustment. The warrants are currently exercisable and will expire at the earlier of August 12, 2026, or upon redemption or liquidation. F5: Consonance Management was an indirect beneficial owner of the securities reported herein that were held by Consonance Opportunity Master. Consonance Management is the investment adviser of Consonance Opportunity Master, and pursuant to an investment advisory agreement, Consonance Management exercises voting and investment power over the securities of the Issuer held by Consonance Opportunity Master. Capman is the general partner of Consonance Management. F6: (Continued from Footnote 5) Consonance Management receives an asset-based fee, but has no pecuniary interest. Mitchell Blutt is the manager and member of Capman and has a pecuniary interest in the securities held by Consonance Opportunity Master as the manager and member of the general partner of Consonance Opportunity Master and thereby is entitled to a portion of the profits allocation. Each of Dr. Blutt, Consonance Management and Capman disclaims beneficial ownership of the securities that were held by Consonance Opportunity Master except to the extent of their pecuniary interest therein. |
| Common StockSEC Table I · non-derivative | IndirectBy Managed Account | 0 |
Reported balance
After 2022-12-14 transaction · row 3
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 3 · 2022-12-14 · Sale · Disposed 450,827 · Balance 0 F7: Pursuant to the Purchase Agreement, the Managed Account agreed to sell to the Issuer 450,827 shares of common stock of the Issuer and warrants to purchase 150,275 shares of common stock of the Issuer for an aggregate purchase price of $225,413.50. Each warrant entitles the holder thereof to purchase one share of common stock of the Issuer at a price of $11.50 per share, subject to adjustment. The warrants are currently exercisable and will expire at the earlier of August 12, 2026, or upon redemption or liquidation. F8: Consonance Management was an indirect beneficial owner of the securities reported herein that were held by the Managed Account. Consonance Management is the investment adviser of the Managed Account and exercises voting and investment power over the securities of the Issuer held by the Managed Account. Capman is the general partner of Consonance Management. Consonance Management receives an asset-based fee, but has no pecuniary interest. Mitchell Blutt is the manager and member of Capman. Each of Dr. Blutt, Consonance Management and Capman disclaims beneficial ownership of the securities that were held by the Managed Account except to the extent of their pecuniary interest therein. |
| Common StockSEC Table I · non-derivative | IndirectBy Consonance Life Sciences, LLC | 0 |
Reported balance
After 2022-12-14 transaction · row 4
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 4 · 2022-12-14 · Sale · Disposed 1,885,000 · Balance 0 F9: Pursuant to the Purchase Agreement, Consonance Life Sciences agreed to sell to the Issuer 1,885,000 shares of common stock of the Issuer and warrants to purchase 144,666 shares of common stock of the Issuer for an aggregate purchase price of $942,500. Each warrant entitles the holder thereof to purchase one share of common stock of the Issuer at a price of $11.50 per share, subject to adjustment. The warrants are currently exercisable and will expire at the earlier of August 12, 2026, or upon redemption or liquidation. F10: Consonance Life Sciences is governed by a board of managers consisting of Mitchell J. Blutt, Benny Soffer and Kevin Livingston. As such, Mitchell J. Blutt, Benny Soffer and Kevin Livingston may be deemed to have voting and investment discretion over the securities held by Consonance Life Sciences and may be deemed to have shared beneficial ownership of such securities. Each of Mitchell J. Blutt, Benny Soffer and Kevin Livingston disclaims beneficial ownership of the securities that were held by Consonance Life Sciences except to the extent of their pecuniary interest therein. The Master Account, Consonance Opportunity Master and the Managed Account in the aggregate own the majority of the unit interests in Consonance Life Sciences. |
| Warrants (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $11.50 | IndirectBy Consonance Capital Master Account LP | 0 |
Reported balance
After 2022-12-14 transaction · row 5
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 5 · 2022-12-14 · Sale · Disposed 582,916 · Balance 0 F1: On December 12, 2022, Consonance Capital Master Account LP (the "Master Account"), Consonance Capital Opportunity Master Fund, LP ("Consonance Opportunity Master"), a certain managed account (the "Managed Account"), Consonance Life Sciences, LLC ("Consonance Life Sciences"), and Surrozen, Inc. (the "Issuer") entered into a Securities Purchase Agreement (the "Purchase Agreement"). Pursuant to the Purchase Agreement, Master Account agreed to sell to the Issuer 1,748,750 shares of common stock of the Issuer and warrants to purchase 582,916 shares of common stock of the Issuer for an aggregate purchase price of $874,375. Each warrant entitles the holder thereof to purchase one share of common stock of the Issuer at a price of $11.50 per share, subject to adjustment. The warrants are currently exercisable and will expire at the earlier of August 12, 2026, or upon redemption or liquidation. F2: Consonance Capital Management LP ("Consonance Management") was an indirect beneficial owner of the securities reported herein that were held by the Master Account. Consonance Management is the investment adviser of the Master Account, and pursuant to an investment advisory agreement, Consonance Management exercises voting and investment power over the securities of the Issuer held by the Master Account. Consonance Capman GP LLC ("Capman") is the general partner of Consonance Management. Consonance Management receives an asset-based fee, but has no pecuniary interest. F3: (Continued from Footnote 2) Mitchell Blutt is the manager and member of Capman and has a pecuniary interest in the securities held by the Master Account as the manager and member of the general partner of the Master Account and thereby is entitled to a portion of the profits allocation. Each of Dr. Blutt, Consonance Management and Capman disclaims beneficial ownership of the securities that were held by the Master Account except to the extent of their pecuniary interest therein. |
| Warrants (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $11.50 | IndirectBy Consonance Capital Opportunity Master Fund, LP | 0 |
Reported balance
After 2022-12-14 transaction · row 6
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 6 · 2022-12-14 · Sale · Disposed 432,639 · Balance 0 F4: Pursuant to the Purchase Agreement, Consonance Opportunity Master agreed to sell to the Issuer 1,297,922 shares of common stock of the Issuer and warrants to purchase 432,639 shares of common stock of the Issuer for an aggregate purchase price of $648,961. Each warrant entitles the holder thereof to purchase one share of common stock of the Issuer at a price of $11.50 per share, subject to adjustment. The warrants are currently exercisable and will expire at the earlier of August 12, 2026, or upon redemption or liquidation. F5: Consonance Management was an indirect beneficial owner of the securities reported herein that were held by Consonance Opportunity Master. Consonance Management is the investment adviser of Consonance Opportunity Master, and pursuant to an investment advisory agreement, Consonance Management exercises voting and investment power over the securities of the Issuer held by Consonance Opportunity Master. Capman is the general partner of Consonance Management. F6: (Continued from Footnote 5) Consonance Management receives an asset-based fee, but has no pecuniary interest. Mitchell Blutt is the manager and member of Capman and has a pecuniary interest in the securities held by Consonance Opportunity Master as the manager and member of the general partner of Consonance Opportunity Master and thereby is entitled to a portion of the profits allocation. Each of Dr. Blutt, Consonance Management and Capman disclaims beneficial ownership of the securities that were held by Consonance Opportunity Master except to the extent of their pecuniary interest therein. |
| Warrants (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $11.50 | IndirectBy Managed Account | 0 |
Reported balance
After 2022-12-14 transaction · row 7
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 7 · 2022-12-14 · Sale · Disposed 150,275 · Balance 0 F7: Pursuant to the Purchase Agreement, the Managed Account agreed to sell to the Issuer 450,827 shares of common stock of the Issuer and warrants to purchase 150,275 shares of common stock of the Issuer for an aggregate purchase price of $225,413.50. Each warrant entitles the holder thereof to purchase one share of common stock of the Issuer at a price of $11.50 per share, subject to adjustment. The warrants are currently exercisable and will expire at the earlier of August 12, 2026, or upon redemption or liquidation. F8: Consonance Management was an indirect beneficial owner of the securities reported herein that were held by the Managed Account. Consonance Management is the investment adviser of the Managed Account and exercises voting and investment power over the securities of the Issuer held by the Managed Account. Capman is the general partner of Consonance Management. Consonance Management receives an asset-based fee, but has no pecuniary interest. Mitchell Blutt is the manager and member of Capman. Each of Dr. Blutt, Consonance Management and Capman disclaims beneficial ownership of the securities that were held by the Managed Account except to the extent of their pecuniary interest therein. |
| Warrants (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $11.50 | IndirectBy Consonance Life Sciences, LLC | 0 |
Reported balance
After 2022-12-14 transaction · row 8
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 8 · 2022-12-14 · Sale · Disposed 144,666 · Balance 0 F9: Pursuant to the Purchase Agreement, Consonance Life Sciences agreed to sell to the Issuer 1,885,000 shares of common stock of the Issuer and warrants to purchase 144,666 shares of common stock of the Issuer for an aggregate purchase price of $942,500. Each warrant entitles the holder thereof to purchase one share of common stock of the Issuer at a price of $11.50 per share, subject to adjustment. The warrants are currently exercisable and will expire at the earlier of August 12, 2026, or upon redemption or liquidation. F10: Consonance Life Sciences is governed by a board of managers consisting of Mitchell J. Blutt, Benny Soffer and Kevin Livingston. As such, Mitchell J. Blutt, Benny Soffer and Kevin Livingston may be deemed to have voting and investment discretion over the securities held by Consonance Life Sciences and may be deemed to have shared beneficial ownership of such securities. Each of Mitchell J. Blutt, Benny Soffer and Kevin Livingston disclaims beneficial ownership of the securities that were held by Consonance Life Sciences except to the extent of their pecuniary interest therein. The Master Account, Consonance Opportunity Master and the Managed Account in the aggregate own the majority of the unit interests in Consonance Life Sciences. |
Filing footnotes · ownership attribution and instrument terms
F1: On December 12, 2022, Consonance Capital Master Account LP (the "Master Account"), Consonance Capital Opportunity Master Fund, LP ("Consonance Opportunity Master"), a certain managed account (the "Managed Account"), Consonance Life Sciences, LLC ("Consonance Life Sciences"), and Surrozen, Inc. (the "Issuer") entered into a Securities Purchase Agreement (the "Purchase Agreement"). Pursuant to the Purchase Agreement, Master Account agreed to sell to the Issuer 1,748,750 shares of common stock of the Issuer and warrants to purchase 582,916 shares of common stock of the Issuer for an aggregate purchase price of $874,375. Each warrant entitles the holder thereof to purchase one share of common stock of the Issuer at a price of $11.50 per share, subject to adjustment. The warrants are currently exercisable and will expire at the earlier of August 12, 2026, or upon redemption or liquidation.
