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Nasdaq · USD

GERN

GERON CORP

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4989
SEC CIK
0000886744
Parsed reports
247

Last 12 months

Inside the activity.

0 purchase rows · 1 sale rows

Disclosed non-derivative P/S rows, by transaction month. Includes amendments and private transactions.
Monthly counts
MonthPurchasesSales
Nov 202500
Dec 202500
Jan 202600
Feb 202601
Mar 202600
Apr 202600
May 202600
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Purchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”

The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.

Transaction dateOwner / reported roleActivity / securityShares / unitsReported priceReported valueDetails
December 30, 2022 Filed Jan 4, 2023 01:53 UTC GrantCommon Stock 2,970 $0.00 $0.00
Disclosure

SEC source: 0001062993-23-000091 · form4.xml · nonDerivative · entry 1

Spiegel Robert J. · CIK 0001492256 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 151,693

F1 · kind: Shares issued in lieu of cash payment for quarterly board of directors retainer fee. Number of shares issued based on close price of Geron Common stock on December 30, 2022 of $2.42 per share.

F1 · price: Shares issued in lieu of cash payment for quarterly board of directors retainer fee. Number of shares issued based on close price of Geron Common stock on December 30, 2022 of $2.42 per share.

Read SEC document
September 30, 2022 Filed Oct 3, 2022 21:48 UTC GrantCommon Stock 3,071 $0.00 $0.00
Disclosure

SEC source: 0001062993-22-020176 · form4.xml · nonDerivative · entry 1

Spiegel Robert J. · CIK 0001492256 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 148,723

F1 · kind: Shares issued in lieu of cash payment for quarterly board of directors retainer fee. Number of shares issued based on close price on September 30, 2022 of $2.34 per share.

F1 · price: Shares issued in lieu of cash payment for quarterly board of directors retainer fee. Number of shares issued based on close price on September 30, 2022 of $2.34 per share.

Read SEC document
September 12, 2022 Filed Sep 14, 2022 21:47 UTC
GRETHLEIN ANDREW JEVP, Chief Operating Officer
Exercise / conversionEmployee Stock Option (right to buy) · Derivative 232,719 $0.00 Strike: $1.70 $0.00
Disclosure

SEC source: 0001062993-22-019555 · form4.xml · derivative · entry 4

GRETHLEIN ANDREW J · CIK 0001270921 · EVP, Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 232,719 shares

Expires 2022-09-19

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · derivative.exercise_date: The options were fully vested.

Read SEC document
September 12, 2022 Filed Sep 14, 2022 21:47 UTC
GRETHLEIN ANDREW JEVP, Chief Operating Officer
Exercise / conversionEmployee Stock Option (right to buy) · Derivative 2,000 $0.00 Strike: $1.70 $0.00
Disclosure

SEC source: 0001062993-22-019555 · form4.xml · derivative · entry 3

GRETHLEIN ANDREW J · CIK 0001270921 · EVP, Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 65,281

Underlying: Common Stock · 2,000 shares

Expires 2022-09-19

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · derivative.exercise_date: The options were fully vested.

Read SEC document
September 12, 2022 Filed Sep 14, 2022 21:47 UTC
GRETHLEIN ANDREW JEVP, Chief Operating Officer
Exercise / conversionCommon Stock 232,719 $1.70 $395,622.30
Disclosure

SEC source: 0001062993-22-019555 · form4.xml · nonDerivative · entry 2

GRETHLEIN ANDREW J · CIK 0001270921 · EVP, Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 234,719

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · shares: The Reporting Person has elected to exercise and hold the shares at this time.

Read SEC document
September 12, 2022 Filed Sep 14, 2022 21:47 UTC
GRETHLEIN ANDREW JEVP, Chief Operating Officer
Exercise / conversionCommon Stock 2,000 $1.70 $3,400.00
Disclosure

SEC source: 0001062993-22-019555 · form4.xml · nonDerivative · entry 1

GRETHLEIN ANDREW J · CIK 0001270921 · EVP, Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,000

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · shares: The Reporting Person has elected to exercise and hold the shares at this time.

