John A. Scarlett - 08 Feb 2023 Form 4 Insider Report for GERON CORP (GERN)

Role
Chairman, President and CEO, Director
Signature
/s/ Olivia Bloom for John A. Scarlett
Issuer symbol
GERN
Transactions as of
08 Feb 2023
Net transactions value
-$2,059,133
Form type
4
Filing time
10 Feb 2023, 20:47:40 UTC
Previous filing
18 Feb 2022
Next filing
24 Feb 2023
SEC
View on sec.gov

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction GERN Common Stock Options Exercise $669,999 +446,666 $1.50 446,666 08 Feb 2023 Direct F2
transaction GERN Common Stock Sale $1,375,731 -446,666 -100% $3.08 0 08 Feb 2023 Direct F2
transaction GERN Common Stock Options Exercise $669,999 +446,666 $1.50 446,666 09 Feb 2023 Direct F2
transaction GERN Common Stock Sale $1,353,398 -446,666 -100% $3.03 0 09 Feb 2023 Direct F2
transaction GERN Common Stock Options Exercise $670,002 +446,668 $1.50 446,668 10 Feb 2023 Direct F2
transaction GERN Common Stock Sale $1,340,004 -446,668 -100% $3.00 0 10 Feb 2023 Direct F2

Derivative Securities (e.g., puts, calls, warrants, options, convertible securities)

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Underlying Class Amount Exercise Price Ownership Footnotes
transaction GERN Employee Stock Option (right to buy) Options Exercise $0 -446,666 -100% $0.000000* 0 08 Feb 2023 Common Stock 446,666 $1.50 Direct F1, F2
transaction GERN Employee Stock Option (right to buy) Options Exercise $0 -446,666 -100% $0.000000* 0 09 Feb 2023 Common Stock 446,666 $1.50 Direct F1, F2
transaction GERN Employee Stock Option (right to buy) Options Exercise $0 -446,668 -100% $0.000000* 0 10 Feb 2023 Common Stock 446,668 $1.50 Direct F1, F2
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 Option was fully vested.
F2 These transactions reflect exercises and sales of options due to expire on February 13, 2023 and were conducted pursuant to an approved 10b5-1 trading plan adopted by the reporting person on January 9, 2023.