SEC Form 4 · accession 0000886744-18-000048
GERON CORP · GERN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Robert J. Spiegel
Director
Period of report
Sep 13, 2018
Accepted (ET)
Sep 13, 2018 · 9:28 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 | Sep 13, 2018 | M | 45,000 | $5.29 | A | 110,576 | D | |
| Common Stock | Sep 13, 2018 | S | 45,000 | $6.85 | D | 65,576 | D | |
| Common Stock | Sep 13, 2018 | M | 10,000 | $4.91 | A | 75,576 | D | |
| Common Stock | Sep 13, 2018 | S | 10,000 | $6.85 | D | 65,576 | D | |
| Common Stock | Sep 13, 2018 | M | 15,000 | $4.91 | A | 80,576 | D | |
| Common Stock | Sep 13, 2018 | S | 15,000 | $6.85 | D | 65,576 | D | |
| Common Stock | Sep 13, 2018 | M | 35,000 | $1.41 | A | 100,576 | D | |
| Common Stock | Sep 13, 2018 | S | 35,000 | $6.85 | D | 65,576 | D | |
| Common Stock | Sep 13, 2018 | M | 35,000 | $1.10 | A | 100,576 | D | |
| Common Stock | Sep 13, 2018 | S | 35,000 | $6.85 | D | 65,576 | D | |
| Common Stock | Sep 13, 2018 | M | 35,000 | $1.94 | A | 100,576 | D | |
| Common Stock | Sep 13, 2018 | S | 35,000 | $6.85 | D | 65,576 | 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)F2 | $5.29 | Sep 13, 2018 | M | 45,000 | D | — | May 19, 2020 | Common Stock | 45,000 | 0 | D |
| Stock Option (Right to Buy)F2 | $4.91 | Sep 13, 2018 | M | 10,000 | D | — | May 11, 2021 | Common Stock | 10,000 | 0 | D |
| Stock Option (Right to Buy)F2 | $4.91 | Sep 13, 2018 | M | 15,000 | D | — | May 11, 2021 | Common Stock | 15,000 | 0 | D |
| Stock Option (Right to Buy)F2 | $1.41 | Sep 13, 2018 | M | 35,000 | D | — | May 17, 2022 | Common Stock | 35,000 | 0 | D |
| Stock Option (Right to Buy)F2 | $1.10 | Sep 13, 2018 | M | 35,000 | D | — | May 22, 2023 | Common Stock | 35,000 | 0 | D |
| Stock Option (Right to Buy)F2 | $1.94 | Sep 13, 2018 | M | 35,000 | D | — | May 20, 2024 | Common Stock | 35,000 | 0 | D |
Explanation of responses
- F1This transaction was conducted pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on July 18, 2018.
- F2Option was fully vested.