Read SEC document
September 07, 2022 Filed Sep 9, 2022 00:25 UTC GrantStock Options (right to buy) · Derivative 200,000 $0.00 Strike: $2.72 $0.00
Disclosure

SEC source: 0001062993-22-019384 · form4.xml · derivative · entry 1

McDonald John F · CIK 0001944633 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 200,000

Underlying: Common Stock · 200,000 shares

Expires 2032-09-06

F1 · derivative.exercise_date: This option vests in a series of three equal consecutive annual installments commencing from September 7, 2022, subject to the non-employee director providing continuous service to the Company through each vesting date.

Read SEC document
July 08, 2022 Filed Jul 12, 2022 15:52 UTC
Feller FayeEVP, Chief Medical Officer
GrantEmployee Stock Option (right to buy) · Derivative 120,000 $0.00 Strike: $1.93 $0.00
Disclosure

SEC source: 0001062993-22-016245 · form4.xml · derivative · entry 1

Feller Faye · CIK 0001937361 · EVP, Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 120,000

Underlying: Common Stock · 120,000 shares

Expires 2032-07-07

F1 · derivative.exercise_date: This option vests in a series of 48 consecutive equal monthly installments commencing July 9, 2022, provided the optionee continues to provide services to the Company.

Read SEC document
June 30, 2022 Filed Jul 2, 2022 01:25 UTC
Kapur AnilEVP, Corp Strategy & CCO
GrantCommon Stock 13,062 $1.11 $14,498.82
Disclosure

SEC source: 0001062993-22-015794 · form4.xml · nonDerivative · entry 1

Kapur Anil · CIK 0001730703 · EVP, Corp Strategy & CCO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 47,195

F1 · shares: The reporting person is voluntarily reporting the acquisition of shares of the Issuer's common stock pursuant to the Geron Corporation. 2014 Employee Stock Purchase Plan ("ESPP") for the ESPP purchase period of January 3, 2022 through June 30, 2022. This transaction is exempt under Rule 16b-3(c).

F2 · price: In accordance with the ESPP, these shares were purchased based on 85% of the closing price of the Issuer's common stock on January 3, 2022.

F3 · balance_after: The total securities beneficially owned 47,195 shares includes previous purchases under the ESPP.

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June 30, 2022 Filed Jul 2, 2022 01:24 UTC GrantCommon Stock 4,637 $0.00 $0.00
Disclosure

SEC source: 0001062993-22-015792 · form4.xml · nonDerivative · entry 1

Spiegel Robert J. · CIK 0001492256 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 145,652

F1 · kind: Shares issued in lieu of cash payment for quarterly board of directors retainer fee. Number of shares issued based on close price on June 30, 2022 of $1.55 per share.

F1 · price: Shares issued in lieu of cash payment for quarterly board of directors retainer fee. Number of shares issued based on close price on June 30, 2022 of $1.55 per share.

Read SEC document
May 10, 2022 Filed May 11, 2022 22:18 UTC GrantStock Option (right to buy) · Derivative 125,000 $0.00 Strike: $1.48 $0.00
Disclosure

SEC source: 0001062993-22-012161 · form4.xml · derivative · entry 1

Spiegel Robert J. · CIK 0001492256 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 125,000

Underlying: Common Stock · 125,000 shares

Expires 2032-05-09

F1 · derivative.exercise_date: This option will vest and become exercisable as to 100% of the shares of common stock subject to such option on the earlier of (i) the date of the next annual meeting of the Company's stockholders or (ii) the first anniversary of the date of grant of such option, subject to the non-employee director's continuous service with the Company through such dates.

Read SEC document
May 10, 2022 Filed May 11, 2022 22:17 UTC GrantStock Option (right to buy) · Derivative 125,000 $0.00 Strike: $1.48 $0.00
Disclosure

SEC source: 0001062993-22-012159 · form4.xml · derivative · entry 1

O'Farrell Elizabeth G. · CIK 0001744662 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 125,000

Underlying: Common Stock · 125,000 shares

Expires 2032-05-09

F1 · derivative.exercise_date: This option will vest and become exercisable as to 100% of the shares of common stock subject to such option on the earlier of (i) the date of the next annual meeting of the Company's stockholders or (ii) the first anniversary of the date of grant of such option, subject to the non-employee director's continuous service with the Company through such dates.

