Andrew J. Grethlein - 09 Feb 2023 Form 4 Insider Report for GERON CORP (GERN)

Role
EVP, Chief Operating Officer
Signature
/s/ Olivia Bloom for Andrew J. Grethlein
Issuer symbol
GERN
Transactions as of
09 Feb 2023
Net transactions value
-$939,199
Form type
4
Filing time
10 Feb 2023, 20:49:26 UTC
Previous filing
14 Sep 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 $226,500 +150,000 +64% $1.51 384,719 09 Feb 2023 Direct F2
transaction GERN Common Stock Sale $454,500 -150,000 -39% $3.03 234,719 09 Feb 2023 Direct F2
transaction GERN Common Stock Sale $711,199 -234,719 -100% $3.03 0 09 Feb 2023 Direct F3

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 -150,000 -100% $0.000000* 0 09 Feb 2023 Common Stock 150,000 $1.51 Direct F1, F2
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 The options were fully vested.
F2 This transaction reflects an exercise and sale of options due to expire on February 12, 2023 and was conducted pursuant to an approved 10b5-1 trading plan adopted by the reporting person on January 9, 2023.
F3 Shares sold to meet tax obligations and pursuant to an approved 10b5-1 trading plan adopted by the reporting person on January 9, 2023.