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Nasdaq · USD

GERN

GERON CORP

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Tapewire entity
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
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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
September 13, 2018 Filed Sep 14, 2018 01:28 UTC SaleCommon Stock 15,000 $6.85 $102,750.00
Disclosure

SEC source: 0000886744-18-000048 · edgar.xml · nonDerivative · entry 6

Spiegel Robert J. · CIK 0001492256 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 65,576

F1 · kind: This transaction was conducted pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on July 18, 2018.

Read SEC document
September 13, 2018 Filed Sep 14, 2018 01:28 UTC Exercise / conversionCommon Stock 15,000 $4.91 $73,650.00
Disclosure

SEC source: 0000886744-18-000048 · edgar.xml · nonDerivative · entry 5

Spiegel Robert J. · CIK 0001492256 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 80,576

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 · kind: This transaction was conducted pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on July 18, 2018.

Read SEC document
September 13, 2018 Filed Sep 14, 2018 01:28 UTC SaleCommon Stock 10,000 $6.85 $68,500.00
Disclosure

SEC source: 0000886744-18-000048 · edgar.xml · nonDerivative · entry 4

Spiegel Robert J. · CIK 0001492256 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 65,576

F1 · kind: This transaction was conducted pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on July 18, 2018.

Read SEC document
September 13, 2018 Filed Sep 14, 2018 01:28 UTC Exercise / conversionCommon Stock 10,000 $4.91 $49,100.00
Disclosure

SEC source: 0000886744-18-000048 · edgar.xml · nonDerivative · entry 3

Spiegel Robert J. · CIK 0001492256 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 75,576

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 · kind: This transaction was conducted pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on July 18, 2018.

Read SEC document
September 13, 2018 Filed Sep 14, 2018 01:28 UTC SaleCommon Stock 45,000 $6.85 $308,250.00
Disclosure

SEC source: 0000886744-18-000048 · edgar.xml · nonDerivative · entry 2

Spiegel Robert J. · CIK 0001492256 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 65,576

F1 · kind: This transaction was conducted pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on July 18, 2018.

Read SEC document
September 13, 2018 Filed Sep 14, 2018 01:28 UTC Exercise / conversionCommon Stock 45,000 $5.29 $238,050.00
Disclosure

SEC source: 0000886744-18-000048 · edgar.xml · nonDerivative · entry 1

Spiegel Robert J. · CIK 0001492256 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 110,576

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 · kind: This transaction was conducted pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on July 18, 2018.

Read SEC document
August 24, 2018 Filed Aug 25, 2018 01:32 UTC
ROSENFIELD STEPHENEVP, Genl Counsel & Secretary
Exercise / conversionStock Option (Right to Buy) · Derivative 37,500 $0.00 Strike: $2.45 $0.00
Disclosure

SEC source: 0000886744-18-000045 · edgar.xml · derivative · entry 21

ROSENFIELD STEPHEN · CIK 0001238623 · EVP, Genl Counsel & Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 37,500 shares

Expires 2028-01-31

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.

F5 · kind: This transaction was conducted pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on July 13, 2018.

F4 · derivative.exercise_date: This option vests in a series of 48 consecutive equal monthly installments commencing January 31, 2018, provided the optionee continues to provide services to the Company.

Read SEC document
August 24, 2018 Filed Aug 25, 2018 01:32 UTC
ROSENFIELD STEPHENEVP, Genl Counsel & Secretary
Exercise / conversionStock Option (Right to Buy) · Derivative 112,500 $0.00 Strike: $2.15 $0.00
Disclosure

SEC source: 0000886744-18-000045 · edgar.xml · derivative · entry 20

ROSENFIELD STEPHEN · CIK 0001238623 · EVP, Genl Counsel & Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 112,500 shares

Expires 2027-02-09

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.

F5 · kind: This transaction was conducted pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on July 13, 2018.

F3 · derivative.exercise_date: This option vests in a series of 48 consecutive equal monthly installments commencing February 9, 2017, provided the optionee continues to provide services to the Company.

Read SEC document
August 24, 2018 Filed Aug 25, 2018 01:32 UTC
ROSENFIELD STEPHENEVP, Genl Counsel & Secretary
Exercise / conversionStock Option (Right to Buy) · Derivative 131,250 $0.00 Strike: $2.54 $0.00
Disclosure

SEC source: 0000886744-18-000045 · edgar.xml · derivative · entry 19

ROSENFIELD STEPHEN · CIK 0001238623 · EVP, Genl Counsel & Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 131,250 shares

Expires 2026-02-11

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.