Read SEC document
May 10, 2022 Filed May 11, 2022 22:17 UTC GrantStock Option (right to buy) · Derivative 125,000 $0.00 Strike: $1.48 $0.00
Disclosure

SEC source: 0001062993-22-012157 · form4.xml · derivative · entry 1

Molineaux Susan · CIK 0001553389 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 125,000

Underlying: Common Stock · 125,000 shares

Expires 2032-05-09

F1 · derivative.exercise_date: This option will vest and become exercisable as to 100% of the shares of common stock subject to such option on the earlier of (i) the date of the next annual meeting of the Company's stockholders or (ii) the first anniversary of the date of grant of such option, subject to the non-employee director's continuous service with the Company through such dates.

Read SEC document
May 10, 2022 Filed May 11, 2022 22:16 UTC GrantStock Option (right to buy) · Derivative 125,000 $0.00 Strike: $1.48 $0.00
Disclosure

SEC source: 0001062993-22-012155 · form4.xml · derivative · entry 1

LAWLIS V BRYAN · CIK 0001247681 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 125,000

Underlying: Common Stock · 125,000 shares

Expires 2032-05-09

F1 · derivative.exercise_date: This option will vest and become exercisable as to 100% of the shares of common stock subject to such option on the earlier of (i) the date of the next annual meeting of the Company's stockholders or (ii) the first anniversary of the date of grant of such option, subject to the non-employee director's continuous service with the Company through such dates.

Read SEC document
May 10, 2022 Filed May 11, 2022 22:15 UTC GrantStock Option (right to buy) · Derivative 125,000 $0.00 Strike: $1.48 $0.00
Disclosure

SEC source: 0001062993-22-012153 · form4.xml · derivative · entry 1

EASTHAM KARIN · CIK 0001231845 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 125,000

Underlying: Common Stock · 125,000 shares

Expires 2032-05-09

F1 · derivative.exercise_date: This option will vest and become exercisable as to 100% of the shares of common stock subject to such option on the earlier of (i) the date of the next annual meeting of the Company's stockholders or (ii) the first anniversary of the date of grant of such option, subject to the non-employee director's continuous service with the Company through such dates.

Read SEC document
May 10, 2022 Filed May 11, 2022 22:14 UTC GrantStock Option (right to buy) · Derivative 125,000 $0.00 Strike: $1.48 $0.00
Disclosure

SEC source: 0001062993-22-012151 · form4.xml · derivative · entry 1

Bir Dawn Carter · CIK 0001688712 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 125,000

Underlying: Common Stock · 125,000 shares

Expires 2032-05-09

F1 · derivative.exercise_date: This option will vest and become exercisable as to 100% of the shares of common stock subject to such option on the earlier of (i) the date of the next annual meeting of the Company's stockholders or (ii) the first anniversary of the date of grant of such option, subject to the non-employee director's continuous service with the Company through such dates.

Read SEC document
April 20, 2022 Filed Apr 22, 2022 00:09 UTC Exercise / conversionStock Option (right to buy) · Derivative 35,000 $0.00 Strike: $1.41 $0.00
Disclosure

SEC source: 0001062993-22-010624 · form4.xml · derivative · entry 2

EASTHAM KARIN · CIK 0001231845 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 35,000 shares

Expires 2022-05-17

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · shares: Option was fully vested.

F1 · derivative.exercise_date: Option was fully vested.

Read SEC document
April 20, 2022 Filed Apr 22, 2022 00:09 UTC Exercise / conversionCommon Stock 35,000 $1.41 $49,350.00
Disclosure

SEC source: 0001062993-22-010624 · form4.xml · nonDerivative · entry 1

EASTHAM KARIN · CIK 0001231845 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 74,047

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

Read SEC document
March 31, 2022 Filed Apr 1, 2022 21:00 UTC GrantCommon Stock 5,284 $0.00 $0.00
Disclosure

SEC source: 0001062993-22-009237 · form4.xml · nonDerivative · entry 1

Spiegel Robert J. · CIK 0001492256 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 141,015

F1 · kind: Shares issued in lieu of cash payment for quarterly board of directors retainer fee. Number of shares issued based on close price on March 31, 2022 of $1.36 per share.

F1 · price: Shares issued in lieu of cash payment for quarterly board of directors retainer fee. Number of shares issued based on close price on March 31, 2022 of $1.36 per share.

