Santel Donald J

SEC source: 0001415889-24-016058 · form4-06072024_060614.xml · derivative · entry 1

Santel Donald J · CIK 0001293630 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 12,500

Underlying: Common Stock · 12,500 shares

Expires 2034-06-04

F1 · derivative.exercise_date: The shares subject to this option will vest and become exercisable in full on the earlier of (i) June 5, 2025 or (ii) the next annual meeting of the Issuer's stockholders, subject to the Reporting Person's continued service through the applicable vesting date.

SEC source: 0001415889-24-000706 · form4-01042024_060111.xml · derivative · entry 1

Santel Donald J · CIK 0001293630 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 2,889

Underlying: Common Stock · 2,889 shares

Expires 2034-01-01

F1 · kind: This option was awarded in lieu of cash compensation pursuant to the Issuer's Non-Employee Director Compensation Policy. The shares underlying such option shall vest and become exercisable in four equal installments, with the first installment vesting on March 31, 2024, the second installment vesting on June 30, 2024, the third installment vesting on September 30, 2024, and the fourth installment vesting on December 31, 2024.

F1 · derivative.exercise_date: This option was awarded in lieu of cash compensation pursuant to the Issuer's Non-Employee Director Compensation Policy. The shares underlying such option shall vest and become exercisable in four equal installments, with the first installment vesting on March 31, 2024, the second installment vesting on June 30, 2024, the third installment vesting on September 30, 2024, and the fourth installment vesting on December 31, 2024.

SEC source: 0001415889-23-009447 · form4-06082023_060614.xml · derivative · entry 1

Santel Donald J · CIK 0001293630 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 12,500

Underlying: Common Stock · 12,500 shares

Expires 2033-06-05

F1 · derivative.exercise_date: The shares subject to this option will vest and become exercisable in full on the earlier of (i) June 6, 2024 or (ii) the next annual meeting of the Issuer's stockholders, subject to the Reporting Person's continued service through the applicable vesting date.

SEC source: 0001415889-23-001334 · form4-01232023_110138.xml · derivative · entry 2

Santel Donald J · CIK 0001293630 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,519

Underlying: Common Stock · 2,519 shares

Expires 2033-01-18

F2 · kind: This option was awarded in lieu of cash compensation pursuant to the Issuer's Non-Employee Director Compensation Policy. The shares underlying such option shall vest and become exercisable in four equal installments, with the first installment vesting on March 31, 2023, the second installment vesting on June 30, 2023, the third installment vesting on September 30, 2023, and the fourth installment vesting on December 31, 2023.

F2 · derivative.exercise_date: This option was awarded in lieu of cash compensation pursuant to the Issuer's Non-Employee Director Compensation Policy. The shares underlying such option shall vest and become exercisable in four equal installments, with the first installment vesting on March 31, 2023, the second installment vesting on June 30, 2023, the third installment vesting on September 30, 2023, and the fourth installment vesting on December 31, 2023.

SEC source: 0001415889-23-001334 · form4-01232023_110138.xml · derivative · entry 1

Santel Donald J · CIK 0001293630 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,000

Underlying: Common Stock · 25,000 shares

Expires 2033-01-18

F1 · derivative.exercise_date: This option shall vest in 36 substantially equal monthly installments, with the first installment vesting on February 19, 2023.

SEC source: 0001209191-23-001092 · doc4.xml · derivative · entry 4

Santel Donald J · CIK 0001293630 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 5,359 shares

Expires 2032-06-05

F5 · price: Each vested option that has an exercise price per share that is equal to or greater than the Per Share Price will be canceled for no consideration.

F4 · derivative.exercise_date: This line item represents stock options held by the Reporting Person. Upon the Merger, which constituted a "change of control" under the Issuer's Outside Director Compensation Policy, vesting of the Reporting Person's outstanding unvested stock options were accelerated, each such stock option became immediately exercisable and was canceled in exchange for a cash payment equal to the excess, if any, of the Per Share Price over the exercise price applicable to such stock option, less applicable tax withholdings.

