0000886744-18-000045.txt : 20180824 0000886744-18-000045.hdr.sgml : 20180824 20180824213213 ACCESSION NUMBER: 0000886744-18-000045 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20180824 FILED AS OF DATE: 20180824 DATE AS OF CHANGE: 20180824 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: ROSENFIELD STEPHEN CENTRAL INDEX KEY: 0001238623 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-20859 FILM NUMBER: 181038008 MAIL ADDRESS: STREET 1: PO BOX 174 CITY: SAN FRANCISCO STATE: CA ZIP: 94116 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: GERON CORP CENTRAL INDEX KEY: 0000886744 STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834] IRS NUMBER: 752287752 STATE OF INCORPORATION: DE FISCAL YEAR END: 1117 BUSINESS ADDRESS: STREET 1: 149 COMMONWEALTH DRIVE STREET 2: SUITE 2070 CITY: MENLO PARK STATE: CA ZIP: 94025 BUSINESS PHONE: 6504737700 MAIL ADDRESS: STREET 1: 149 COMMONWEALTH DRIVE STREET 2: SUITE 2070 CITY: MENLO PARK STATE: CA ZIP: 94025 FORMER COMPANY: FORMER CONFORMED NAME: GERON CORPORATION DATE OF NAME CHANGE: 19960521 4 1 edgar.xml PRIMARY DOCUMENT X0306 4 2018-08-24 0000886744 GERON CORP GERN 0001238623 ROSENFIELD STEPHEN C/O GERON CORPORATION 149 COMMONWEALTH DRIVE, SUITE 2070 MENLO PARK CA 94025 0 1 0 0 EVP, Genl Counsel & Secretary Common Stock 2018-08-24 4 M 0 36000 2.22 A 36000 D Common Stock 2018-08-24 4 S 0 36000 4.51 D 0 D Common Stock 2018-08-24 4 M 0 425000 2.14 A 425000 D Common Stock 2018-08-24 4 S 0 425000 4.51 D 0 D Common Stock 2018-08-24 4 M 0 200000 1.41 A 200000 D Common Stock 2018-08-24 4 S 0 200000 4.51 D 0 D Common Stock 2018-08-24 4 M 0 420000 1.51 A 420000 D Common Stock 2018-08-24 4 S 0 420000 4.51 D 0 D Common Stock 2018-08-24 4 M 0 131250 2.54 A 131250 D Common Stock 2018-08-24 4 S 0 131250 4.51 D 0 D Common Stock 2018-08-24 4 M 0 112500 2.15 A 112500 D Common Stock 2018-08-24 4 S 0 112500 4.51 D 0 D Common Stock 2018-08-24 4 M 0 37500 2.45 A 37500 D Common Stock 2018-08-24 4 S 0 37500 4.51 D 0 D Stock Option (Right to Buy) 2.22 2018-08-24 4 M 0 36000 0 D 2021-11-01 Common Stock 36000 0 D Stock Option (Right to Buy) 2.14 2018-08-24 4 M 0 425000 0 D 2022-02-16 Common Stock 425000 0 D Stock Option (Right to Buy) 1.41 2018-08-24 4 M 0 200000 0 D 2022-05-17 Common Stock 200000 0 D Stock Option (Right to Buy) 1.51 2018-08-24 4 M 0 420000 0 D 2023-02-12 Common Stock 420000 0 D Stock Option (Right to Buy) 2.54 2018-08-24 4 M 0 131250 0 D 2026-02-11 Common Stock 131250 0 D Stock Option (Right to Buy) 2.15 2018-08-24 4 M 0 112500 0 D 2027-02-09 Common Stock 112500 0 D Stock Option (Right to Buy) 2.45 2018-08-24 4 M 0 37500 0 D 2028-01-31 Common Stock 37500 0 D 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. /s/ Olivia K. Bloom for Stephen N. Rosenfield 2018-08-24