F2: Consonance Capital Management LP ("Consonance Management") was an indirect beneficial owner of the securities reported herein that were held by the Master Account. Consonance Management is the investment adviser of the Master Account, and pursuant to an investment advisory agreement, Consonance Management exercises voting and investment power over the securities of the Issuer held by the Master Account. Consonance Capman GP LLC ("Capman") is the general partner of Consonance Management. Consonance Management receives an asset-based fee, but has no pecuniary interest.
F3: (Continued from Footnote 2) Mitchell Blutt is the manager and member of Capman and has a pecuniary interest in the securities held by the Master Account as the manager and member of the general partner of the Master Account and thereby is entitled to a portion of the profits allocation. Each of Dr. Blutt, Consonance Management and Capman disclaims beneficial ownership of the securities that were held by the Master Account except to the extent of their pecuniary interest therein.
F4: Pursuant to the Purchase Agreement, Consonance Opportunity Master agreed to sell to the Issuer 1,297,922 shares of common stock of the Issuer and warrants to purchase 432,639 shares of common stock of the Issuer for an aggregate purchase price of $648,961. Each warrant entitles the holder thereof to purchase one share of common stock of the Issuer at a price of $11.50 per share, subject to adjustment. The warrants are currently exercisable and will expire at the earlier of August 12, 2026, or upon redemption or liquidation.
F5: Consonance Management was an indirect beneficial owner of the securities reported herein that were held by Consonance Opportunity Master. Consonance Management is the investment adviser of Consonance Opportunity Master, and pursuant to an investment advisory agreement, Consonance Management exercises voting and investment power over the securities of the Issuer held by Consonance Opportunity Master. Capman is the general partner of Consonance Management.
F6: (Continued from Footnote 5) Consonance Management receives an asset-based fee, but has no pecuniary interest. Mitchell Blutt is the manager and member of Capman and has a pecuniary interest in the securities held by Consonance Opportunity Master as the manager and member of the general partner of Consonance Opportunity Master and thereby is entitled to a portion of the profits allocation. Each of Dr. Blutt, Consonance Management and Capman disclaims beneficial ownership of the securities that were held by Consonance Opportunity Master except to the extent of their pecuniary interest therein.
F7: Pursuant to the Purchase Agreement, the Managed Account agreed to sell to the Issuer 450,827 shares of common stock of the Issuer and warrants to purchase 150,275 shares of common stock of the Issuer for an aggregate purchase price of $225,413.50. Each warrant entitles the holder thereof to purchase one share of common stock of the Issuer at a price of $11.50 per share, subject to adjustment. The warrants are currently exercisable and will expire at the earlier of August 12, 2026, or upon redemption or liquidation.
F8: Consonance Management was an indirect beneficial owner of the securities reported herein that were held by the Managed Account. Consonance Management is the investment adviser of the Managed Account and exercises voting and investment power over the securities of the Issuer held by the Managed Account. Capman is the general partner of Consonance Management. Consonance Management receives an asset-based fee, but has no pecuniary interest. Mitchell Blutt is the manager and member of Capman. Each of Dr. Blutt, Consonance Management and Capman disclaims beneficial ownership of the securities that were held by the Managed Account except to the extent of their pecuniary interest therein.
F9: Pursuant to the Purchase Agreement, Consonance Life Sciences agreed to sell to the Issuer 1,885,000 shares of common stock of the Issuer and warrants to purchase 144,666 shares of common stock of the Issuer for an aggregate purchase price of $942,500. Each warrant entitles the holder thereof to purchase one share of common stock of the Issuer at a price of $11.50 per share, subject to adjustment. The warrants are currently exercisable and will expire at the earlier of August 12, 2026, or upon redemption or liquidation.
F10: Consonance Life Sciences is governed by a board of managers consisting of Mitchell J. Blutt, Benny Soffer and Kevin Livingston. As such, Mitchell J. Blutt, Benny Soffer and Kevin Livingston may be deemed to have voting and investment discretion over the securities held by Consonance Life Sciences and may be deemed to have shared beneficial ownership of such securities. Each of Mitchell J. Blutt, Benny Soffer and Kevin Livingston disclaims beneficial ownership of the securities that were held by Consonance Life Sciences except to the extent of their pecuniary interest therein. The Master Account, Consonance Opportunity Master and the Managed Account in the aggregate own the majority of the unit interests in Consonance Life Sciences.
Transaction history
JSON APIPurchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”
The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.
| Transaction date | Company | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| December 14, 2022 Filed Dec 15, 2022 09:30 UTC | Surrozen, Inc./DE SRZN · Entity 6092 | SaleWarrants (right to buy) · Derivative | 144,666 | Not disclosed Strike: $11.50 | Not disclosed |
DisclosureSEC source: 0000899243-22-038571 · doc4.xml · derivative · entry 8 BLUTT MITCHELL J MD · CIK 0001097955 · 10% owner Soffer Benny · CIK 0001829318 · 10% owner Livingston Kevin Harold · CIK 0001828234 · 10% owner Consonance Capital Management LP · CIK 0001544773 · 10% owner Consonance Capman GP, LLC · CIK 0001620428 · 10% owner Consonance Life Sciences · CIK 0001824774 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Consonance Life Sciences, LLC Disclosed balance after: 0 Underlying: Common Stock · 144,666 shares Expires not disclosed F9 · price: Pursuant to the Purchase Agreement, Consonance Life Sciences agreed to sell to the Issuer 1,885,000 shares of common stock of the Issuer and warrants to purchase 144,666 shares of common stock of the Issuer for an aggregate purchase price of $942,500. Each warrant entitles the holder thereof to purchase one share of common stock of the Issuer at a price of $11.50 per share, subject to adjustment. The warrants are currently exercisable and will expire at the earlier of August 12, 2026, or upon redemption or liquidation. F9 · derivative.exercise_date: Pursuant to the Purchase Agreement, Consonance Life Sciences agreed to sell to the Issuer 1,885,000 shares of common stock of the Issuer and warrants to purchase 144,666 shares of common stock of the Issuer for an aggregate purchase price of $942,500. Each warrant entitles the holder thereof to purchase one share of common stock of the Issuer at a price of $11.50 per share, subject to adjustment. The warrants are currently exercisable and will expire at the earlier of August 12, 2026, or upon redemption or liquidation. F9 · derivative.expiration_date: Pursuant to the Purchase Agreement, Consonance Life Sciences agreed to sell to the Issuer 1,885,000 shares of common stock of the Issuer and warrants to purchase 144,666 shares of common stock of the Issuer for an aggregate purchase price of $942,500. Each warrant entitles the holder thereof to purchase one share of common stock of the Issuer at a price of $11.50 per share, subject to adjustment. The warrants are currently exercisable and will expire at the earlier of August 12, 2026, or upon redemption or liquidation. F10 · ownership.nature: Consonance Life Sciences is governed by a board of managers consisting of Mitchell J. Blutt, Benny Soffer and Kevin Livingston. As such, Mitchell J. Blutt, Benny Soffer and Kevin Livingston may be deemed to have voting and investment discretion over the securities held by Consonance Life Sciences and may be deemed to have shared beneficial ownership of such securities. Each of Mitchell J. Blutt, Benny Soffer and Kevin Livingston disclaims beneficial ownership of the securities that were held by Consonance Life Sciences except to the extent of their pecuniary interest therein. The Master Account, Consonance Opportunity Master and the Managed Account in the aggregate own the majority of the unit interests in Consonance Life Sciences. Read SEC document |
| December 14, 2022 Filed Dec 15, 2022 09:30 UTC | Surrozen, Inc./DE SRZN · Entity 6092 | SaleWarrants (right to buy) · Derivative | 150,275 | Not disclosed Strike: $11.50 | Not disclosed |
DisclosureSEC source: 0000899243-22-038571 · doc4.xml · derivative · entry 7 BLUTT MITCHELL J MD · CIK 0001097955 · 10% owner Soffer Benny · CIK 0001829318 · 10% owner Livingston Kevin Harold · CIK 0001828234 · 10% owner Consonance Capital Management LP · CIK 0001544773 · 10% owner Consonance Capman GP, LLC · CIK 0001620428 · 10% owner Consonance Life Sciences · CIK 0001824774 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Managed Account Disclosed balance after: 0 Underlying: Common Stock · 150,275 shares Expires not disclosed F7 · price: Pursuant to the Purchase Agreement, the Managed Account agreed to sell to the Issuer 450,827 shares of common stock of the Issuer and warrants to purchase 150,275 shares of common stock of the Issuer for an aggregate purchase price of $225,413.50. Each warrant entitles the holder thereof to purchase one share of common stock of the Issuer at a price of $11.50 per share, subject to adjustment. The warrants are currently exercisable and will expire at the earlier of August 12, 2026, or upon redemption or liquidation. F7 · derivative.exercise_date: Pursuant to the Purchase Agreement, the Managed Account agreed to sell to the Issuer 450,827 shares of common stock of the Issuer and warrants to purchase 150,275 shares of common stock of the Issuer for an aggregate purchase price of $225,413.50. Each warrant entitles the holder thereof to purchase one share of common stock of the Issuer at a price of $11.50 per share, subject to adjustment. The warrants are currently exercisable and will expire at the earlier of August 12, 2026, or upon redemption or liquidation. F7 · derivative.expiration_date: Pursuant to the Purchase Agreement, the Managed Account agreed to sell to the Issuer 450,827 shares of common stock of the Issuer and warrants to purchase 150,275 shares of common stock of the Issuer for an aggregate purchase price of $225,413.50. Each warrant entitles the holder thereof to purchase one share of common stock of the Issuer at a price of $11.50 per share, subject to adjustment. The warrants are currently exercisable and will expire at the earlier of August 12, 2026, or upon redemption or liquidation. F8 · ownership.nature: Consonance Management was an indirect beneficial owner of the securities reported herein that were held by the Managed Account. Consonance Management is the investment adviser of the Managed Account and exercises voting and investment power over the securities of the Issuer held by the Managed Account. Capman is the general partner of Consonance Management. Consonance Management receives an asset-based fee, but has no pecuniary interest. Mitchell Blutt is the manager and member of Capman. Each of Dr. Blutt, Consonance Management and Capman disclaims beneficial ownership of the securities that were held by the Managed Account except to the extent of their pecuniary interest therein. Read SEC document |
