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GERON CORP — Director's Dealing 2018
Aug 24, 2018
32370_dirs_2018-08-24_b01d9369-8364-4b01-a4a5-306b77a51bcd.zip
Director's Dealing
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SEC Form 4 — Statement of Changes in Beneficial Ownership
Issuer: GERON CORP (GERN)
CIK: 0000886744
Period of Report: 2018-08-24
Reporting Person: ROSENFIELD STEPHEN (EVP, Genl Counsel & Secretary)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2018-08-24 | Common Stock | M | 36000 | $2.22 | Acquired | 36000 | Direct |
| 2018-08-24 | Common Stock | S | 36000 | $4.51 | Disposed | 0 | Direct |
| 2018-08-24 | Common Stock | M | 425000 | $2.14 | Acquired | 425000 | Direct |
| 2018-08-24 | Common Stock | S | 425000 | $4.51 | Disposed | 0 | Direct |
| 2018-08-24 | Common Stock | M | 200000 | $1.41 | Acquired | 200000 | Direct |
| 2018-08-24 | Common Stock | S | 200000 | $4.51 | Disposed | 0 | Direct |
| 2018-08-24 | Common Stock | M | 420000 | $1.51 | Acquired | 420000 | Direct |
| 2018-08-24 | Common Stock | S | 420000 | $4.51 | Disposed | 0 | Direct |
| 2018-08-24 | Common Stock | M | 131250 | $2.54 | Acquired | 131250 | Direct |
| 2018-08-24 | Common Stock | S | 131250 | $4.51 | Disposed | 0 | Direct |
| 2018-08-24 | Common Stock | M | 112500 | $2.15 | Acquired | 112500 | Direct |
| 2018-08-24 | Common Stock | S | 112500 | $4.51 | Disposed | 0 | Direct |
| 2018-08-24 | Common Stock | M | 37500 | $2.45 | Acquired | 37500 | Direct |
| 2018-08-24 | Common Stock | S | 37500 | $4.51 | Disposed | 0 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2018-08-24 | Stock Option (Right to Buy) | $2.22 | M | 36000 | Disposed | 2021-11-01 | Common Stock (36000) | Direct |
| 2018-08-24 | Stock Option (Right to Buy) | $2.14 | M | 425000 | Disposed | 2022-02-16 | Common Stock (425000) | Direct |
| 2018-08-24 | Stock Option (Right to Buy) | $1.41 | M | 200000 | Disposed | 2022-05-17 | Common Stock (200000) | Direct |
| 2018-08-24 | Stock Option (Right to Buy) | $1.51 | M | 420000 | Disposed | 2023-02-12 | Common Stock (420000) | Direct |
| 2018-08-24 | Stock Option (Right to Buy) | $2.54 | M | 131250 | Disposed | 2026-02-11 | Common Stock (131250) | Direct |
| 2018-08-24 | Stock Option (Right to Buy) | $2.15 | M | 112500 | Disposed | 2027-02-09 | Common Stock (112500) | Direct |
| 2018-08-24 | Stock Option (Right to Buy) | $2.45 | M | 37500 | Disposed | 2028-01-31 | Common Stock (37500) | Direct |
Footnotes
F1: Option was fully vested.
F2: 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.
F3: 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.
F4: 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.
F5: This transaction was conducted pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on July 13, 2018.