SEC source: 0001209191-23-001092 · doc4.xml · derivative · entry 3

Santel Donald J · CIK 0001293630 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 15,170 shares

Expires 2031-07-30

F5 · price: Each vested option that has an exercise price per share that is equal to or greater than the Per Share Price will be canceled for no consideration.

F4 · derivative.exercise_date: This line item represents stock options held by the Reporting Person. Upon the Merger, which constituted a "change of control" under the Issuer's Outside Director Compensation Policy, vesting of the Reporting Person's outstanding unvested stock options were accelerated, each such stock option became immediately exercisable and was canceled in exchange for a cash payment equal to the excess, if any, of the Per Share Price over the exercise price applicable to such stock option, less applicable tax withholdings.

SEC source: 0001209191-23-001092 · doc4.xml · nonDerivative · entry 2

Santel Donald J · CIK 0001293630 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

F3 · shares: This line item represents restricted stock units held by the Reporting Person. Upon the Merger, which constituted a "change of control" under the Issuer's Outside Director Compensation Policy, vesting of the Reporting Person's outstanding unvested restricted stock units was accelerated and each restricted stock unit was canceled in exchange for a cash payment equal to the Per Share Price less applicable tax withholdings.

F3 · price: This line item represents restricted stock units held by the Reporting Person. Upon the Merger, which constituted a "change of control" under the Issuer's Outside Director Compensation Policy, vesting of the Reporting Person's outstanding unvested restricted stock units was accelerated and each restricted stock unit was canceled in exchange for a cash payment equal to the Per Share Price less applicable tax withholdings.

SEC source: 0001209191-23-001092 · doc4.xml · nonDerivative · entry 1

Santel Donald J · CIK 0001293630 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,198

F1 · price: Pursuant to the Agreement and Plan of Merger (the "Merger Agreement"), dated November 7, 2022, among the Issuer, Iris Purchaser Inc. ("Purchaser"), a wholly owned subsidiary of Viatris, Inc. ("Viatris"), and Viatris, Purchaser commenced a tender offer (the "Offer") to purchase all the outstanding common stock of the Issuer for the Per Share Price (as defined below). On January 3, 2023, the Offer was consummated, after which Purchaser merged with and into the Issuer with the Issuer continuing as the surviving corporation and a wholly owned subsidiary of Viatris (the "Merger"). At the consummation of the Offer and the Merger, respectively, (i) Purchaser purchased all shares of Issuer's common stock that were validly tendered pursuant to the Offer for a cash payment equal to the Per Share Price and (ii) each share of the Issuer's common stock that was issued and outstanding immediately prior to the effective time of the Merger (the "Effective Time")(continued in Footnote 2)

F2 · price: (other than shares that were held (a) by the Issuer (including any treasury shares) or by Viatris or Purchaser or any other direct or indirect wholly owned subsidiary of Viatris or (b) by stockholders of the Issuer who had properly exercised and perfected, and not withdrawn or otherwise lost, their appraisal rights under the Delaware General Corporate Law) was cancelled and converted into the right to receive (a) a cash payment of $11.00 per share (the "Cash Amount") and (b) one non-transferable contractual contingent value right representing the right to receive any applicable milestone payment if specified milestones are achieved (the "Milestone Payment" and together with the Cash Amount, the "Per Share Price") pursuant to a Contingent Value Rights Agreement, dated January 3, 2023, by and between Viatris and American Stock Transfer & Trust Company, LLC as Rights Agent.

SEC source: 0001209191-22-035055 · doc4.xml · derivative · entry 2

Santel Donald J · CIK 0001293630 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,359

Underlying: Common Stock · 5,359 shares

Expires 2032-06-05

F3 · derivative.exercise_date: The shares underlying the option vest as to one-twelfth (1/12th) of the shares on July 6, 2022 and monthly thereafter on the same day of the month as the grant date, in each case, subject to the Reporting Person's continuous service to the Issuer as a director through each such date.