| December 14, 2022 Filed Dec 15, 2022 09:30 UTC | Surrozen, Inc./DE SRZN · Entity 6092 | SaleWarrants (right to buy) · Derivative | 432,639 | Not disclosed Strike: $11.50 | Not disclosed |
DisclosureSEC source: 0000899243-22-038571 · doc4.xml · derivative · entry 6 BLUTT MITCHELL J MD · CIK 0001097955 · 10% owner Soffer Benny · CIK 0001829318 · 10% owner Livingston Kevin Harold · CIK 0001828234 · 10% owner Consonance Capital Management LP · CIK 0001544773 · 10% owner Consonance Capman GP, LLC · CIK 0001620428 · 10% owner Consonance Life Sciences · CIK 0001824774 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Consonance Capital Opportunity Master Fund, LP Disclosed balance after: 0 Underlying: Common Stock · 432,639 shares Expires not disclosed F4 · price: Pursuant to the Purchase Agreement, Consonance Opportunity Master agreed to sell to the Issuer 1,297,922 shares of common stock of the Issuer and warrants to purchase 432,639 shares of common stock of the Issuer for an aggregate purchase price of $648,961. Each warrant entitles the holder thereof to purchase one share of common stock of the Issuer at a price of $11.50 per share, subject to adjustment. The warrants are currently exercisable and will expire at the earlier of August 12, 2026, or upon redemption or liquidation. F4 · derivative.exercise_date: Pursuant to the Purchase Agreement, Consonance Opportunity Master agreed to sell to the Issuer 1,297,922 shares of common stock of the Issuer and warrants to purchase 432,639 shares of common stock of the Issuer for an aggregate purchase price of $648,961. Each warrant entitles the holder thereof to purchase one share of common stock of the Issuer at a price of $11.50 per share, subject to adjustment. The warrants are currently exercisable and will expire at the earlier of August 12, 2026, or upon redemption or liquidation. F4 · derivative.expiration_date: Pursuant to the Purchase Agreement, Consonance Opportunity Master agreed to sell to the Issuer 1,297,922 shares of common stock of the Issuer and warrants to purchase 432,639 shares of common stock of the Issuer for an aggregate purchase price of $648,961. Each warrant entitles the holder thereof to purchase one share of common stock of the Issuer at a price of $11.50 per share, subject to adjustment. The warrants are currently exercisable and will expire at the earlier of August 12, 2026, or upon redemption or liquidation. F5 · ownership.nature: Consonance Management was an indirect beneficial owner of the securities reported herein that were held by Consonance Opportunity Master. Consonance Management is the investment adviser of Consonance Opportunity Master, and pursuant to an investment advisory agreement, Consonance Management exercises voting and investment power over the securities of the Issuer held by Consonance Opportunity Master. Capman is the general partner of Consonance Management. F6 · ownership.nature: (Continued from Footnote 5) Consonance Management receives an asset-based fee, but has no pecuniary interest. Mitchell Blutt is the manager and member of Capman and has a pecuniary interest in the securities held by Consonance Opportunity Master as the manager and member of the general partner of Consonance Opportunity Master and thereby is entitled to a portion of the profits allocation. Each of Dr. Blutt, Consonance Management and Capman disclaims beneficial ownership of the securities that were held by Consonance Opportunity Master except to the extent of their pecuniary interest therein. Read SEC document |
| December 14, 2022 Filed Dec 15, 2022 09:30 UTC | Surrozen, Inc./DE SRZN · Entity 6092 | SaleWarrants (right to buy) · Derivative | 582,916 | Not disclosed Strike: $11.50 | Not disclosed |
DisclosureSEC source: 0000899243-22-038571 · doc4.xml · derivative · entry 5 BLUTT MITCHELL J MD · CIK 0001097955 · 10% owner Soffer Benny · CIK 0001829318 · 10% owner Livingston Kevin Harold · CIK 0001828234 · 10% owner Consonance Capital Management LP · CIK 0001544773 · 10% owner Consonance Capman GP, LLC · CIK 0001620428 · 10% owner Consonance Life Sciences · CIK 0001824774 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Consonance Capital Master Account LP Disclosed balance after: 0 Underlying: Common Stock · 582,916 shares Expires not disclosed F1 · price: On December 12, 2022, Consonance Capital Master Account LP (the "Master Account"), Consonance Capital Opportunity Master Fund, LP ("Consonance Opportunity Master"), a certain managed account (the "Managed Account"), Consonance Life Sciences, LLC ("Consonance Life Sciences"), and Surrozen, Inc. (the "Issuer") entered into a Securities Purchase Agreement (the "Purchase Agreement"). Pursuant to the Purchase Agreement, Master Account agreed to sell to the Issuer 1,748,750 shares of common stock of the Issuer and warrants to purchase 582,916 shares of common stock of the Issuer for an aggregate purchase price of $874,375. Each warrant entitles the holder thereof to purchase one share of common stock of the Issuer at a price of $11.50 per share, subject to adjustment. The warrants are currently exercisable and will expire at the earlier of August 12, 2026, or upon redemption or liquidation. F1 · derivative.exercise_date: On December 12, 2022, Consonance Capital Master Account LP (the "Master Account"), Consonance Capital Opportunity Master Fund, LP ("Consonance Opportunity Master"), a certain managed account (the "Managed Account"), Consonance Life Sciences, LLC ("Consonance Life Sciences"), and Surrozen, Inc. (the "Issuer") entered into a Securities Purchase Agreement (the "Purchase Agreement"). Pursuant to the Purchase Agreement, Master Account agreed to sell to the Issuer 1,748,750 shares of common stock of the Issuer and warrants to purchase 582,916 shares of common stock of the Issuer for an aggregate purchase price of $874,375. Each warrant entitles the holder thereof to purchase one share of common stock of the Issuer at a price of $11.50 per share, subject to adjustment. The warrants are currently exercisable and will expire at the earlier of August 12, 2026, or upon redemption or liquidation. F1 · derivative.expiration_date: On December 12, 2022, Consonance Capital Master Account LP (the "Master Account"), Consonance Capital Opportunity Master Fund, LP ("Consonance Opportunity Master"), a certain managed account (the "Managed Account"), Consonance Life Sciences, LLC ("Consonance Life Sciences"), and Surrozen, Inc. (the "Issuer") entered into a Securities Purchase Agreement (the "Purchase Agreement"). Pursuant to the Purchase Agreement, Master Account agreed to sell to the Issuer 1,748,750 shares of common stock of the Issuer and warrants to purchase 582,916 shares of common stock of the Issuer for an aggregate purchase price of $874,375. Each warrant entitles the holder thereof to purchase one share of common stock of the Issuer at a price of $11.50 per share, subject to adjustment. The warrants are currently exercisable and will expire at the earlier of August 12, 2026, or upon redemption or liquidation. F2 · ownership.nature: Consonance Capital Management LP ("Consonance Management") was an indirect beneficial owner of the securities reported herein that were held by the Master Account. Consonance Management is the investment adviser of the Master Account, and pursuant to an investment advisory agreement, Consonance Management exercises voting and investment power over the securities of the Issuer held by the Master Account. Consonance Capman GP LLC ("Capman") is the general partner of Consonance Management. Consonance Management receives an asset-based fee, but has no pecuniary interest. F3 · ownership.nature: (Continued from Footnote 2) Mitchell Blutt is the manager and member of Capman and has a pecuniary interest in the securities held by the Master Account as the manager and member of the general partner of the Master Account and thereby is entitled to a portion of the profits allocation. Each of Dr. Blutt, Consonance Management and Capman disclaims beneficial ownership of the securities that were held by the Master Account except to the extent of their pecuniary interest therein. Read SEC document |