Read SEC document
February 16, 2022 Filed Feb 18, 2022 23:07 UTC
ROSENFIELD STEPHENEVP, Chief Legal Off & Sec
GrantEmployee Stock Option (right to buy) · Derivative 750,000 $0.00 Strike: $1.06 $0.00
Disclosure

SEC source: 0001062993-22-005008 · form4.xml · derivative · entry 1

ROSENFIELD STEPHEN · CIK 0001238623 · EVP, Chief Legal Off & Sec

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 750,000

Underlying: Common Stock · 750,000 shares

Expires 2032-02-15

F1 · derivative.exercise_date: This option vests in a series of 48 consecutive equal monthly installments commencing February 16, 2022, provided the optionee continues to provide services to the Company.

Read SEC document
February 16, 2022 Filed Feb 18, 2022 23:06 UTC
Bloom Olivia KyusukEVP, Chief Financial Officer
GrantEmployee Stock Option (right to buy) · Derivative 750,000 $0.00 Strike: $1.06 $0.00
Disclosure

SEC source: 0001062993-22-005007 · form4.xml · derivative · entry 1

Bloom Olivia Kyusuk · CIK 0001501545 · EVP, Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 750,000

Underlying: Common Stock · 750,000 shares

Expires 2032-02-15

F1 · derivative.exercise_date: This option vests in a series of 48 consecutive equal monthly installments commencing February 16, 2022, provided the optionee continues to provide services to the Company.

Read SEC document
February 16, 2022 Filed Feb 18, 2022 23:06 UTC
GRETHLEIN ANDREW JEVP, Chief Operating Officer
GrantEmployee Stock Option (right to buy) · Derivative 750,000 $0.00 Strike: $1.06 $0.00
Disclosure

SEC source: 0001062993-22-005006 · form4.xml · derivative · entry 1

GRETHLEIN ANDREW J · CIK 0001270921 · EVP, Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 750,000

Underlying: Common Stock · 750,000 shares

Expires 2032-02-15

F1 · derivative.exercise_date: This option vests in a series of 48 consecutive equal monthly installments commencing February 16, 2022, provided the optionee continues to provide services to the Company.

Read SEC document
February 16, 2022 Filed Feb 18, 2022 23:05 UTC
Kapur AnilEVP, Corp Strategy & CCO
GrantEmployee Stock Option (right to buy) · Derivative 750,000 $0.00 Strike: $1.06 $0.00
Disclosure

SEC source: 0001062993-22-005005 · form4.xml · derivative · entry 1

Kapur Anil · CIK 0001730703 · EVP, Corp Strategy & CCO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 750,000

Underlying: Common Stock · 750,000 shares

Expires 2032-02-15

F1 · derivative.exercise_date: This option vests in a series of 48 consecutive equal monthly installments commencing February 16, 2022, provided the optionee continues to provide services to the Company.

Read SEC document
February 16, 2022 Filed Feb 18, 2022 23:03 UTC
SCARLETT JOHN ADirector · Chairman, President and CEO
GrantEmployee Stock Option (Right to buy) · Derivative 2,100,000 $0.00 Strike: $1.06 $0.00
Disclosure

SEC source: 0001062993-22-005003 · form4.xml · derivative · entry 1

SCARLETT JOHN A · CIK 0001270928 · Director · Chairman, President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,100,000

Underlying: Common Stock · 2,100,000 shares

Expires 2032-02-15

F1 · derivative.exercise_date: This option vests in a series of 48 consecutive equal monthly installments commencing February 16, 2022, provided the optionee continues to provide service to the Company.

Read SEC document
February 16, 2022 Filed Feb 18, 2022 23:05 UTC
Rizo AleksandraEVP, Chief Medical Officer
GrantEmployee Stock Option (right to buy) · Derivative 750,000 $0.00 Strike: $1.06 $0.00
Disclosure

SEC source: 0001062993-22-005004 · form4.xml · derivative · entry 1

Rizo Aleksandra · CIK 0001766210 · EVP, Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 750,000

Underlying: Common Stock · 750,000 shares

Expires 2032-02-15

F1 · derivative.exercise_date: This option vests in a series of 48 consecutive equal monthly installments commencing February 16, 2022, provided the optionee continues to provide services to the Company.