SEC source: 0001209191-22-035055 · doc4.xml · nonDerivative · entry 1

Santel Donald J · CIK 0001293630 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 13,687

F1 · kind: Represents a grant of restricted stock units (the "RSUs"). Each RSU represents a contingent right to receive one share of Common Stock of the Issuer.

F2 · shares: The shares underlying the RSU will vest on June 6, 2023, but will vest fully on the date of the next annual stockholder meeting held after the date of grant if not fully vested on such date, in each case, subject to the Reporting Person's continuous service to the Issuer as a director through each such date.

SEC source: 0000899243-21-033041 · doc4.xml · derivative · entry 2

Santel Donald J · CIK 0001293630 · Former Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Class A Ordinary Shares · 30,000 shares

Expires not disclosed

F1 · security: 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.",

F2 · security: (Continued from Footnote 1) (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, as amended (the "Exchange Act"), pursuant to 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".

F1 · derivative.exercise_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.",

F2 · derivative.exercise_price: (Continued from Footnote 1) (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, as amended (the "Exchange Act"), pursuant to 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".

F1 · derivative.exercise_date: 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.",

F2 · derivative.exercise_date: (Continued from Footnote 1) (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, as amended (the "Exchange Act"), pursuant to 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".

F1 · derivative.expiration_date: 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.",

F2 · derivative.expiration_date: (Continued from Footnote 1) (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, as amended (the "Exchange Act"), pursuant to 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".

SEC source: 0000899243-21-033041 · doc4.xml · nonDerivative · entry 1

Santel Donald J · CIK 0001293630 · Former Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 30,000

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.",

F2 · price: (Continued from Footnote 1) (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, as amended (the "Exchange Act"), pursuant to 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".

SEC source: 0001209191-21-049492 · doc4.xml · derivative · entry 4

Santel Donald J · CIK 0001293630 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,765

Underlying: Common Stock · 4,765 shares

Expires 2021-07-30

F5 · derivative.exercise_date: One-eleventh (1/11th) of the Shares subject to the Option shall vest monthly beginning on August 7, 2021 and on the same day monthly thereafter, but will vest fully on the date of the Issuer's next annual meeting of stockholders held after the date of grant if not fully vested on such date, subject to the Reporting Person continuing to be a Service Provider through each such date.

SEC source: 0001209191-21-049492 · doc4.xml · derivative · entry 3

Santel Donald J · CIK 0001293630 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,405

Underlying: Common Stock · 10,405 shares

Expires 2021-07-30

F4 · derivative.exercise_date: One-third (1/3) of the shares subject to the option shall vest on the 12 month anniversary of the grant date and the remainder will vest at one-twentyfourth (1/24th) per month thereafter (on the same day of the month as the grant date), subject to the Reporting Person continuing to be a Service Provider through each such date.

SEC source: 0001209191-21-049492 · doc4.xml · nonDerivative · entry 2

Santel Donald J · CIK 0001293630 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,114

F1 · kind: Represents a grant of restricted stock units (the "RSUs"). Each RSU represents a contingent right to receive one share of Common Stock of the Issuer.

F3 · shares: These RSUs will vest on June 7, 2022, but will vest fully on the date of the Company's next annual meeting of stockholders held after the date of grant if not fully vested on such date, subject to the Reporting Person continuing to be a Service Provider through such date.

SEC source: 0001209191-21-049492 · doc4.xml · nonDerivative · entry 1

Santel Donald J · CIK 0001293630 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,937

F1 · kind: Represents a grant of restricted stock units (the "RSUs"). Each RSU represents a contingent right to receive one share of Common Stock of the Issuer.

F2 · shares: These RSUs will vest over three years (on the same day of the month as the grant date) with one-third (1/3) vesting annually, in each case subject to the Reporting Person continuing to be a Service Provider (as such term is defined in the Issuer's 2019 Equity Incentive Plan (the "Plan")) through each such date.