| December 14, 2022 Filed Dec 15, 2022 09:30 UTC | Surrozen, Inc./DE SRZN · Entity 6092 | SaleCommon Stock | 1,885,000 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000899243-22-038571 · doc4.xml · nonDerivative · entry 4 BLUTT MITCHELL J MD · CIK 0001097955 · 10% owner Soffer Benny · CIK 0001829318 · 10% owner Livingston Kevin Harold · CIK 0001828234 · 10% owner Consonance Capital Management LP · CIK 0001544773 · 10% owner Consonance Capman GP, LLC · CIK 0001620428 · 10% owner Consonance Life Sciences · CIK 0001824774 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Consonance Life Sciences, LLC Disclosed balance after: 0 F9 · price: Pursuant to the Purchase Agreement, Consonance Life Sciences agreed to sell to the Issuer 1,885,000 shares of common stock of the Issuer and warrants to purchase 144,666 shares of common stock of the Issuer for an aggregate purchase price of $942,500. Each warrant entitles the holder thereof to purchase one share of common stock of the Issuer at a price of $11.50 per share, subject to adjustment. The warrants are currently exercisable and will expire at the earlier of August 12, 2026, or upon redemption or liquidation. F10 · ownership.nature: Consonance Life Sciences is governed by a board of managers consisting of Mitchell J. Blutt, Benny Soffer and Kevin Livingston. As such, Mitchell J. Blutt, Benny Soffer and Kevin Livingston may be deemed to have voting and investment discretion over the securities held by Consonance Life Sciences and may be deemed to have shared beneficial ownership of such securities. Each of Mitchell J. Blutt, Benny Soffer and Kevin Livingston disclaims beneficial ownership of the securities that were held by Consonance Life Sciences except to the extent of their pecuniary interest therein. The Master Account, Consonance Opportunity Master and the Managed Account in the aggregate own the majority of the unit interests in Consonance Life Sciences. Read SEC document |
| December 14, 2022 Filed Dec 15, 2022 09:30 UTC | Surrozen, Inc./DE SRZN · Entity 6092 | SaleCommon Stock | 450,827 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000899243-22-038571 · doc4.xml · nonDerivative · entry 3 BLUTT MITCHELL J MD · CIK 0001097955 · 10% owner Soffer Benny · CIK 0001829318 · 10% owner Livingston Kevin Harold · CIK 0001828234 · 10% owner Consonance Capital Management LP · CIK 0001544773 · 10% owner Consonance Capman GP, LLC · CIK 0001620428 · 10% owner Consonance Life Sciences · CIK 0001824774 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Managed Account Disclosed balance after: 0 F7 · price: Pursuant to the Purchase Agreement, the Managed Account agreed to sell to the Issuer 450,827 shares of common stock of the Issuer and warrants to purchase 150,275 shares of common stock of the Issuer for an aggregate purchase price of $225,413.50. Each warrant entitles the holder thereof to purchase one share of common stock of the Issuer at a price of $11.50 per share, subject to adjustment. The warrants are currently exercisable and will expire at the earlier of August 12, 2026, or upon redemption or liquidation. F8 · ownership.nature: Consonance Management was an indirect beneficial owner of the securities reported herein that were held by the Managed Account. Consonance Management is the investment adviser of the Managed Account and exercises voting and investment power over the securities of the Issuer held by the Managed Account. Capman is the general partner of Consonance Management. Consonance Management receives an asset-based fee, but has no pecuniary interest. Mitchell Blutt is the manager and member of Capman. Each of Dr. Blutt, Consonance Management and Capman disclaims beneficial ownership of the securities that were held by the Managed Account except to the extent of their pecuniary interest therein. Read SEC document |
| December 14, 2022 Filed Dec 15, 2022 09:30 UTC | Surrozen, Inc./DE SRZN · Entity 6092 | SaleCommon Stock | 1,297,922 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000899243-22-038571 · doc4.xml · nonDerivative · entry 2 BLUTT MITCHELL J MD · CIK 0001097955 · 10% owner Soffer Benny · CIK 0001829318 · 10% owner Livingston Kevin Harold · CIK 0001828234 · 10% owner Consonance Capital Management LP · CIK 0001544773 · 10% owner Consonance Capman GP, LLC · CIK 0001620428 · 10% owner Consonance Life Sciences · CIK 0001824774 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Consonance Capital Opportunity Master Fund, LP Disclosed balance after: 0 F4 · price: Pursuant to the Purchase Agreement, Consonance Opportunity Master agreed to sell to the Issuer 1,297,922 shares of common stock of the Issuer and warrants to purchase 432,639 shares of common stock of the Issuer for an aggregate purchase price of $648,961. Each warrant entitles the holder thereof to purchase one share of common stock of the Issuer at a price of $11.50 per share, subject to adjustment. The warrants are currently exercisable and will expire at the earlier of August 12, 2026, or upon redemption or liquidation. F5 · ownership.nature: Consonance Management was an indirect beneficial owner of the securities reported herein that were held by Consonance Opportunity Master. Consonance Management is the investment adviser of Consonance Opportunity Master, and pursuant to an investment advisory agreement, Consonance Management exercises voting and investment power over the securities of the Issuer held by Consonance Opportunity Master. Capman is the general partner of Consonance Management. F6 · ownership.nature: (Continued from Footnote 5) Consonance Management receives an asset-based fee, but has no pecuniary interest. Mitchell Blutt is the manager and member of Capman and has a pecuniary interest in the securities held by Consonance Opportunity Master as the manager and member of the general partner of Consonance Opportunity Master and thereby is entitled to a portion of the profits allocation. Each of Dr. Blutt, Consonance Management and Capman disclaims beneficial ownership of the securities that were held by Consonance Opportunity Master except to the extent of their pecuniary interest therein. Read SEC document |
| December 14, 2022 Filed Dec 15, 2022 09:30 UTC | Surrozen, Inc./DE SRZN · Entity 6092 | SaleCommon Stock | 1,748,750 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000899243-22-038571 · doc4.xml · nonDerivative · entry 1 BLUTT MITCHELL J MD · CIK 0001097955 · 10% owner Soffer Benny · CIK 0001829318 · 10% owner Livingston Kevin Harold · CIK 0001828234 · 10% owner Consonance Capital Management LP · CIK 0001544773 · 10% owner Consonance Capman GP, LLC · CIK 0001620428 · 10% owner Consonance Life Sciences · CIK 0001824774 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Consonance Capital Master Account LP Disclosed balance after: 0 F1 · price: On December 12, 2022, Consonance Capital Master Account LP (the "Master Account"), Consonance Capital Opportunity Master Fund, LP ("Consonance Opportunity Master"), a certain managed account (the "Managed Account"), Consonance Life Sciences, LLC ("Consonance Life Sciences"), and Surrozen, Inc. (the "Issuer") entered into a Securities Purchase Agreement (the "Purchase Agreement"). Pursuant to the Purchase Agreement, Master Account agreed to sell to the Issuer 1,748,750 shares of common stock of the Issuer and warrants to purchase 582,916 shares of common stock of the Issuer for an aggregate purchase price of $874,375. Each warrant entitles the holder thereof to purchase one share of common stock of the Issuer at a price of $11.50 per share, subject to adjustment. The warrants are currently exercisable and will expire at the earlier of August 12, 2026, or upon redemption or liquidation. F2 · ownership.nature: Consonance Capital Management LP ("Consonance Management") was an indirect beneficial owner of the securities reported herein that were held by the Master Account. Consonance Management is the investment adviser of the Master Account, and pursuant to an investment advisory agreement, Consonance Management exercises voting and investment power over the securities of the Issuer held by the Master Account. Consonance Capman GP LLC ("Capman") is the general partner of Consonance Management. Consonance Management receives an asset-based fee, but has no pecuniary interest. F3 · ownership.nature: (Continued from Footnote 2) Mitchell Blutt is the manager and member of Capman and has a pecuniary interest in the securities held by the Master Account as the manager and member of the general partner of the Master Account and thereby is entitled to a portion of the profits allocation. Each of Dr. Blutt, Consonance Management and Capman disclaims beneficial ownership of the securities that were held by the Master Account except to the extent of their pecuniary interest therein. Read SEC document |
| August 11, 2021 Filed Aug 13, 2021 23:36 UTC | Surrozen, Inc./DE SRZN · Entity 6092 | GrantWarrants · Derivative | 144,667 | $0.00 Strike: $11.50 | $0.00 |
DisclosureSEC source: 0000899243-21-033037 · doc4.xml · derivative · entry 7 Livingston Kevin Harold · CIK 0001828234 · Former Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 144,667 Underlying: Common Stock · 144,667 shares Expires not disclosed F3 · security: Pursuant to the Sponsor Letter Agreement entered into in connection with the Business Combination Agreement, Consonance Life Sciences LLC ("Consonance Life Sciences") agreed to contribute an aggregate of 759,000 Class B Ordinary Shares back to the Issuer for no additional consideration. F5 · derivative.exercise_date: Represents part of private placement units of the Issuer purchased by Consonance Life Sciences in a private placement transactions in connection with the Issuer's initial public offering for $10 per unit. Each unit consisted of one Class A Share and one-third of one private placement warrant ("Warrant"), with each whole Warrant entitling the holder to purchase one Class A Share at $11.50 per share. The Warrants will not become exercisable until the later of (a) 30 days after the completion of the Issuer's initial business combination or (b) 12 months from the closing of the Issuer's initial public offering. The Warrants will expire at 5:00 p.m., New York City time, five years after the completion of the Issuer's initial business combination or earlier upon redemption or liquidation. F5 · derivative.expiration_date: Represents part of private placement units of the Issuer purchased by Consonance Life Sciences in a private placement transactions in connection with the Issuer's initial public offering for $10 per unit. Each unit consisted of one Class A Share and one-third of one private placement warrant ("Warrant"), with each whole Warrant entitling the holder to purchase one Class A Share at $11.50 per share. The Warrants will not become exercisable until the later of (a) 30 days after the completion of the Issuer's initial business combination or (b) 12 months from the closing of the Issuer's initial public offering. The Warrants will expire at 5:00 p.m., New York City time, five years after the completion of the Issuer's initial business combination or earlier upon redemption or liquidation. F4 · ownership.nature: Represents shares held by Consonance Life Sciences. Consonance Life Sciences is governed by a board of managers consisting of Mitchell J. Blutt, Benny Soffer and Kevin Livingston. As such, Mitchell J. Blutt, Benny Soffer and Kevin Livingston may be deemed to have voting and investment discretion over the securities held by Consonance Life Sciences and may be deemed to have shared beneficial ownership of such securities. Each of Mitchell J. Blutt, Benny Soffer and Kevin Livingston disclaims beneficial ownership of the securities held by Consonance Life Sciences except to the extent of their pecuniary interest therein. Read SEC document |
