SEC Form 4 · accession 0000886744-15-000019
GERON CORP · GERN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Thomas Hofstaetter
Director
Period of report
Mar 18, 2015
Accepted (ET)
Mar 19, 2015 · 7:27 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000886744
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | Mar 18, 2015 | M | 35,000 | $1.41 | A | 61,564 | D | |
| Common Stock | Mar 18, 2015 | M | 35,000 | $1.10 | A | 96,564 | D | |
| Common StockF1 | Mar 18, 2015 | S | 70,000 | $4.10 | D | 26,564 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Option (right to buy) | $1.41 | Mar 18, 2015 | M | 35,000 | D | May 17, 2013 | May 17, 2022 | Common Stock | 35,000 | 0 | D |
| Stock Option (right to buy) | $1.10 | Mar 18, 2015 | M | 35,000 | D | May 22, 2014 | May 22, 2023 | Common Stock | 35,000 | 0 | D |
Explanation of responses
- F1The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $4.06 to $4.13, inclusive. The reporting person undertakes to provide Geron Corporation, any security holder of Geron Corporation, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote.