Filing Details
- Accession Number:
- 0000886744-18-000045
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2018-08-24 21:32:13
- Reporting Period:
- 2018-08-24
- Accepted Time:
- 2018-08-24 21:32:13
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 886744 | Geron Corp | GERN | Pharmaceutical Preparations (2834) | 752287752 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1238623 | Stephen Rosenfield | C/O Geron Corporation 149 Commonwealth Drive, Suite 2070 Menlo Park CA 94025 | Evp, Genl Counsel & Secretary | No | Yes | No | No |
Reported Non-Derivative Transactions
| Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|---|---|---|---|---|---|
| Common Stock | Acquisiton | 2018-08-24 | 36,000 | $2.22 | 36,000 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2018-08-24 | 36,000 | $4.51 | 0 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2018-08-24 | 425,000 | $2.14 | 425,000 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2018-08-24 | 425,000 | $4.51 | 0 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2018-08-24 | 200,000 | $1.41 | 200,000 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2018-08-24 | 200,000 | $4.51 | 0 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2018-08-24 | 420,000 | $1.51 | 420,000 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2018-08-24 | 420,000 | $4.51 | 0 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2018-08-24 | 131,250 | $2.54 | 131,250 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2018-08-24 | 131,250 | $4.51 | 0 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2018-08-24 | 112,500 | $2.15 | 112,500 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2018-08-24 | 112,500 | $4.51 | 0 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2018-08-24 | 37,500 | $2.45 | 37,500 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2018-08-24 | 37,500 | $4.51 | 0 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | Direct | |
| No | 4 | S | Direct | |
| No | 4 | M | Direct | |
| No | 4 | S | Direct | |
| No | 4 | M | Direct | |
| No | 4 | S | Direct | |
| No | 4 | M | Direct | |
| No | 4 | S | Direct | |
| No | 4 | M | Direct | |
| No | 4 | S | Direct | |
| No | 4 | M | Direct | |
| No | 4 | S | Direct | |
| No | 4 | M | Direct | |
| No | 4 | S | Direct |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Stock Option (Right to Buy) | Disposition | 2018-08-24 | 36,000 | $0.00 | 36,000 | $2.22 |
| Common Stock | Stock Option (Right to Buy) | Disposition | 2018-08-24 | 425,000 | $0.00 | 425,000 | $2.14 |
| Common Stock | Stock Option (Right to Buy) | Disposition | 2018-08-24 | 200,000 | $0.00 | 200,000 | $1.41 |
| Common Stock | Stock Option (Right to Buy) | Disposition | 2018-08-24 | 420,000 | $0.00 | 420,000 | $1.51 |
| Common Stock | Stock Option (Right to Buy) | Disposition | 2018-08-24 | 131,250 | $0.00 | 131,250 | $2.54 |
| Common Stock | Stock Option (Right to Buy) | Disposition | 2018-08-24 | 112,500 | $0.00 | 112,500 | $2.15 |
| Common Stock | Stock Option (Right to Buy) | Disposition | 2018-08-24 | 37,500 | $0.00 | 37,500 | $2.45 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 0 | 2021-11-01 | No | 4 | M | Direct | |
| 0 | 2022-02-16 | No | 4 | M | Direct | |
| 0 | 2022-05-17 | No | 4 | M | Direct | |
| 0 | 2023-02-12 | No | 4 | M | Direct | |
| 0 | 2026-02-11 | No | 4 | M | Direct | |
| 0 | 2027-02-09 | No | 4 | M | Direct | |
| 0 | 2028-01-31 | No | 4 | M | Direct |
Footnotes
- Option was fully vested.
- This 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.
- This 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.
- This 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.
- This transaction was conducted pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on July 13, 2018.
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