| August 11, 2021 Filed Aug 13, 2021 23:36 UTC | Surrozen, Inc./DE SRZN · Entity 6092 | Disposition to issuerWarrants · Derivative | 144,667 | $0.00 Strike: $11.50 | $0.00 |
DisclosureSEC source: 0000899243-21-033037 · doc4.xml · derivative · entry 6 Livingston Kevin Harold · CIK 0001828234 · Former Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 0 Underlying: Class A Ordinary Shares · 144,667 shares Expires not disclosed F3 · security: Pursuant to the Sponsor Letter Agreement entered into in connection with the Business Combination Agreement, Consonance Life Sciences LLC ("Consonance Life Sciences") agreed to contribute an aggregate of 759,000 Class B Ordinary Shares back to the Issuer for no additional consideration. F5 · derivative.exercise_date: Represents part of private placement units of the Issuer purchased by Consonance Life Sciences in a private placement transactions in connection with the Issuer's initial public offering for $10 per unit. Each unit consisted of one Class A Share and one-third of one private placement warrant ("Warrant"), with each whole Warrant entitling the holder to purchase one Class A Share at $11.50 per share. The Warrants will not become exercisable until the later of (a) 30 days after the completion of the Issuer's initial business combination or (b) 12 months from the closing of the Issuer's initial public offering. The Warrants will expire at 5:00 p.m., New York City time, five years after the completion of the Issuer's initial business combination or earlier upon redemption or liquidation. F5 · derivative.expiration_date: Represents part of private placement units of the Issuer purchased by Consonance Life Sciences in a private placement transactions in connection with the Issuer's initial public offering for $10 per unit. Each unit consisted of one Class A Share and one-third of one private placement warrant ("Warrant"), with each whole Warrant entitling the holder to purchase one Class A Share at $11.50 per share. The Warrants will not become exercisable until the later of (a) 30 days after the completion of the Issuer's initial business combination or (b) 12 months from the closing of the Issuer's initial public offering. The Warrants will expire at 5:00 p.m., New York City time, five years after the completion of the Issuer's initial business combination or earlier upon redemption or liquidation. F4 · ownership.nature: Represents shares held by Consonance Life Sciences. Consonance Life Sciences is governed by a board of managers consisting of Mitchell J. Blutt, Benny Soffer and Kevin Livingston. As such, Mitchell J. Blutt, Benny Soffer and Kevin Livingston may be deemed to have voting and investment discretion over the securities held by Consonance Life Sciences and may be deemed to have shared beneficial ownership of such securities. Each of Mitchell J. Blutt, Benny Soffer and Kevin Livingston disclaims beneficial ownership of the securities held by Consonance Life Sciences except to the extent of their pecuniary interest therein. Read SEC document |
| August 11, 2021 Filed Aug 13, 2021 23:36 UTC | Surrozen, Inc./DE SRZN · Entity 6092 | GrantCommon Stock | 1,451,000 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000899243-21-033037 · doc4.xml · nonDerivative · entry 5 Livingston Kevin Harold · CIK 0001828234 · Former Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 1,885,000 F1 · price: On April 15, 2021, Consonance-HFW Acquisition Corp. (the "Issuer") entered into a Business Combination Agreement (the "Business Combination Agreement"), by and among the Issuer, Perseverance Merger Sub Inc. ("Merger Sub"), and Surrozen, Inc. ("Surrozen"). The Business Combination (as defined below) pursuant to the Business Combination Agreement closed on August 11, 2021. Pursuant to the terms of the Business Combination Agreement, on the closing date: (i) the Issuer became a Delaware corporation (the "Domestication") and, in connection with the Domestication, (A) the Issuer's name changed to "Surrozen, Inc.", (B) each outstanding Class A Ordinary Share of the Issuer ("Class A Share") and each outstanding Class B Ordinary Share of the Issuer became one share of common stock of Issuer (the "Common Stock") in transactions exempt from Section 16(b) of the Securities Exchange Act of 1934, F2 · price: (Continued from footnote 1) as amended (the "Exchange Act"), pursuant to Rule 16b-3 and Rule 16b-7 under the Exchange Act, and (C) each outstanding warrant of the Issuer became one warrant to purchase one share of Common Stock; and (ii) following the Domestication, Merger Sub merged with and into Surrozen, with Surrozen as the surviving company in the merger and, after giving effect to such merger, continuing as a wholly-owned subsidiary of Issuer (the "Merger"). The Domestication, the Merger and the other transactions contemplated by the Business Combination Agreement are hereinafter referred to as the "Business Combination". F4 · ownership.nature: Represents shares held by Consonance Life Sciences. Consonance Life Sciences is governed by a board of managers consisting of Mitchell J. Blutt, Benny Soffer and Kevin Livingston. As such, Mitchell J. Blutt, Benny Soffer and Kevin Livingston may be deemed to have voting and investment discretion over the securities held by Consonance Life Sciences and may be deemed to have shared beneficial ownership of such securities. Each of Mitchell J. Blutt, Benny Soffer and Kevin Livingston disclaims beneficial ownership of the securities held by Consonance Life Sciences except to the extent of their pecuniary interest therein. Read SEC document |
| August 11, 2021 Filed Aug 13, 2021 23:36 UTC | Surrozen, Inc./DE SRZN · Entity 6092 | GrantCommon Stock | 434,000 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000899243-21-033037 · doc4.xml · nonDerivative · entry 4 Livingston Kevin Harold · CIK 0001828234 · Former Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 434,000 F1 · price: On April 15, 2021, Consonance-HFW Acquisition Corp. (the "Issuer") entered into a Business Combination Agreement (the "Business Combination Agreement"), by and among the Issuer, Perseverance Merger Sub Inc. ("Merger Sub"), and Surrozen, Inc. ("Surrozen"). The Business Combination (as defined below) pursuant to the Business Combination Agreement closed on August 11, 2021. Pursuant to the terms of the Business Combination Agreement, on the closing date: (i) the Issuer became a Delaware corporation (the "Domestication") and, in connection with the Domestication, (A) the Issuer's name changed to "Surrozen, Inc.", (B) each outstanding Class A Ordinary Share of the Issuer ("Class A Share") and each outstanding Class B Ordinary Share of the Issuer became one share of common stock of Issuer (the "Common Stock") in transactions exempt from Section 16(b) of the Securities Exchange Act of 1934, F2 · price: (Continued from footnote 1) as amended (the "Exchange Act"), pursuant to Rule 16b-3 and Rule 16b-7 under the Exchange Act, and (C) each outstanding warrant of the Issuer became one warrant to purchase one share of Common Stock; and (ii) following the Domestication, Merger Sub merged with and into Surrozen, with Surrozen as the surviving company in the merger and, after giving effect to such merger, continuing as a wholly-owned subsidiary of Issuer (the "Merger"). The Domestication, the Merger and the other transactions contemplated by the Business Combination Agreement are hereinafter referred to as the "Business Combination". F4 · ownership.nature: Represents shares held by Consonance Life Sciences. Consonance Life Sciences is governed by a board of managers consisting of Mitchell J. Blutt, Benny Soffer and Kevin Livingston. As such, Mitchell J. Blutt, Benny Soffer and Kevin Livingston may be deemed to have voting and investment discretion over the securities held by Consonance Life Sciences and may be deemed to have shared beneficial ownership of such securities. Each of Mitchell J. Blutt, Benny Soffer and Kevin Livingston disclaims beneficial ownership of the securities held by Consonance Life Sciences except to the extent of their pecuniary interest therein. Read SEC document |
