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Surrozen, Inc./DE

For the period ended Dec 31, 2024. Filed Mar 31, 2025.

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About this filing

A company's yearly report to the SEC, with audited financial statements. It is the fullest account a company gives of its business, its finances and the risks it sees.

FY2024 · Filed Mar 31, 2025

SRZN$32.64+2.0%Stored close · as of Nov 10, 2026

Extracted filing text, with the paragraph anchors used by the comparison.

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Item 15. Exhibits, Financial Statement Schedules

(a)

List the following documents filed as a part of the report:

(1)

Financial statements:

See Index to Consolidated Financial Statements at Item 8 herein.

(2)

Financial Statement Schedules.

All financial statement schedules have been omitted because the required information is included in the consolidated financial statements or the notes thereto or is not applicable or required.

(3)

Exhibits:

ExhibitNumberDescription of ExhibitFormFile No.ExhibitFiling DateFiled Herewith
2.1Business Combination Agreement, dated as of April 15, 2021, by and among CHFW, Perseverance Merger Sub Inc., and Surrozen, Inc.8-K001-396352.14/15/2021
3.1Certificate of Incorporation of Surrozen, Inc.8-K001-396353.18/17/2021
3.2Amended and Restated Bylaws of Surrozen, Inc.8-K001-396353.110/13/2023
3.3Certificate of Amendment to Certificate of Incorporation of Surrozen, Inc.8-K001-396353.112/13/2023
4.1Specimen Warrant CertificateS-1/A001-396354.310/13/2020
4.2Amended and Restated Warrant Agreement, dated as of March 31, 2023, between Surrozen, Inc. and Continental Stock Transfer & Trust Company10-K001-396354.63/31/2023
4.3Description of SecuritiesX
10.1Investors' Rights Agreement, dated as of August 11, 2021, by and among Surrozen, Inc., Consonance Life Sciences, and certain other investors8-K001-3963510.58/17/2021
10.2+Surrozen, Inc. 2021 Equity Incentive Plan10-K001-3963510.24/10/2024
10.3+Forms of Stock Option Grant Notice, Option Agreement and Notice of Exercise under 2021 Equity Incentive Plan10-K001-3963510.34/10/2024
10.4+Form of RSU Grant Package under 2021 Equity Incentive Plan10-Q001-3963510.111/08/2023
10.5+Surrozen, Inc. 2021 Employee Stock Purchase Plan10-K001-3963510.54/10/2024
10.6Form of Indemnification Agreement8-K001-3963510.88/17/2021
10.7††Exclusive (Equity) Agreement, dated as of March 23, 2016, by and between the Board of Trustees of the Leland Stanford Junior University and Surrozen, Inc.S-4/A333-25614610.136/24/2021
10.8††Amendment No. 1 the Exclusive (Equity) Agreement, dated as of July 5, 2016, by and between the Board of Trustees of the Leland Stanford Junior University and Surrozen, Inc.S-4/A333-25614610.146/24/2021
10.9††Amendment No. 2 to the Exclusive (Equity) Agreement, dated as of October 7, 2016, by and between the Board of Trustees of the Leland Stanford Junior University and Surrozen, Inc.S-4/A333-25614610.156/24/2021
10.10††Amendment No. 3 to the Exclusive (Equity) Agreement, dated as of January 19, 2021, by and between the Board of Trustees of the Leland Stanford Junior University and Surrozen, Inc.S-4/A333-25614610.166/24/2021
10.11Lease Agreement, dated as of August 4, 2016, by and between HCP Oyster Point III LLC and Surrozen, Inc10-K001-3963510.203/28/2022
10.12Collaboration and License Agreement, dated as of September 30, 2022, by and between Boehringer Ingelheim International GmbH and Surrozen Operating, Inc.10-Q001-3963510.111/14/2022
10.13Sales Agreement, dated as of December 9, 2022, by and between the Company and Guggenheim Securities, LLCS-3333-2687451.212/9/2022
10.14††Side Agreement No. 2, relating to the exclusive agreement between Surrozen Operating, Inc. and the Board of Trustees of the Leland Stanford Junior University, dated March 23, 2016, as amended10-Q001-3963510.25/10/2023
10.15First Amendment to Lease, by and between Surrozen Operating, Inc. and HCP Oyster Point III LLC, dated October 1, 2024.8-K001-3963510.110/1/2024
