GERON CORP
For the period ended Sep 30, 2024. Filed Nov 7, 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.
Sep 30, 2024 · Filed Nov 7, 2024
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Item 5. Other Information
Trading Arrangements
During the quarter ended September 30, 2024, 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 | |||||
| Faye M. Feller, M.D.,Executive Vice President and Chief Medical Officer | Adoption | July 12, 2024 | X | 974,1671 | June 30, 2025 |
| Andrew J. Grethlein, Ph.D.,Executive Vice President and Chief Operating Officer | Adoption | July 12, 2024 | X | 1,279,9852 | November 14, 2025 |
| John A. Scarlett, M.D., Chairman of the Board, President and Chief Executive Officer | Adoption | July 12, 2024 | X | 1,374,2983 | July 11, 2025 |
| Anil KapurExecutive Vice President, Corporate Strategy, and Chief Commercial Officer (until August 31, 2024) | Adoption | July 9, 2024 | X | 1,587,5004 | June 27, 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 Consists of 974,167 shares subject to stock options previously granted by Geron to Dr. Feller.
2 Consists of 1,279,985 shares subject to stock options previously granted by Geron to Dr. Grethlein.
3 Consists of 1,374,298 shares subject to stock options previously granted by Geron to Dr. Scarlett.
4 Mr. Kapur's employment with Geron terminated on August 31, 2024. Consists of 1,587,500 shares subject to stock options previously granted by Geron to Mr. Kapur.
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