Read SEC document
December 31, 2021 Filed Jan 4, 2022 00:05 UTC GrantCommon Stock 5,891 $0.00 $0.00
Disclosure

SEC source: 0001062993-22-000082 · form4.xml · nonDerivative · entry 1

Spiegel Robert J. · CIK 0001492256 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 135,731

F1 · kind: Shares issued in lieu of cash payment for annual board of directors retainer fee. Number of shares issued based on close price on December 31, 2021 of $1.22 per share.

F1 · price: Shares issued in lieu of cash payment for annual board of directors retainer fee. Number of shares issued based on close price on December 31, 2021 of $1.22 per share.

Read SEC document
September 30, 2021 Filed Oct 2, 2021 00:08 UTC GrantCommon Stock 5,246 $0.00 $0.00
Disclosure

SEC source: 0001062993-21-009105 · form4.xml · nonDerivative · entry 1

Spiegel Robert J. · CIK 0001492256 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 129,840

F1 · kind: Shares issued in lieu of cash payment for annual board of directors retainer fee. Number of shares issued based on close price on September 30, 2021 of $1.37 per share.

F1 · price: Shares issued in lieu of cash payment for annual board of directors retainer fee. Number of shares issued based on close price on September 30, 2021 of $1.37 per share.

Read SEC document
June 30, 2021 Filed Jul 2, 2021 00:01 UTC GrantCommon Stock 5,097 $0.00 $0.00
Disclosure

SEC source: 0000886744-21-000044 · edgar.xml · nonDerivative · entry 1

Spiegel Robert J. · CIK 0001492256 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 124,594

F1 · kind: Shares issued in lieu of cash payment for annual board of directors retainer fee. Number of shares issued based on close price on June 30, 2021 of $1.41 per share.

F1 · price: Shares issued in lieu of cash payment for annual board of directors retainer fee. Number of shares issued based on close price on June 30, 2021 of $1.41 per share.

Read SEC document
May 11, 2021 Filed May 14, 2021 01:25 UTC GrantStock Option (right to buy) · Derivative 83,000 $0.00 Strike: $1.39 $0.00
Disclosure

SEC source: 0000886744-21-000040 · edgar.xml · derivative · entry 1

O'Farrell Elizabeth G. · CIK 0001744662 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 83,000

Underlying: Common Stock · 83,000 shares

Expires 2031-05-10

F1 · derivative.exercise_date: This option will vest and become exercisable as to 100% of the shares of common stock subject to such option on the earlier of (i) the date of the next annual meeting of the Company's stockholders or (ii) the first anniversary of the date of grant of such option, subject to the non-employee director's continuous service with the Company through such dates.

Read SEC document
May 11, 2021 Filed May 14, 2021 01:23 UTC GrantStock Option (right to buy) · Derivative 83,000 $0.00 Strike: $1.39 $0.00
Disclosure

SEC source: 0000886744-21-000039 · edgar.xml · derivative · entry 1

Bir Dawn Carter · CIK 0001688712 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 83,000

Underlying: Common Stock · 83,000 shares

Expires 2031-05-10

F1 · derivative.exercise_date: This option will vest and become exercisable as to 100% of the shares of common stock subject to such option on the earlier of (i) the date of the next annual meeting of the Company's stockholders or (ii) the first anniversary of the date of grant of such option, subject to the non-employee director's continuous service with the Company through such dates.

Read SEC document
May 11, 2021 Filed May 14, 2021 01:22 UTC GrantStock Option (right to buy) · Derivative 83,000 $0.00 Strike: $1.39 $0.00
Disclosure

SEC source: 0000886744-21-000038 · edgar.xml · derivative · entry 1

EASTHAM KARIN · CIK 0001231845 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 83,000

Underlying: Common Stock · 83,000 shares

Expires 2031-05-10

F1 · derivative.exercise_date: This option will vest and become exercisable as to 100% of the shares of common stock subject to such option on the earlier of (i) the date of the next annual meeting of the Company's stockholders or (ii) the first anniversary of the date of grant of such option, subject to the non-employee director's continuous service with the Company through such dates.