F5 · kind: This transaction was conducted pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on July 13, 2018.

F2 · derivative.exercise_date: This option vests in a series of 48 consecutive equal monthly installments commencing February 11, 2016, provided the optionee continues to provide services to the Company.

Read SEC document
August 24, 2018 Filed Aug 25, 2018 01:32 UTC
ROSENFIELD STEPHENEVP, Genl Counsel & Secretary
Exercise / conversionStock Option (Right to Buy) · Derivative 420,000 $0.00 Strike: $1.51 $0.00
Disclosure

SEC source: 0000886744-18-000045 · edgar.xml · derivative · entry 18

ROSENFIELD STEPHEN · CIK 0001238623 · EVP, Genl Counsel & Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 420,000 shares

Expires 2023-02-12

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.

F5 · kind: This transaction was conducted pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on July 13, 2018.

F1 · derivative.exercise_date: Option was fully vested.

Read SEC document
August 24, 2018 Filed Aug 25, 2018 01:32 UTC
ROSENFIELD STEPHENEVP, Genl Counsel & Secretary
Exercise / conversionStock Option (Right to Buy) · Derivative 200,000 $0.00 Strike: $1.41 $0.00
Disclosure

SEC source: 0000886744-18-000045 · edgar.xml · derivative · entry 17

ROSENFIELD STEPHEN · CIK 0001238623 · EVP, Genl Counsel & Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 200,000 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.

F5 · kind: This transaction was conducted pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on July 13, 2018.

F1 · derivative.exercise_date: Option was fully vested.

Read SEC document
August 24, 2018 Filed Aug 25, 2018 01:32 UTC
ROSENFIELD STEPHENEVP, Genl Counsel & Secretary
Exercise / conversionStock Option (Right to Buy) · Derivative 425,000 $0.00 Strike: $2.14 $0.00
Disclosure

SEC source: 0000886744-18-000045 · edgar.xml · derivative · entry 16

ROSENFIELD STEPHEN · CIK 0001238623 · EVP, Genl Counsel & Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 425,000 shares

Expires 2022-02-16

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.

F5 · kind: This transaction was conducted pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on July 13, 2018.

F1 · derivative.exercise_date: Option was fully vested.

Read SEC document
August 24, 2018 Filed Aug 25, 2018 01:32 UTC
ROSENFIELD STEPHENEVP, Genl Counsel & Secretary
Exercise / conversionStock Option (Right to Buy) · Derivative 36,000 $0.00 Strike: $2.22 $0.00
Disclosure

SEC source: 0000886744-18-000045 · edgar.xml · derivative · entry 15

ROSENFIELD STEPHEN · CIK 0001238623 · EVP, Genl Counsel & Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 36,000 shares

Expires 2021-11-01

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.

F5 · kind: This transaction was conducted pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on July 13, 2018.

F1 · derivative.exercise_date: Option was fully vested.

Read SEC document
August 24, 2018 Filed Aug 25, 2018 01:32 UTC
ROSENFIELD STEPHENEVP, Genl Counsel & Secretary
SaleCommon Stock 37,500 $4.51 $169,125.00
Disclosure

SEC source: 0000886744-18-000045 · edgar.xml · nonDerivative · entry 14

ROSENFIELD STEPHEN · CIK 0001238623 · EVP, Genl Counsel & Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

F5 · kind: This transaction was conducted pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on July 13, 2018.

Read SEC document
August 24, 2018 Filed Aug 25, 2018 01:32 UTC
ROSENFIELD STEPHENEVP, Genl Counsel & Secretary
Exercise / conversionCommon Stock 37,500 $2.45 $91,875.00
Disclosure

SEC source: 0000886744-18-000045 · edgar.xml · nonDerivative · entry 13

ROSENFIELD STEPHEN · CIK 0001238623 · EVP, Genl Counsel & Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 37,500

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.

F5 · kind: This transaction was conducted pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on July 13, 2018.

Read SEC document
August 24, 2018 Filed Aug 25, 2018 01:32 UTC
ROSENFIELD STEPHENEVP, Genl Counsel & Secretary
SaleCommon Stock 112,500 $4.51 $507,375.00
Disclosure

SEC source: 0000886744-18-000045 · edgar.xml · nonDerivative · entry 12

ROSENFIELD STEPHEN · CIK 0001238623 · EVP, Genl Counsel & Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

F5 · kind: This transaction was conducted pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on July 13, 2018.

