美國
證券交易委員會
華盛頓州, 華盛頓特區 20549
13G表
根據1934年證券交易法
(修訂編號 )*
Surrozen，Inc.
（發行人名稱）
普通股，每股面值0.0001美元
（證券類別的名稱）
86889P208
（CUSIP編號）
2024年10月31日
（要求提交此聲明的事件日期）
請勾選適用於此附表的規則：
x規則13d-1(b)
¨規則13d-1(c)
¨規則13d-1(d)
*此封面的其餘部分用於填寫報告人在此表格上進行的初始申報，涉及到的證券類別以及任何後續修正的信息，該信息可能會更改之前封面所提供的披露內容。
本封面剩餘部分所需信息並不被視爲《證券交易法》1934年第18條的"申報文件"，也不受該法案該部分的責任限制，但會受到該法案的其他所有規定的約束（但請查看附註）。
| CUSIP 編號86889P208 | 13G | 第2頁 共10頁 | |||
| 1 | 報告人的姓名
StemPoint Capital LP
| ||||
| 2 | 如果是一個集團的成員，請勾選適當的方框 (a) ¨ (b) ¨
| ||||
| 3 | 僅供SEC使用
| ||||
| 4 | 公民身份或組織地點
特拉華州
| ||||
個數 由 隨同 |
5 | 唯一表決權
0
| |||
| 6 | 共同 表決權
377,756
| ||||
| 7 | 所有板塊 實際控制權
0
| ||||
| 8 | 所有板塊 共同控制權
427,776
| ||||
| 9 | 每個報告人實際擁有的總股數
427,776
| ||||
| 10 | 如果第（9）行的總金額不包括某些股份，請勾選框 ¨
| ||||
| 11 | 類別中（9）行金額所代表的百分比
12.8%
| ||||
| 12 | 報告人的種類
IA
| ||||
| CUSIP 編號 86889P208 | 13G | 第3頁 共10頁 | |||
| 1 | 報告人的姓名
StemPoint Capital Management GP LLC
| ||||
| 2 | 如果是一個集團的成員，請勾選適當的方框 (a) ¨ (b) ¨
| ||||
| 3 | 僅供SEC使用
| ||||
| 4 | 公民身份或組織地點
特拉華州
| ||||
個數 由 隨同 |
5 | 唯一表決權
0
| |||
| 6 | 共同 表決權
377,756
| ||||
| 7 | 所有板塊 實際控制權
0
| ||||
| 8 | 所有板塊 共同控制權
427,776
| ||||
| 9 | 每個報告人實際擁有的總股數
427,776
| ||||
| 10 | 如果第（9）行的總金額不包括某些股票，則請勾選複選框 ¨
| ||||
| 11 | 類別中（9）行金額所代表的百分比
12.8%
| ||||
| 12 | 報告人的種類
CO
| ||||
| CUSIP 編號86889P208 | 13G | 第4頁 共10頁 | |||
| 1 | 報告人的姓名
米歇爾·羅斯
| ||||
| 2 | 如果是一個集團的成員，請勾選適當的方框 (a) ¨ (b) ¨
| ||||
| 3 | 僅供SEC使用
| ||||
| 4 | 公民身份或組織地點
美國
| ||||
個數 由 隨同 |
5 | 唯一表決權
0
| |||
| 6 | 共同 表決權
377,756
| ||||
| 7 | 所有板塊 實際控制權
0
| ||||
| 8 | 所有板塊 共同控制權
427,776
| ||||
| 9 | 每個報告人實際擁有的總股數
427,776
| ||||
| 10 | 如果第(9)行的累計金額不包括某些股份，請勾選此框。 ¨
| ||||
| 11 | 類別中（9）行金額所代表的百分比
12.8%
| ||||
| 12 | 報告人的種類
所在
| ||||
| 項目1(a) | 發行人名稱: |
Surrozen, Inc.
| 項目1(b) | 發行人總部地址: |
美國加利福尼亞州南舊金山，171號牡蠣點大道，400號套房，郵編94080
| 項目2(a) | 申報人姓名: |
該備案是由StemPoint Capital，LP，StemPoint Capital Management GP，LLC和Michelle Ross（以下簡稱「報告人」）聯合提交的。
| 項目2(b) | 主要業務地址 辦公室或者如果沒有，則爲住宅 |
The business address of each of the Reporting Persons is:
520 Madison Avenue, 19th Floor
New York, NY 10022
| Item 2(c) | CITIZENSHIP |
StemPoint Capital, LP is a limited partnership organized under the laws of the State of Delaware.
StemPoint Capital Management GP, LLC is a limited liability company organized under the laws of the State of Delaware.
Michelle Ross is a citizen of the United States of America.
