SEC Form 4 · accession 0000886744-18-000045
GERON CORP · GERN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Stephen Rosenfield
Officer — EVP, Genl Counsel & Secretary
Period of report
Aug 24, 2018
Accepted (ET)
Aug 24, 2018 · 9:32 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 | Aug 24, 2018 | M | 36,000 | $2.22 | A | 36,000 | D | |
| Common Stock | Aug 24, 2018 | S | 36,000 | $4.51 | D | 0 | D | |
| Common Stock | Aug 24, 2018 | M | 425,000 | $2.14 | A | 425,000 | D | |
| Common Stock | Aug 24, 2018 | S | 425,000 | $4.51 | D | 0 | D | |
| Common Stock | Aug 24, 2018 | M | 200,000 | $1.41 | A | 200,000 | D | |
| Common Stock | Aug 24, 2018 | S | 200,000 | $4.51 | D | 0 | D | |
| Common Stock | Aug 24, 2018 | M | 420,000 | $1.51 | A | 420,000 | D | |
| Common Stock | Aug 24, 2018 | S | 420,000 | $4.51 | D | 0 | D | |
| Common Stock | Aug 24, 2018 | M | 131,250 | $2.54 | A | 131,250 | D | |
| Common Stock | Aug 24, 2018 | S | 131,250 | $4.51 | D | 0 | D | |
| Common Stock | Aug 24, 2018 | M | 112,500 | $2.15 | A | 112,500 | D | |
| Common Stock | Aug 24, 2018 | S | 112,500 | $4.51 | D | 0 | D | |
| Common Stock | Aug 24, 2018 | M | 37,500 | $2.45 | A | 37,500 | D | |
| Common Stock | Aug 24, 2018 | S | 37,500 | $4.51 | D | 0 | 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)F1 | $2.22 | Aug 24, 2018 | M | 36,000 | D | — | Nov 1, 2021 | Common Stock | 36,000 | 0 | D |
| Stock Option (Right to Buy)F1 | $2.14 | Aug 24, 2018 | M | 425,000 | D | — | Feb 16, 2022 | Common Stock | 425,000 | 0 | D |
| Stock Option (Right to Buy)F1 | $1.41 | Aug 24, 2018 | M | 200,000 | D | — | May 17, 2022 | Common Stock | 200,000 | 0 | D |
| Stock Option (Right to Buy)F1 | $1.51 | Aug 24, 2018 | M | 420,000 | D | — | Feb 12, 2023 | Common Stock | 420,000 | 0 | D |
| Stock Option (Right to Buy)F2 | $2.54 | Aug 24, 2018 | M | 131,250 | D | — | Feb 11, 2026 | Common Stock | 131,250 | 0 | D |
| Stock Option (Right to Buy)F3 | $2.15 | Aug 24, 2018 | M | 112,500 | D | — | Feb 9, 2027 | Common Stock | 112,500 | 0 | D |
| Stock Option (Right to Buy)F4 | $2.45 | Aug 24, 2018 | M | 37,500 | D | — | Jan 31, 2028 | Common Stock | 37,500 | 0 | D |
Explanation of responses
- F1Option was fully vested.
- F2This option vests in a series of 48 consecutive equal monthly installments commencing February 11, 2016, provided the optionee continues to provide services to the Company.
- F3This option vests in a series of 48 consecutive equal monthly installments commencing February 9, 2017, provided the optionee continues to provide services to the Company.
- F4This option vests in a series of 48 consecutive equal monthly installments commencing January 31, 2018, provided the optionee continues to provide services to the Company.
- F5This transaction was conducted pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on July 13, 2018.