Read SEC document
August 24, 2018 Filed Aug 25, 2018 01:32 UTC
ROSENFIELD STEPHENEVP, Genl Counsel & Secretary
Exercise / conversionCommon Stock 112,500 $2.15 $241,875.00
Disclosure

SEC source: 0000886744-18-000045 · edgar.xml · nonDerivative · entry 11

ROSENFIELD STEPHEN · CIK 0001238623 · EVP, Genl Counsel & Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 112,500

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.

F5 · kind: This transaction was conducted pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on July 13, 2018.

Read SEC document
August 24, 2018 Filed Aug 25, 2018 01:32 UTC
ROSENFIELD STEPHENEVP, Genl Counsel & Secretary
SaleCommon Stock 131,250 $4.51 $591,937.50
Disclosure

SEC source: 0000886744-18-000045 · edgar.xml · nonDerivative · entry 10

ROSENFIELD STEPHEN · CIK 0001238623 · EVP, Genl Counsel & Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

F5 · kind: This transaction was conducted pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on July 13, 2018.

Read SEC document
August 24, 2018 Filed Aug 25, 2018 01:32 UTC
ROSENFIELD STEPHENEVP, Genl Counsel & Secretary
Exercise / conversionCommon Stock 131,250 $2.54 $333,375.00
Disclosure

SEC source: 0000886744-18-000045 · edgar.xml · nonDerivative · entry 9

ROSENFIELD STEPHEN · CIK 0001238623 · EVP, Genl Counsel & Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 131,250

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.

F5 · kind: This transaction was conducted pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on July 13, 2018.

Read SEC document
August 24, 2018 Filed Aug 25, 2018 01:32 UTC
ROSENFIELD STEPHENEVP, Genl Counsel & Secretary
SaleCommon Stock 420,000 $4.51 $1,894,200.00
Disclosure

SEC source: 0000886744-18-000045 · edgar.xml · nonDerivative · entry 8

ROSENFIELD STEPHEN · CIK 0001238623 · EVP, Genl Counsel & Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

F5 · kind: This transaction was conducted pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on July 13, 2018.

Read SEC document
August 24, 2018 Filed Aug 25, 2018 01:32 UTC
ROSENFIELD STEPHENEVP, Genl Counsel & Secretary
Exercise / conversionCommon Stock 420,000 $1.51 $634,200.00
Disclosure

SEC source: 0000886744-18-000045 · edgar.xml · nonDerivative · entry 7

ROSENFIELD STEPHEN · CIK 0001238623 · EVP, Genl Counsel & Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 420,000

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.

F5 · kind: This transaction was conducted pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on July 13, 2018.

Read SEC document
August 24, 2018 Filed Aug 25, 2018 01:32 UTC
ROSENFIELD STEPHENEVP, Genl Counsel & Secretary
SaleCommon Stock 200,000 $4.51 $902,000.00
Disclosure

SEC source: 0000886744-18-000045 · edgar.xml · nonDerivative · entry 6

ROSENFIELD STEPHEN · CIK 0001238623 · EVP, Genl Counsel & Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

F5 · kind: This transaction was conducted pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on July 13, 2018.

Read SEC document
August 24, 2018 Filed Aug 25, 2018 01:32 UTC
ROSENFIELD STEPHENEVP, Genl Counsel & Secretary
Exercise / conversionCommon Stock 200,000 $1.41 $282,000.00
Disclosure

SEC source: 0000886744-18-000045 · edgar.xml · nonDerivative · entry 5

ROSENFIELD STEPHEN · CIK 0001238623 · EVP, Genl Counsel & Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 200,000

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.

F5 · kind: This transaction was conducted pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on July 13, 2018.

Read SEC document
August 24, 2018 Filed Aug 25, 2018 01:32 UTC
ROSENFIELD STEPHENEVP, Genl Counsel & Secretary
SaleCommon Stock 425,000 $4.51 $1,916,750.00
Disclosure

SEC source: 0000886744-18-000045 · edgar.xml · nonDerivative · entry 4

ROSENFIELD STEPHEN · CIK 0001238623 · EVP, Genl Counsel & Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

F5 · kind: This transaction was conducted pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on July 13, 2018.

Read SEC document
August 24, 2018 Filed Aug 25, 2018 01:32 UTC
ROSENFIELD STEPHENEVP, Genl Counsel & Secretary
Exercise / conversionCommon Stock 425,000 $2.14 $909,500.00
Disclosure

SEC source: 0000886744-18-000045 · edgar.xml · nonDerivative · entry 3

ROSENFIELD STEPHEN · CIK 0001238623 · EVP, Genl Counsel & Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 425,000

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.

F5 · kind: This transaction was conducted pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on July 13, 2018.