| August 11, 2021 Filed Aug 13, 2021 23:36 UTC | Surrozen, Inc./DE SRZN · Entity 6092 | Disposition to issuerClass B Ordinary Shares | 1,451,000 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000899243-21-033037 · doc4.xml · nonDerivative · entry 3 Livingston Kevin Harold · CIK 0001828234 · Former Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 0 F1 · price: On April 15, 2021, Consonance-HFW Acquisition Corp. (the "Issuer") entered into a Business Combination Agreement (the "Business Combination Agreement"), by and among the Issuer, Perseverance Merger Sub Inc. ("Merger Sub"), and Surrozen, Inc. ("Surrozen"). The Business Combination (as defined below) pursuant to the Business Combination Agreement closed on August 11, 2021. Pursuant to the terms of the Business Combination Agreement, on the closing date: (i) the Issuer became a Delaware corporation (the "Domestication") and, in connection with the Domestication, (A) the Issuer's name changed to "Surrozen, Inc.", (B) each outstanding Class A Ordinary Share of the Issuer ("Class A Share") and each outstanding Class B Ordinary Share of the Issuer became one share of common stock of Issuer (the "Common Stock") in transactions exempt from Section 16(b) of the Securities Exchange Act of 1934, F2 · price: (Continued from footnote 1) as amended (the "Exchange Act"), pursuant to Rule 16b-3 and Rule 16b-7 under the Exchange Act, and (C) each outstanding warrant of the Issuer became one warrant to purchase one share of Common Stock; and (ii) following the Domestication, Merger Sub merged with and into Surrozen, with Surrozen as the surviving company in the merger and, after giving effect to such merger, continuing as a wholly-owned subsidiary of Issuer (the "Merger"). The Domestication, the Merger and the other transactions contemplated by the Business Combination Agreement are hereinafter referred to as the "Business Combination". F4 · ownership.nature: Represents shares held by Consonance Life Sciences. Consonance Life Sciences is governed by a board of managers consisting of Mitchell J. Blutt, Benny Soffer and Kevin Livingston. As such, Mitchell J. Blutt, Benny Soffer and Kevin Livingston may be deemed to have voting and investment discretion over the securities held by Consonance Life Sciences and may be deemed to have shared beneficial ownership of such securities. Each of Mitchell J. Blutt, Benny Soffer and Kevin Livingston disclaims beneficial ownership of the securities held by Consonance Life Sciences except to the extent of their pecuniary interest therein. Read SEC document |
| August 11, 2021 Filed Aug 13, 2021 23:36 UTC | Surrozen, Inc./DE SRZN · Entity 6092 | OtherClass B Ordinary Shares | 759,000 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000899243-21-033037 · doc4.xml · nonDerivative · entry 2 Livingston Kevin Harold · CIK 0001828234 · Former Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 1,451,000 F3 · price: Pursuant to the Sponsor Letter Agreement entered into in connection with the Business Combination Agreement, Consonance Life Sciences LLC ("Consonance Life Sciences") agreed to contribute an aggregate of 759,000 Class B Ordinary Shares back to the Issuer for no additional consideration. F4 · ownership.nature: Represents shares held by Consonance Life Sciences. Consonance Life Sciences is governed by a board of managers consisting of Mitchell J. Blutt, Benny Soffer and Kevin Livingston. As such, Mitchell J. Blutt, Benny Soffer and Kevin Livingston may be deemed to have voting and investment discretion over the securities held by Consonance Life Sciences and may be deemed to have shared beneficial ownership of such securities. Each of Mitchell J. Blutt, Benny Soffer and Kevin Livingston disclaims beneficial ownership of the securities held by Consonance Life Sciences except to the extent of their pecuniary interest therein. Read SEC document |
| August 11, 2021 Filed Aug 13, 2021 23:36 UTC | Surrozen, Inc./DE SRZN · Entity 6092 | Disposition to issuerClass A Ordinary Shares | 434,000 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000899243-21-033037 · doc4.xml · nonDerivative · entry 1 Livingston Kevin Harold · CIK 0001828234 · Former Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 0 F1 · price: On April 15, 2021, Consonance-HFW Acquisition Corp. (the "Issuer") entered into a Business Combination Agreement (the "Business Combination Agreement"), by and among the Issuer, Perseverance Merger Sub Inc. ("Merger Sub"), and Surrozen, Inc. ("Surrozen"). The Business Combination (as defined below) pursuant to the Business Combination Agreement closed on August 11, 2021. Pursuant to the terms of the Business Combination Agreement, on the closing date: (i) the Issuer became a Delaware corporation (the "Domestication") and, in connection with the Domestication, (A) the Issuer's name changed to "Surrozen, Inc.", (B) each outstanding Class A Ordinary Share of the Issuer ("Class A Share") and each outstanding Class B Ordinary Share of the Issuer became one share of common stock of Issuer (the "Common Stock") in transactions exempt from Section 16(b) of the Securities Exchange Act of 1934, F2 · price: (Continued from footnote 1) as amended (the "Exchange Act"), pursuant to Rule 16b-3 and Rule 16b-7 under the Exchange Act, and (C) each outstanding warrant of the Issuer became one warrant to purchase one share of Common Stock; and (ii) following the Domestication, Merger Sub merged with and into Surrozen, with Surrozen as the surviving company in the merger and, after giving effect to such merger, continuing as a wholly-owned subsidiary of Issuer (the "Merger"). The Domestication, the Merger and the other transactions contemplated by the Business Combination Agreement are hereinafter referred to as the "Business Combination". F4 · ownership.nature: Represents shares held by Consonance Life Sciences. Consonance Life Sciences is governed by a board of managers consisting of Mitchell J. Blutt, Benny Soffer and Kevin Livingston. As such, Mitchell J. Blutt, Benny Soffer and Kevin Livingston may be deemed to have voting and investment discretion over the securities held by Consonance Life Sciences and may be deemed to have shared beneficial ownership of such securities. Each of Mitchell J. Blutt, Benny Soffer and Kevin Livingston disclaims beneficial ownership of the securities held by Consonance Life Sciences except to the extent of their pecuniary interest therein. Read SEC document |
| December 01, 2020 Filed Dec 3, 2020 11:06 UTC | Surrozen, Inc./DE CHFW · Entity 6092 | PurchaseWarrant · Derivative | 8,000 | Not disclosed Strike: $11.50 | Not disclosed |
DisclosureSEC source: 0001104659-20-131769 · a4.xml · derivative · entry 2 Livingston Kevin Harold · CIK 0001828234 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 144,667 Underlying: Class A Ordinary Shares · 8,000 shares Expires not disclosed F1 · security: Includes securities underlying the 24,000 private placement units of the Issuer purchased by Consonance Life Sciences (the "Sponsor") for $10.00 per private placement unit. The private placement units were purchased in a private placement upon the exercise in full of the over-allotment option granted to the underwriters to purchase additional shares in the Issuer's initial public offering. Each unit consists of one share of Class A ordinary share and one-third of one warrant, with each whole warrant entitling the holder to purchase one share of Class A ordinary share at $11.50 per share. F5 · security: Includes 8,000 warrants underlying the units referred to in footnote 1. F1 · price: Includes securities underlying the 24,000 private placement units of the Issuer purchased by Consonance Life Sciences (the "Sponsor") for $10.00 per private placement unit. The private placement units were purchased in a private placement upon the exercise in full of the over-allotment option granted to the underwriters to purchase additional shares in the Issuer's initial public offering. Each unit consists of one share of Class A ordinary share and one-third of one warrant, with each whole warrant entitling the holder to purchase one share of Class A ordinary share at $11.50 per share. F3 · derivative.exercise_date: The warrants will become exercisable on the later of (a) 30 days after the completion of the Issuer's initial business combination or (b) 12 months from the closing of the Issuer's initial public offering. F4 · derivative.expiration_date: The warrants will expire five years after the completion of the Issuer's initial business combination. F2 · ownership.nature: The Sponsor is the record holder of the shares and warrants reported herein. The Sponsor is governed by a board of managers consisting of Mitchell J. Blutt, Benny Soffer and Kevin Livingston. As such, Mitchell J. Blutt, Benny Soffer and Kevin Livingston have voting and investment discretion of the shares held by the Sponsor and may be deemed to have shared beneficial ownership of the shares held by the Sponsor. Each of Mitchell J. Blutt, Benny Soffer and Kevin Livingston disclaims beneficial ownership of the reported shares other than to the extent of any pecuniary interest he may have therein, directly or indirectly. Read SEC document |
| December 01, 2020 Filed Dec 3, 2020 11:06 UTC | Surrozen, Inc./DE CHFW · Entity 6092 | PurchaseClass A Ordinary Shares | 24,000 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001104659-20-131769 · a4.xml · nonDerivative · entry 1 Livingston Kevin Harold · CIK 0001828234 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 434,000 F1 · price: Includes securities underlying the 24,000 private placement units of the Issuer purchased by Consonance Life Sciences (the "Sponsor") for $10.00 per private placement unit. The private placement units were purchased in a private placement upon the exercise in full of the over-allotment option granted to the underwriters to purchase additional shares in the Issuer's initial public offering. Each unit consists of one share of Class A ordinary share and one-third of one warrant, with each whole warrant entitling the holder to purchase one share of Class A ordinary share at $11.50 per share. F2 · ownership.nature: The Sponsor is the record holder of the shares and warrants reported herein. The Sponsor is governed by a board of managers consisting of Mitchell J. Blutt, Benny Soffer and Kevin Livingston. As such, Mitchell J. Blutt, Benny Soffer and Kevin Livingston have voting and investment discretion of the shares held by the Sponsor and may be deemed to have shared beneficial ownership of the shares held by the Sponsor. Each of Mitchell J. Blutt, Benny Soffer and Kevin Livingston disclaims beneficial ownership of the reported shares other than to the extent of any pecuniary interest he may have therein, directly or indirectly. Read SEC document |
| December 01, 2020 Filed May 19, 2021 22:26 UTC Amendment | Surrozen, Inc./DE CHFW · Entity 6092 | GrantWarrant · Derivative | 8,000 | Not disclosed Strike: $11.50 | Not disclosed |
DisclosureSEC source: 0000899243-21-019989 · doc4a.xml · derivative · entry 2 Livingston Kevin Harold · CIK 0001828234 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 144,667 Underlying: Class A Ordinary Shares · 8,000 shares Expires not disclosed F1 · security: Includes securities underlying the 24,000 private placement units of the Issuer purchased by Consonance Life Sciences, LLC (the "Sponsor") for $10.00 per private placement unit. The private placement units were purchased in a private placement upon the exercise in full of the over-allotment option granted to the underwriters to purchase additional shares in the Issuer's initial public offering. Each unit consists of one Class A ordinary share and one-third of one warrant, with each whole warrant entitling the holder to purchase one Class A ordinary share at $11.50 per share. F5 · security: Includes 8,000 warrants underlying the units referred to in footnote 1. F6 · kind: This Form 4 amendment is being filed to correct the original Form 4 filed on December 3, 2020. The original Form 4 had the incorrect transaction code. F1 · price: Includes securities underlying the 24,000 private placement units of the Issuer purchased by Consonance Life Sciences, LLC (the "Sponsor") for $10.00 per private placement unit. The private placement units were purchased in a private placement upon the exercise in full of the over-allotment option granted to the underwriters to purchase additional shares in the Issuer's initial public offering. Each unit consists of one Class A ordinary share and one-third of one warrant, with each whole warrant entitling the holder to purchase one Class A ordinary share at $11.50 per share. F3 · derivative.exercise_date: The warrants will become exercisable on the later of (a) 30 days after the completion of the Issuer's initial business combination or (b) 12 months from the closing of the Issuer's initial public offering. F4 · derivative.expiration_date: The warrants will expire five years after the completion of the Issuer's initial business combination. F2 · ownership.nature: The Sponsor is the record holder of the shares and warrants reported herein. The Sponsor is governed by a board of managers consisting of Mitchell J. Blutt, Benny Soffer and Kevin Livingston. As such, Mitchell J. Blutt, Benny Soffer and Kevin Livingston have voting and investment discretion over the shares held by the Sponsor and may be deemed to have shared beneficial ownership of the shares held by the Sponsor. Each of Mitchell J. Blutt, Benny Soffer and Kevin Livingston disclaims beneficial ownership of the reported shares other than to the extent of any pecuniary interest he may have therein, directly or indirectly. Read SEC document |
| December 01, 2020 Filed May 19, 2021 22:26 UTC Amendment | Surrozen, Inc./DE CHFW · Entity 6092 | GrantClass A Ordinary Shares | 24,000 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000899243-21-019989 · doc4a.xml · nonDerivative · entry 1 Livingston Kevin Harold · CIK 0001828234 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 434,000 F6 · kind: This Form 4 amendment is being filed to correct the original Form 4 filed on December 3, 2020. The original Form 4 had the incorrect transaction code. F1 · price: Includes securities underlying the 24,000 private placement units of the Issuer purchased by Consonance Life Sciences, LLC (the "Sponsor") for $10.00 per private placement unit. The private placement units were purchased in a private placement upon the exercise in full of the over-allotment option granted to the underwriters to purchase additional shares in the Issuer's initial public offering. Each unit consists of one Class A ordinary share and one-third of one warrant, with each whole warrant entitling the holder to purchase one Class A ordinary share at $11.50 per share. F2 · ownership.nature: The Sponsor is the record holder of the shares and warrants reported herein. The Sponsor is governed by a board of managers consisting of Mitchell J. Blutt, Benny Soffer and Kevin Livingston. As such, Mitchell J. Blutt, Benny Soffer and Kevin Livingston have voting and investment discretion over the shares held by the Sponsor and may be deemed to have shared beneficial ownership of the shares held by the Sponsor. Each of Mitchell J. Blutt, Benny Soffer and Kevin Livingston disclaims beneficial ownership of the reported shares other than to the extent of any pecuniary interest he may have therein, directly or indirectly. Read SEC document |
| November 23, 2020 Filed Nov 25, 2020 21:05 UTC | Surrozen, Inc./DE CHFW · Entity 6092 | PurchaseWarrant · Derivative | 136,667 | Not disclosed Strike: $11.50 | Not disclosed |
DisclosureSEC source: 0001104659-20-129498 · a4.xml · derivative · entry 2 Livingston Kevin Harold · CIK 0001828234 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 136,667 Underlying: Class A Ordinary Shares · 136,667 shares Expires not disclosed F1 · security: Includes securities underlying the 410,000 private placement units of the Issuer purchased by Consonance Life Sciences (the "Sponsor") for $10.00 per private placement unit. The private placement units were purchased in a private placement that closed simultaneously with the closing of the Issuer's initial public offering. Each unit consists of one share of Class A ordinary share and one-third of one warrant, with each whole warrant entitling the holder to purchase one share of Class A ordinary share at $11.50 per share. F5 · security: Includes 136,667 warrants underlying the units referred to in footnote 1. F1 · price: Includes securities underlying the 410,000 private placement units of the Issuer purchased by Consonance Life Sciences (the "Sponsor") for $10.00 per private placement unit. The private placement units were purchased in a private placement that closed simultaneously with the closing of the Issuer's initial public offering. Each unit consists of one share of Class A ordinary share and one-third of one warrant, with each whole warrant entitling the holder to purchase one share of Class A ordinary share at $11.50 per share. F3 · derivative.exercise_date: The warrants will become exercisable on the later of (a) 30 days after the completion of the Issuer's initial business combination or (b) 12 months from the closing of the Issuer's initial public offering. F4 · derivative.expiration_date: The warrants will expire five years after the completion of the Issuer's initial business combination. F2 · ownership.nature: The Sponsor is the record holder of the shares and warrants reported herein. The Sponsor is governed by a board of managers consisting of Mitchell J. Blutt, Benny Soffer and Kevin Livingston. As such, Mitchell J. Blutt, Benny Soffer and Kevin Livingston have voting and investment discretion of the shares held by the Sponsor and may be deemed to have shared beneficial ownership of the shares held by the Sponsor. Each of Mitchell J. Blutt, Benny Soffer and Kevin Livingston disclaims beneficial ownership of the reported shares other than to the extent of any pecuniary interest he may have therein, directly or indirectly. Read SEC document |
| November 23, 2020 Filed Nov 25, 2020 21:05 UTC | Surrozen, Inc./DE CHFW · Entity 6092 | PurchaseClass A Ordinary Shares | 410,000 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001104659-20-129498 · a4.xml · nonDerivative · entry 1 Livingston Kevin Harold · CIK 0001828234 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 410,000 F1 · price: Includes securities underlying the 410,000 private placement units of the Issuer purchased by Consonance Life Sciences (the "Sponsor") for $10.00 per private placement unit. The private placement units were purchased in a private placement that closed simultaneously with the closing of the Issuer's initial public offering. Each unit consists of one share of Class A ordinary share and one-third of one warrant, with each whole warrant entitling the holder to purchase one share of Class A ordinary share at $11.50 per share. F2 · ownership.nature: The Sponsor is the record holder of the shares and warrants reported herein. The Sponsor is governed by a board of managers consisting of Mitchell J. Blutt, Benny Soffer and Kevin Livingston. As such, Mitchell J. Blutt, Benny Soffer and Kevin Livingston have voting and investment discretion of the shares held by the Sponsor and may be deemed to have shared beneficial ownership of the shares held by the Sponsor. Each of Mitchell J. Blutt, Benny Soffer and Kevin Livingston disclaims beneficial ownership of the reported shares other than to the extent of any pecuniary interest he may have therein, directly or indirectly. Read SEC document |
| November 23, 2020 Filed May 19, 2021 22:25 UTC Amendment | Surrozen, Inc./DE CHFW · Entity 6092 | GrantWarrant · Derivative | 136,667 | Not disclosed Strike: $11.50 | Not disclosed |
DisclosureSEC source: 0000899243-21-019987 · doc4a.xml · derivative · entry 8 Livingston Kevin Harold · CIK 0001828234 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 136,667 Underlying: Class A Ordinary Shares · 136,667 shares Expires not disclosed F1 · security: Includes securities underlying the 410,000 private placement units of the Issuer purchased by Consonance Life Sciences, LLC (the "Sponsor") for $10.00 per private placement unit. The private placement units were purchased in a private placement that closed simultaneously with the closing of the Issuer's initial public offering. Each unit consists of one Class A ordinary share and one-third of one warrant, with each whole warrant entitling the holder to purchase one Class A ordinary share at $11.50 per share. F5 · security: Includes 136,667 warrants underlying the units referred to in footnote 1. F6 · kind: This Form 4 amendment is being filed to correct the original Form 4 filed on November 25, 2020. The original Form 4 had the incorrect transaction code, and did not include reporting of all of the required transactions. F1 · price: Includes securities underlying the 410,000 private placement units of the Issuer purchased by Consonance Life Sciences, LLC (the "Sponsor") for $10.00 per private placement unit. The private placement units were purchased in a private placement that closed simultaneously with the closing of the Issuer's initial public offering. Each unit consists of one Class A ordinary share and one-third of one warrant, with each whole warrant entitling the holder to purchase one Class A ordinary share at $11.50 per share. F3 · derivative.exercise_date: The warrants will become exercisable on the later of (a) 30 days after the completion of the Issuer's initial business combination or (b) 12 months from the closing of the Issuer's initial public offering. F4 · derivative.expiration_date: The warrants will expire five years after the completion of the Issuer's initial business combination. F2 · ownership.nature: The Sponsor is the record holder of the shares and warrants reported herein. The Sponsor is governed by a board of managers consisting of Mitchell J. Blutt, Benny Soffer and Kevin Livingston. As such, Mitchell J. Blutt, Benny Soffer and Kevin Livingston have voting and investment discretion over the shares held by the Sponsor and may be deemed to have shared beneficial ownership of the shares held by the Sponsor. Each of Mitchell J. Blutt, Benny Soffer and Kevin Livingston disclaims beneficial ownership of the reported shares other than to the extent of any pecuniary interest he may have therein, directly or indirectly. Read SEC document |