Read SEC document
May 11, 2021 Filed May 14, 2021 01:21 UTC GrantStock Option (right to buy) · Derivative 83,000 $0.00 Strike: $1.39 $0.00
Disclosure

SEC source: 0000886744-21-000037 · edgar.xml · derivative · entry 1

Spiegel Robert J. · CIK 0001492256 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 83,000

Underlying: Common Stock · 83,000 shares

Expires 2031-05-10

F1 · derivative.exercise_date: This option will vest and become exercisable as to 100% of the shares of common stock subject to such option on the earlier of (i) the date of the next annual meeting of the Company's stockholders or (ii) the first anniversary of the date of grant of such option, subject to the non-employee director's continuous service with the Company through such dates.

Read SEC document
May 11, 2021 Filed May 14, 2021 01:20 UTC GrantStock Option (right to buy) · Derivative 83,000 $0.00 Strike: $1.39 $0.00
Disclosure

SEC source: 0000886744-21-000036 · edgar.xml · derivative · entry 1

Molineaux Susan · CIK 0001553389 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 83,000

Underlying: Common Stock · 83,000 shares

Expires 2031-05-10

F1 · derivative.exercise_date: This option will vest and become exercisable as to 100% of the shares of common stock subject to such option on the earlier of (i) the date of the next annual meeting of the Company's stockholders or (ii) the first anniversary of the date of grant of such option, subject to the non-employee director's continuous service with the Company through such dates.

Read SEC document
May 11, 2021 Filed May 14, 2021 01:16 UTC GrantStock Option (right to buy) · Derivative 83,000 $0.00 Strike: $1.39 $0.00
Disclosure

SEC source: 0000886744-21-000035 · edgar.xml · derivative · entry 1

LAWLIS V BRYAN · CIK 0001247681 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 83,000

Underlying: Common Stock · 83,000 shares

Expires 2031-05-10

F1 · derivative.exercise_date: This option will vest and become exercisable as to 100% of the shares of common stock subject to such option on the earlier of (i) the date of the next annual meeting of the Company's stockholders or (ii) the first anniversary of the date of grant of such option, subject to the non-employee director's continuous service with the Company through such dates.

Read SEC document
March 31, 2021 Filed Apr 2, 2021 21:06 UTC GrantCommon Stock 4,549 $0.00 $0.00
Disclosure

SEC source: 0000886744-21-000020 · edgar.xml · nonDerivative · entry 1

Spiegel Robert J. · CIK 0001492256 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 119,497

F1 · kind: Shares issued in lieu of cash payment for annual board of directors retainer fee. Number of shares issued based on close price on March 31, 2021 of $1.58 per share.

F1 · price: Shares issued in lieu of cash payment for annual board of directors retainer fee. Number of shares issued based on close price on March 31, 2021 of $1.58 per share.

Read SEC document
February 02, 2021 Filed Feb 5, 2021 00:47 UTC
ROSENFIELD STEPHENEVP, Chief Legal Off & Sec
GrantEmployee Stock Option (Right to buy) · Derivative 300,000 $0.00 Strike: $2.06 $0.00
Disclosure

SEC source: 0000886744-21-000018 · edgar.xml · derivative · entry 1

ROSENFIELD STEPHEN · CIK 0001238623 · EVP, Chief Legal Off & Sec

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 300,000

Underlying: Common Stock · 300,000 shares

Expires 2031-02-01

F1 · derivative.exercise_date: This option vests in a series of 48 consecutive equal monthly installments commencing February 2, 2021, provided the optionee continues to provide services to the Company.

Read SEC document
February 02, 2021 Filed Feb 5, 2021 00:46 UTC
Bloom Olivia KyusukEVP, Chief Financial Officer
GrantEmployee Stock Option (right to buy) · Derivative 300,000 $0.00 Strike: $2.06 $0.00
Disclosure

SEC source: 0000886744-21-000017 · edgar.xml · derivative · entry 1

Bloom Olivia Kyusuk · CIK 0001501545 · EVP, Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 300,000

Underlying: Common Stock · 300,000 shares

Expires 2031-02-01

F1 · derivative.exercise_date: This option vests in a series of 48 consecutive equal monthly installments commencing February 2, 2021, provided the optionee continues to provide services to the Company.