10.16Sublease Agreement, dated as of April 19, 2024, by and between Surrozen, Inc. and Nura Bio, Inc.10-Q001-3963510.15/8/2024
10.17Form of Securities Purchase Agreement, dated April 1, 2024, by and among Surrozen, Inc. and each of the several purchasers signatory thereto.8-K001-3963510.14/2/2024
10.18Form of Pre-Funded Warrant (April 2024)8-K001-3963510.24/2/2024
10.19Form of Series A Common Warrant8-K001-3963510.34/2/2024
10.20Form of Series B Common Warrant8-K001-3963510.44/2/2024
10.21Form of Series C Common Warrant8-K001-3963510.54/2/2024
10.22Form of Series D Common Warrant8-K001-3963510.64/2/2024
10.23Form of Registration Rights Agreement, dated April 1, 2024, by and among Surrozen, Inc. and each of the several purchasers signatory thereto.8-K001-3963510.74/2/2024
10.24Form of Securities Purchase Agreement, dated March 24, 2025, by and among Surrozen, Inc. and each of the several purchasers signatory thereto.8-K001-3963510.13/28/2025
10.25Form of Pre-Funded Warrant (March 2025).8-K001-3963510.23/28/2025
10.26Form of Series E Common Warrant.8-K001-3963510.33/28/2025
10.27Form of Registration Rights Agreement, dated March 24, 2025, by and among Surrozen, Inc. and each of the several Purchasers signatory thereto.8-K001-3963510.43/28/2025
10.28††Collaboration Agreement, dated as of October 31, 2024, by and between Surrozen Inc. and TCGFB, Inc.X
19.1Insider Trading PolicyX
21.1List of Subsidiaries10-K001-3963521.13/31/2023
23.1Consent of Ernst & Young LLP, Independent Registered Public Accounting Firm.X
31.1Certification of Principal Executive Officer Pursuant to Rules 13a-14(a) and 15d-14(a) under the Securities Exchange Act of 1934, as Adopted Pursuant to Section 302 of the Sarbanes-Oxley Act of 2002.X
31.2Certification of Principal Financial Officer Pursuant to Rules 13a-14(a) and 15d-14(a) under the Securities Exchange Act of 1934, as Adopted Pursuant to Section 302 of the Sarbanes-Oxley Act of 2002.X
32.1*Certification of Principal Executive Officer Pursuant to 18 U.S.C. Section 1350, as Adopted Pursuant to Section 906 of the Sarbanes-Oxley Act of 2002.X
32.2*Certification of Principal Financial Officer Pursuant to 18 U.S.C. Section 1350, as Adopted Pursuant to Section 906 of the Sarbanes-Oxley Act of 2002.X
97.1Incentive Compensation Recoupment Policy10-K001-3963597.14/10/2024
101.INSXBRL Instance DocumentX
101.SCHXBRL Taxonomy Extension Schema DocumentsX
101.CALXBRL Taxonomy Extension Calculation Linkbase DocumentX
101.DEFXBRL Taxonomy Extension Definition Linkbase DocumentX
101.LABXBRL Taxonomy Extension Labels Linkbase DocumentX
101.PREXBRL Taxonomy Extension Presentation Linkbase DocumentX
104Cover Page Interactive Data File (embedded within the Inline XBRL document)
  • Indicates management contract or compensatory plan or arrangement.

† Schedules and exhibits to this agreement have been omitted pursuant to Item 601(b)(2) of Regulation S-K. A copy of any omitted schedule and/or exhibit will be furnished to the SEC upon request.

†† The company has redacted provisions or terms of this Exhibit pursuant to Regulation S-K Item 601(b)(10). The Company agrees to furnish an unredacted copy of the Exhibit to the SEC upon its request.

  • In accordance with Item 601(b)(32)(ii) of Regulation S-K and SEC Release Nos. 33-8238 and 34-47986, Final Rule: Management's Reports on Internal Control Over Financial Reporting and Certification of Disclosure in Exchange Act Periodic Reports, the certifications furnished in Exhibits 32.1 and 32.2 hereto are deemed to accompany this Annual Report on Form 10-K and will not be deemed “filed” for purposes of Section 18 of the Exchange Act. Such certifications will not be deemed to be incorporated by reference into any filing under the Securities Act or the Exchange Act, except to the extent that the company specifically incorporates it by reference.
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