| Item 2(d) | TITLE OF CLASS OF SECURITIES |
Common stock, $0.0001 par value per share (“Share”)
| Item 2(e) | CUSIP NUMBER |
86889P208
| Item 3 | IF THIS STATEMENT IS FILED PURSUANT TO Rules 13d-1(b), OR 13d-2(b) OR (c), CHECK WHETHER THE PERSON FILING IS A: |
| (a) | ¨ | Broker or dealer registered under section 15 of the Act (15 U.S.C. 78o); |
| (b) | ¨ | Bank as defined in section 3(a)(6) of the Act (15 U.S.C. 78c); |
| (c) | ¨ | Insurance company as defined in section 3(a)(19) of the Act (15 U.S.C. 78c); |
| (d) | ¨ | Investment company registered under section 8 of the Investment Company Act of 1940 (15 U.S.C. 80a-8); |
| (e) | x | An investment adviser in accordance with §240.13d-1(b)(1)(ii)(E); |
| (f) | ¨ | An employee benefit plan or endowment fund in accordance with §240.13d-1(b)(1)(ii)(F); |
| (g) | x | A parent holding company or control person in accordance with §240.13d-1(b)(1)(ii)(G); |
| (h) | ¨ | A savings association as defined in Section 3(b) of the Federal Deposit Insurance Act (12 U.S.C. 1813); |
| (i) | ¨ | A church plan that is excluded from the definition of an investment company under section 3(c)(14) of the Investment Company Act of 1940 (15 U.S.C. 80a-3); |
| (j) | ¨ | A non-U.S. institution in accordance with § 240.13d-1(b)(1)(ii)(J); |
| (k) | ¨ | Group, in accordance with §240.13d-1(b)(1)(ii)(K). |
| Item 4 | OWNERSHIP: |
(a) Amount Beneficially Owned: Items 5 - 9 of each cover page are incorporated by reference. Each Reporting Person may be deemed to be the beneficial owner of 427,776 Shares, which amount consists of 293,118 of Shares and 134,658 Shares issuable upon the exercise of Warrants.
(b) Percent of Class: Each Reporting Person may be deemed to beneficially own 12.8% of the Shares, which is calculated based on 3,205,852 Shares outstanding as of August 8, 2024, as reported in the Issuer’s quarterly report on Form 10-Q for the quarterly period ended June 30, 2024 filed with the SEC on August 12, 2024, plus the total number of Shares that the Reporting Persons have the right to acquire upon exercise of Warrants, subject to the Beneficial Ownership Limitation, which amount has been added to the shares outstanding in accordance with Rule 13d-3(d)(1)(i) under the Act.
(c) Number of Shares as to which such person has:
(i) Sole power to vote or to direct the vote: Sole power to vote or direct the vote: -0-
(ii) Shared power to vote or to direct the vote: Shared power to vote or direct the vote: 377,756. Comment: Sole Voting Power includes 134,658 warrants beneficially owned by the Reporting Persons.
(iii) Sole power to dispose or to direct the disposition of: Sole power to dispose or direct the disposition of: -0-
(iv) Shared power to dispose or to direct the disposition of: Shared power to dispose or direct the disposition of: 427,776. Comment: Sole Dispositive Power includes 134,658 warrants beneficially owned by the Reporting Persons.
| Item 5 | OWNERSHIP OF FIVE PERCENT OR LESS OF A CLASS: |
Not applicable.
| Item 6 | OWNERSHIP OF MORE THAN FIVE PERCENT ON BEHALF OF ANOTHER PERSON: |
Not applicable.
| Item 7 | IDENTIFICATION AND CLASSIFICATION OF THE SUBSIDIARY WHICH ACQUIRED THE SECURITY BEING REPORTED ON BY THE PARENT HOLDING COMPANY OR CONTROL PERSON: |
Not applicable.
| Item 8 | IDENTIFICATION AND CLASSIFICATION OF MEMBERS OF THE GROUP: |
Not applicable.
| Item 9 | NOTICE OF DISSOLUTION OF GROUP: |
Not applicable.
| Item 10 | CERTIFICATION: |
By signing below each Reporting Person certifies that, to the best of my knowledge and belief, the securities referred to above were not acquired and are not held for the purpose of or with the effect of changing or influencing the control of the issuer of the securities and were not acquired and are not held in connection with or as a participant in any transaction having that purpose or effect, other than activities solely in connection with a nomination under Section 240.14a-11.
SIGNATURES
After reasonable inquiry and to the best of his or its knowledge and belief, each of the undersigned certifies that the information set forth in this statement is true, complete and correct.
DATE: November 1, 2024
| StemPoint Capital LP | |||
| By: | StemPoint Capital Management GP LLC | ||
| Its General Partner | |||
| By: | /s/ Sean C. Tan | ||
| Name: | Sean C. Tan | ||
| Title: | Authorized Signatory | ||
| StemPoint Capital Management GP LLC | |||
| By: | /s/ Sean C. Tan | ||
| Name: | Sean C. Tan | ||
| Title: | Authorized Signatory | ||
| /s/ Michelle Ross | |||
| Michelle Ross | |||
EXHIBIT 1
JOINT FILING AGREEMENT
PURSUANT TO RULE 13d-1(k)
The undersigned acknowledge and agree that the foregoing statement on Schedule 13G is filed on behalf of each of the undersigned and that all subsequent amendments to this statement on Schedule 13G shall be filed on behalf of each of the undersigned without the necessity of filing additional joint filing agreements. The undersigned acknowledge that each shall be responsible for the timely filing of such amendments, and for the completeness and accuracy of the information concerning him or it contained herein and therein, but shall not be responsible for the completeness and accuracy of the information concerning the others, except to the extent that he or it knows or has reason to believe that such information is inaccurate.
November 1, 2024
| StemPoint Capital LP | |||
| By: | StemPoint Capital Management GP LLC | ||
| Its General Partner | |||
| By: | /s/ Sean C. Tan | ||
| Name: | Sean C. Tan | ||
| Title: | Authorized Signatory | ||
| StemPoint Capital Management GP LLC | |||
| By: | /s/ Sean C. Tan | ||
| Name: | Sean C. Tan | ||
| Title: | Authorized Signatory | ||
| /s/ Michelle Ross | |||
| Michelle Ross | |||