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February 02, 2021 Filed Feb 5, 2021 00:45 UTC
BEHRS MELISSA KELLYEVP, Chief Business Officer
GrantEmployee Stock Option (Right to buy) · Derivative 300,000 $0.00 Strike: $2.06 $0.00
Disclosure

SEC source: 0000886744-21-000016 · edgar.xml · derivative · entry 1

BEHRS MELISSA KELLY · CIK 0001187032 · EVP, Chief Business Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 300,000

Underlying: Common Stock · 300,000 shares

Expires 2031-02-01

F1 · derivative.exercise_date: This option vests in a series of 48 consecutive equal monthly installments commencing February 2, 2021, provided the optionee continues to provide services to the Company.

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February 02, 2021 Filed Feb 5, 2021 00:44 UTC
SCARLETT JOHN ADirector · Chairman, President and CEO
GrantEmployee Stock Option (Right to buy) · Derivative 600,000 $0.00 Strike: $2.06 $0.00
Disclosure

SEC source: 0000886744-21-000015 · edgar.xml · derivative · entry 1

SCARLETT JOHN A · CIK 0001270928 · Director · Chairman, President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 600,000

Underlying: Common Stock · 600,000 shares

Expires 2031-02-01

F1 · derivative.exercise_date: This option vests in a series of 48 consecutive equal monthly installments commencing February 2, 2021, provided the optionee continues to provide service to the Company.

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February 02, 2021 Filed Feb 5, 2021 00:43 UTC
Kapur AnilEVP, Corp Strategy & CCO
GrantEmployee Stock Option (right to buy) · Derivative 300,000 $0.00 Strike: $2.06 $0.00
Disclosure

SEC source: 0000886744-21-000014 · edgar.xml · derivative · entry 1

Kapur Anil · CIK 0001730703 · EVP, Corp Strategy & CCO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 300,000

Underlying: Common Stock · 300,000 shares

Expires 2031-02-01

F1 · derivative.exercise_date: This option vests in a series of 48 consecutive equal monthly installments commencing February 2, 2021, provided the optionee continues to provide services to the Company.

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February 02, 2021 Filed Feb 5, 2021 00:41 UTC
Rizo AleksandraEVP, Chief Medical Officer
GrantEmployee Stock Option (right to buy) · Derivative 300,000 $0.00 Strike: $2.06 $0.00
Disclosure

SEC source: 0000886744-21-000012 · edgar.xml · derivative · entry 1

Rizo Aleksandra · CIK 0001766210 · EVP, Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 300,000

Underlying: Common Stock · 300,000 shares

Expires 2031-02-01

F1 · derivative.exercise_date: This option vests in a series of 48 consecutive equal monthly installments commencing February 2, 2021, provided the optionee continues to provide services to the Company.

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February 02, 2021 Filed Feb 5, 2021 00:42 UTC
GRETHLEIN ANDREW JEVP, Chief Operating Officer
GrantEmployee Stock Option (right to buy) · Derivative 300,000 $0.00 Strike: $2.06 $0.00
Disclosure

SEC source: 0000886744-21-000013 · edgar.xml · derivative · entry 1

GRETHLEIN ANDREW J · CIK 0001270921 · EVP, Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 300,000

Underlying: Common Stock · 300,000 shares

Expires 2031-02-01

F1 · derivative.exercise_date: This option vests in a series of 48 consecutive equal monthly installments commencing February 2, 2021, provided the optionee continues to provide services to the Company.

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December 31, 2020 Filed Jan 11, 2021 22:59 UTC GrantCommon Stock 4,520 $0.00 $0.00
Disclosure

SEC source: 0000886744-21-000002 · edgar.xml · nonDerivative · entry 1

Spiegel Robert J. · CIK 0001492256 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 114,948

F1 · kind: Shares issued in lieu of cash payment for annual board of directors retainer fee. Number of shares issued based on close price on December 31, 2020 of $1.59 per share.

F1 · price: Shares issued in lieu of cash payment for annual board of directors retainer fee. Number of shares issued based on close price on December 31, 2020 of $1.59 per share.

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September 30, 2020 Filed Oct 2, 2020 21:26 UTC GrantCommon Stock 4,130 $0.00 $0.00
Disclosure

SEC source: 0000886744-20-000060 · edgar.xml · nonDerivative · entry 1

Spiegel Robert J. · CIK 0001492256 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 110,428

F1 · kind: Shares issued in lieu of cash payment for annual board of directors retainer fee. Number of shares issued based on close price on September 30, 2020 of $1.74 per share.