| November 23, 2020 Filed May 19, 2021 22:25 UTC Amendment | Surrozen, Inc./DE CHFW · Entity 6092 | GrantClass A Ordinary Shares | 410,000 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000899243-21-019987 · doc4a.xml · nonDerivative · entry 7 Livingston Kevin Harold · CIK 0001828234 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 410,000 F6 · kind: This Form 4 amendment is being filed to correct the original Form 4 filed on November 25, 2020. The original Form 4 had the incorrect transaction code, and did not include reporting of all of the required transactions. F1 · price: Includes securities underlying the 410,000 private placement units of the Issuer purchased by Consonance Life Sciences, LLC (the "Sponsor") for $10.00 per private placement unit. The private placement units were purchased in a private placement that closed simultaneously with the closing of the Issuer's initial public offering. Each unit consists of one Class A ordinary share and one-third of one warrant, with each whole warrant entitling the holder to purchase one Class A ordinary share at $11.50 per share. F2 · ownership.nature: The Sponsor is the record holder of the shares and warrants reported herein. The Sponsor is governed by a board of managers consisting of Mitchell J. Blutt, Benny Soffer and Kevin Livingston. As such, Mitchell J. Blutt, Benny Soffer and Kevin Livingston have voting and investment discretion over the shares held by the Sponsor and may be deemed to have shared beneficial ownership of the shares held by the Sponsor. Each of Mitchell J. Blutt, Benny Soffer and Kevin Livingston disclaims beneficial ownership of the reported shares other than to the extent of any pecuniary interest he may have therein, directly or indirectly. Read SEC document |
| November 18, 2020 Filed May 19, 2021 22:25 UTC Amendment | Surrozen, Inc./DE CHFW · Entity 6092 | SaleClass B Ordinary Shares | 30,000 | $0.01 | $327.00 |
DisclosureSEC source: 0000899243-21-019987 · doc4a.xml · nonDerivative · entry 6 Livingston Kevin Harold · CIK 0001828234 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 2,210,000 F6 · security: This Form 4 amendment is being filed to correct the original Form 4 filed on November 25, 2020. The original Form 4 had the incorrect transaction code, and did not include reporting of all of the required transactions. F2 · ownership.nature: The Sponsor is the record holder of the shares and warrants reported herein. The Sponsor is governed by a board of managers consisting of Mitchell J. Blutt, Benny Soffer and Kevin Livingston. As such, Mitchell J. Blutt, Benny Soffer and Kevin Livingston have voting and investment discretion over the shares held by the Sponsor and may be deemed to have shared beneficial ownership of the shares held by the Sponsor. Each of Mitchell J. Blutt, Benny Soffer and Kevin Livingston disclaims beneficial ownership of the reported shares other than to the extent of any pecuniary interest he may have therein, directly or indirectly. Read SEC document |
| November 18, 2020 Filed May 19, 2021 22:25 UTC Amendment | Surrozen, Inc./DE CHFW · Entity 6092 | SaleClass B Ordinary Shares | 30,000 | $0.01 | $327.00 |
DisclosureSEC source: 0000899243-21-019987 · doc4a.xml · nonDerivative · entry 5 Livingston Kevin Harold · CIK 0001828234 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 2,240,000 F6 · security: This Form 4 amendment is being filed to correct the original Form 4 filed on November 25, 2020. The original Form 4 had the incorrect transaction code, and did not include reporting of all of the required transactions. F2 · ownership.nature: The Sponsor is the record holder of the shares and warrants reported herein. The Sponsor is governed by a board of managers consisting of Mitchell J. Blutt, Benny Soffer and Kevin Livingston. As such, Mitchell J. Blutt, Benny Soffer and Kevin Livingston have voting and investment discretion over the shares held by the Sponsor and may be deemed to have shared beneficial ownership of the shares held by the Sponsor. Each of Mitchell J. Blutt, Benny Soffer and Kevin Livingston disclaims beneficial ownership of the reported shares other than to the extent of any pecuniary interest he may have therein, directly or indirectly. Read SEC document |
| November 18, 2020 Filed May 19, 2021 22:25 UTC Amendment | Surrozen, Inc./DE CHFW · Entity 6092 | SaleClass B Ordinary Shares | 30,000 | $0.01 | $327.00 |
DisclosureSEC source: 0000899243-21-019987 · doc4a.xml · nonDerivative · entry 4 Livingston Kevin Harold · CIK 0001828234 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 2,270,000 F6 · security: This Form 4 amendment is being filed to correct the original Form 4 filed on November 25, 2020. The original Form 4 had the incorrect transaction code, and did not include reporting of all of the required transactions. F2 · ownership.nature: The Sponsor is the record holder of the shares and warrants reported herein. The Sponsor is governed by a board of managers consisting of Mitchell J. Blutt, Benny Soffer and Kevin Livingston. As such, Mitchell J. Blutt, Benny Soffer and Kevin Livingston have voting and investment discretion over the shares held by the Sponsor and may be deemed to have shared beneficial ownership of the shares held by the Sponsor. Each of Mitchell J. Blutt, Benny Soffer and Kevin Livingston disclaims beneficial ownership of the reported shares other than to the extent of any pecuniary interest he may have therein, directly or indirectly. Read SEC document |
| November 10, 2020 Filed May 19, 2021 22:25 UTC Amendment | Surrozen, Inc./DE CHFW · Entity 6092 | Disposition to issuerClass B Ordinary Shares | 575,000 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-21-019987 · doc4a.xml · nonDerivative · entry 3 Livingston Kevin Harold · CIK 0001828234 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 2,300,000 F6 · security: This Form 4 amendment is being filed to correct the original Form 4 filed on November 25, 2020. The original Form 4 had the incorrect transaction code, and did not include reporting of all of the required transactions. F7 · price: The Sponsor contributed these shares back to the Issuer for no consideration. F2 · ownership.nature: The Sponsor is the record holder of the shares and warrants reported herein. The Sponsor is governed by a board of managers consisting of Mitchell J. Blutt, Benny Soffer and Kevin Livingston. As such, Mitchell J. Blutt, Benny Soffer and Kevin Livingston have voting and investment discretion over the shares held by the Sponsor and may be deemed to have shared beneficial ownership of the shares held by the Sponsor. Each of Mitchell J. Blutt, Benny Soffer and Kevin Livingston disclaims beneficial ownership of the reported shares other than to the extent of any pecuniary interest he may have therein, directly or indirectly. Read SEC document |
| October 08, 2020 Filed May 19, 2021 22:25 UTC Amendment | Surrozen, Inc./DE CHFW · Entity 6092 | Disposition to issuerClass B Ordinary Shares | 718,750 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-21-019987 · doc4a.xml · nonDerivative · entry 2 Livingston Kevin Harold · CIK 0001828234 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 2,875,000 F6 · security: This Form 4 amendment is being filed to correct the original Form 4 filed on November 25, 2020. The original Form 4 had the incorrect transaction code, and did not include reporting of all of the required transactions. F7 · price: The Sponsor contributed these shares back to the Issuer for no consideration. F2 · ownership.nature: The Sponsor is the record holder of the shares and warrants reported herein. The Sponsor is governed by a board of managers consisting of Mitchell J. Blutt, Benny Soffer and Kevin Livingston. As such, Mitchell J. Blutt, Benny Soffer and Kevin Livingston have voting and investment discretion over the shares held by the Sponsor and may be deemed to have shared beneficial ownership of the shares held by the Sponsor. Each of Mitchell J. Blutt, Benny Soffer and Kevin Livingston disclaims beneficial ownership of the reported shares other than to the extent of any pecuniary interest he may have therein, directly or indirectly. Read SEC document |
| September 04, 2020 Filed May 19, 2021 22:25 UTC Amendment | Surrozen, Inc./DE CHFW · Entity 6092 | GrantClass B Ordinary Shares | 3,593,750 | $0.01 | $25,156.25 |
DisclosureSEC source: 0000899243-21-019987 · doc4a.xml · nonDerivative · entry 1 Livingston Kevin Harold · CIK 0001828234 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 3,593,750 F6 · security: This Form 4 amendment is being filed to correct the original Form 4 filed on November 25, 2020. The original Form 4 had the incorrect transaction code, and did not include reporting of all of the required transactions. F2 · ownership.nature: The Sponsor is the record holder of the shares and warrants reported herein. The Sponsor is governed by a board of managers consisting of Mitchell J. Blutt, Benny Soffer and Kevin Livingston. As such, Mitchell J. Blutt, Benny Soffer and Kevin Livingston have voting and investment discretion over the shares held by the Sponsor and may be deemed to have shared beneficial ownership of the shares held by the Sponsor. Each of Mitchell J. Blutt, Benny Soffer and Kevin Livingston disclaims beneficial ownership of the reported shares other than to the extent of any pecuniary interest he may have therein, directly or indirectly. Read SEC document |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.