Read SEC document
August 24, 2018 Filed Aug 25, 2018 01:32 UTC
ROSENFIELD STEPHENEVP, Genl Counsel & Secretary
SaleCommon Stock 36,000 $4.51 $162,360.00
Disclosure

SEC source: 0000886744-18-000045 · edgar.xml · nonDerivative · entry 2

ROSENFIELD STEPHEN · CIK 0001238623 · EVP, Genl Counsel & Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

F5 · kind: This transaction was conducted pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on July 13, 2018.

Read SEC document
August 24, 2018 Filed Aug 25, 2018 01:32 UTC
ROSENFIELD STEPHENEVP, Genl Counsel & Secretary
Exercise / conversionCommon Stock 36,000 $2.22 $79,920.00
Disclosure

SEC source: 0000886744-18-000045 · edgar.xml · nonDerivative · entry 1

ROSENFIELD STEPHEN · CIK 0001238623 · EVP, Genl Counsel & Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 36,000

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.

F5 · kind: This transaction was conducted pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on July 13, 2018.

Read SEC document
June 29, 2018 Filed Jul 2, 2018 22:42 UTC GrantCommon Stock 2,095 $0.00 $0.00
Disclosure

SEC source: 0000886744-18-000042 · edgar.xml · nonDerivative · entry 1

Spiegel Robert J. · CIK 0001492256 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 65,576

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 29, 2018 of $3.43 per share.

F1 · shares: Shares issued in lieu of cash payment for quarterly board of directors retainer fee. Number of shares issued based on close price on June 29, 2018 of $3.43 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 29, 2018 of $3.43 per share.

Read SEC document
June 29, 2018 Filed Jul 2, 2018 22:37 UTC GrantCommon Stock 3,827 $0.00 $0.00
Disclosure

SEC source: 0000886744-18-000041 · edgar.xml · nonDerivative · entry 1

Molineaux Susan · CIK 0001553389 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · Family Trust

Disclosed balance after: 87,398

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 29, 2018 of $3.43 per share.

F1 · shares: Shares issued in lieu of cash payment for quarterly board of directors retainer fee. Number of shares issued based on close price on June 29, 2018 of $3.43 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 29, 2018 of $3.43 per share.

Read SEC document
June 29, 2018 Filed Jul 2, 2018 22:31 UTC GrantCommon Stock 4,373 $0.00 $0.00
Disclosure

SEC source: 0000886744-18-000040 · edgar.xml · nonDerivative · entry 1

BRADBURY DANIEL · CIK 0001236397 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · Family Trust

Disclosed balance after: 18,764

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 29, 2018 of $3.43 per share.

F1 · shares: Shares issued in lieu of cash payment for quarterly board of directors retainer fee. Number of shares issued based on close price on June 29, 2018 of $3.43 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 29, 2018 of $3.43 per share.

Read SEC document
May 15, 2018 Filed May 17, 2018 20:50 UTC GrantStock Option (right to buy) · Derivative 70,000 $0.00 Strike: $3.43 $0.00
Disclosure

SEC source: 0000886744-18-000036 · edgar.xml · derivative · entry 1

Spiegel Robert J. · CIK 0001492256 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 70,000

Underlying: Common Stock · 70,000 shares

Expires 2028-05-14

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 15, 2018 Filed May 17, 2018 20:48 UTC GrantStock Option (right to buy) · Derivative 70,000 $0.00 Strike: $3.43 $0.00
Disclosure

SEC source: 0000886744-18-000035 · edgar.xml · derivative · entry 1

Molineaux Susan · CIK 0001553389 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 70,000

Underlying: Common Stock · 70,000 shares

Expires 2028-05-14

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 15, 2018 Filed May 17, 2018 20:45 UTC GrantStock Option (right to buy) · Derivative 70,000 $0.00 Strike: $3.43 $0.00
Disclosure

SEC source: 0000886744-18-000034 · edgar.xml · derivative · entry 1

LAWLIS V BRYAN · CIK 0001247681 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 70,000

Underlying: Common Stock · 70,000 shares

Expires 2028-05-14

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 15, 2018 Filed May 17, 2018 20:40 UTC GrantStock Option (right to buy) · Derivative 70,000 $0.00 Strike: $3.43 $0.00
Disclosure

SEC source: 0000886744-18-000032 · edgar.xml · derivative · entry 1

EASTHAM KARIN · CIK 0001231845 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 70,000

Underlying: Common Stock · 70,000 shares

Expires 2028-05-14

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 15, 2018 Filed May 17, 2018 20:42 UTC
Huh HoyoungDirector
GrantStock Option (right to buy) · Derivative 70,000 $0.00 Strike: $3.43 $0.00
Disclosure