F1 · price: Shares issued in lieu of cash payment for annual board of directors retainer fee. Number of shares issued based on close price on September 30, 2020 of $1.74 per share.

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August 21, 2020 Filed Aug 25, 2020 00:57 UTC PurchaseCommon Stock 17,441 $1.73 $30,172.93
Disclosure

SEC source: 0000886744-20-000058 · edgar.xml · nonDerivative · entry 1

O'Farrell Elizabeth G. · CIK 0001744662 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By Spouse

Disclosed balance after: 19,641

Read SEC document
June 30, 2020 Filed Jul 2, 2020 21:02 UTC GrantCommon Stock 3,297 $0.00 $0.00
Disclosure

SEC source: 0000886744-20-000054 · edgar.xml · nonDerivative · entry 1

Spiegel Robert J. · CIK 0001492256 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 106,298

F1 · kind: Shares issued in lieu of cash payment for quarterly board of directors retainer fee. Number of shares issued based on close price on 6/30/20 of $2.18 per share.

F1 · price: Shares issued in lieu of cash payment for quarterly board of directors retainer fee. Number of shares issued based on close price on 6/30/20 of $2.18 per share.

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June 05, 2020 Filed Jun 9, 2020 22:14 UTC GrantStock Option (right to buy) · Derivative 83,000 $0.00 Strike: $1.54 $0.00
Disclosure

SEC source: 0000886744-20-000052 · edgar.xml · derivative · entry 1

Spiegel Robert J. · CIK 0001492256 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 83,000

Underlying: Common Stock · 83,000 shares

Expires 2030-06-04

F1 · derivative.exercise_date: This option will vest and become exercisable as to 100% of the shares of common stock subject to such option on the earlier of (i) the date of the next annual meeting of the Company's stockholders or (ii) the first anniversary of the date of grant of such option, subject to the non-employee director's continuous service with the Company through such dates.

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June 05, 2020 Filed Jun 9, 2020 22:14 UTC GrantStock Option (right to buy) · Derivative 83,000 $0.00 Strike: $1.54 $0.00
Disclosure

SEC source: 0000886744-20-000051 · edgar.xml · derivative · entry 1

O'Farrell Elizabeth G. · CIK 0001744662 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 83,000

Underlying: Common Stock · 83,000 shares

Expires 2030-06-04

F1 · derivative.exercise_date: This option will vest and become exercisable as to 100% of the shares of common stock subject to such option on the earlier of (i) the date of the next annual meeting of the Company's stockholders or (ii) the first anniversary of the date of grant of such option, subject to the non-employee director's continuous service with the Company through such dates.

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June 05, 2020 Filed Jun 9, 2020 22:13 UTC GrantStock Option (right to buy) · Derivative 83,000 $0.00 Strike: $1.54 $0.00
Disclosure

SEC source: 0000886744-20-000050 · edgar.xml · derivative · entry 1

Molineaux Susan · CIK 0001553389 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 83,000

Underlying: Common Stock · 83,000 shares

Expires 2030-06-04

F1 · derivative.exercise_date: This option will vest and become exercisable as to 100% of the shares of common stock subject to such option on the earlier of (i) the date of the next annual meeting of the Company's stockholders or (ii) the first anniversary of the date of grant of such option, subject to the non-employee director's continuous service with the Company through such dates.

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June 05, 2020 Filed Jun 9, 2020 22:12 UTC GrantStock Option (right to buy) · Derivative 83,000 $0.00 Strike: $1.54 $0.00
Disclosure

SEC source: 0000886744-20-000049 · edgar.xml · derivative · entry 1

LAWLIS V BRYAN · CIK 0001247681 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 83,000

Underlying: Common Stock · 83,000 shares

Expires 2030-06-04

F1 · derivative.exercise_date: This option will vest and become exercisable as to 100% of the shares of common stock subject to such option on the earlier of (i) the date of the next annual meeting of the Company's stockholders or (ii) the first anniversary of the date of grant of such option, subject to the non-employee director's continuous service with the Company through such dates.

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Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.