GERON CORP
For the period ended Mar 31, 2024. Filed May 2, 2024.
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A company's report for each of its first three quarters. The financial statements are not audited. It shows how the business has moved since the last annual report, and what management says changed.
Mar 31, 2024 · Filed May 2, 2024
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Item 5. Other Information
Trading Arrangements
During our last fiscal quarter, our directors and officers (as defined in Rule 16a-1(f) under the Exchange Act) adopted or terminated the contracts, instructions or written plans for the purchase or sale of our securities set forth in the table below.
| Character of Trading Arrangement | |||||
|---|---|---|---|---|---|
| Name and Title · Action · Date · Rule 10b5-1* · Non-Rule 10b5-1** · Total Shares to be Sold · Expiration Date | |||||
| V. Bryan Lawlis, Ph.D., Director | Adoption | February 14, 2024 | X | 35,0001 | May 20, 2024 |
| John A. Scarlett, M.D., Chairman of the Board, President and Chief Executive Officer | Adoption | February 20, 2024 | X | 600,0002 | February 20, 2025 |
| * Contract, instruction or written plan intended to satisfy the affirmative defense conditions of Rule 10b5-1(c) under the Exchange Act. | |||||
| ** "Non-Rule 10b5-1 trading arrangement" as defined in Item 408(c) of Regulation S-K under the Exchange Act. | |||||
1 Includes up to 35,000 shares subject to stock options previously granted by Geron to Dr. Lawlis.
2 Includes up to 600,000 shares subject to stock options previously granted by Geron to Dr. Scarlett.
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