Andrew J. Grethlein - Feb 9, 2023 Form 4 Insider Report for GERON CORP (GERN)

Role
EVP, Chief Operating Officer
Signature
/s/ Olivia Bloom for Andrew J. Grethlein
Stock symbol
GERN
Transactions as of
Feb 9, 2023
Transactions value $
-$939,199
Form type
4
Date filed
2/10/2023, 08:49 PM
Previous filing
Sep 14, 2022
Next filing
Feb 24, 2023

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction GERN Common Stock Options Exercise $227K +150K +63.91% $1.51 385K Feb 9, 2023 Direct F2
transaction GERN Common Stock Sale -$455K -150K -38.99% $3.03 235K Feb 9, 2023 Direct F2
transaction GERN Common Stock Sale -$711K -235K -100% $3.03 0 Feb 9, 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 -150K -100% $0.00* 0 Feb 9, 2023 Common Stock 150K $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.