SEC source: 0000886744-18-000033 · edgar.xml · derivative · entry 1

Huh Hoyoung · CIK 0001401267 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 70,000

Underlying: Common Stock · 70,000 shares

Expires 2028-05-14

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 15, 2018 Filed May 17, 2018 20:36 UTC GrantStock Option (right to buy) · Derivative 70,000 $0.00 Strike: $3.43 $0.00
Disclosure

SEC source: 0000886744-18-000031 · edgar.xml · derivative · entry 1

BRADBURY DANIEL · CIK 0001236397 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 70,000

Underlying: Common Stock · 70,000 shares

Expires 2028-05-14

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 29, 2018 Filed Mar 30, 2018 22:11 UTC GrantCommon Stock 1,691 $0.00 $0.00
Disclosure

SEC source: 0000886744-18-000024 · edgar.xml · nonDerivative · entry 1

Spiegel Robert J. · CIK 0001492256 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 63,481

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 29, 2018 of $4.25 per share.

F1 · shares: Shares issued in lieu of cash payment for quarterly board of directors retainer fee. Number of shares issued based on close price on March 29, 2018 of $4.25 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 29, 2018 of $4.25 per share.

Read SEC document
March 29, 2018 Filed Mar 30, 2018 22:06 UTC GrantCommon Stock 3,088 $0.00 $0.00
Disclosure

SEC source: 0000886744-18-000023 · edgar.xml · nonDerivative · entry 1

Molineaux Susan · CIK 0001553389 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · Family Trust

Disclosed balance after: 83,571

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 29, 2018 of $4.25 per share.

F1 · shares: Shares issued in lieu of cash payment for quarterly board of directors retainer fee. Number of shares issued based on close price on March 29, 2018 of $4.25 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 29, 2018 of $4.25 per share.

Read SEC document
March 29, 2018 Filed Mar 30, 2018 22:03 UTC GrantCommon Stock 3,529 $0.00 $0.00
Disclosure

SEC source: 0000886744-18-000022 · edgar.xml · nonDerivative · entry 1

BRADBURY DANIEL · CIK 0001236397 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · Family Trust

Disclosed balance after: 14,391

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 29, 2018 of $4.25 per share.

F1 · shares: Shares issued in lieu of cash payment for quarterly board of directors retainer fee. Number of shares issued based on close price on March 29, 2018 of $4.25 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 29, 2018 of $4.25 per share.

Read SEC document
January 31, 2018 Filed Feb 2, 2018 23:10 UTC
SCARLETT JOHN ADirector · President and CEO
GrantEmployee Stock Option (right to buy) · Derivative 1,050,000 $0.00 Strike: $2.45 $0.00
Disclosure

SEC source: 0000886744-18-000018 · edgar.xml · derivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,050,000

Underlying: Common Stock · 1,050,000 shares

Expires 2028-01-31

F1 · derivative.exercise_date: This option vests in a series of 48 consecutive equal monthly installments commencing January 31, 2018 provided the optionee continues to provide services to the Company.

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January 31, 2018 Filed Feb 2, 2018 23:08 UTC
ROSENFIELD STEPHENEVP, Genl Counsel & Secretary
GrantEmployee Stock Option (right to buy) · Derivative 300,000 $0.00 Strike: $2.45 $0.00
Disclosure

SEC source: 0000886744-18-000017 · edgar.xml · derivative · entry 1

ROSENFIELD STEPHEN · CIK 0001238623 · EVP, Genl Counsel & Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 300,000

Underlying: Common Stock · 300,000 shares

Expires 2028-01-31

F1 · derivative.exercise_date: This option vests in a series of 48 consecutive equal monthly installments commencing January 31, 2018 provided the optionee continues to provide services to the Company.

Read SEC document
January 31, 2018 Filed Feb 2, 2018 23:08 UTC
GRETHLEIN ANDREW JEVP, Technical Operations
GrantEmployee Stock Option (right to buy) · Derivative 300,000 $0.00 Strike: $2.45 $0.00
Disclosure

SEC source: 0000886744-18-000016 · edgar.xml · derivative · entry 1

GRETHLEIN ANDREW J · CIK 0001270921 · EVP, Technical Operations

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 300,000

Underlying: Common Stock · 300,000 shares

Expires 2028-01-31

F1 · derivative.exercise_date: This option vests in a series of 48 consecutive equal monthly installments commencing January 31, 2018 provided the optionee continues to provide services to the Company.

Read SEC document
January 31, 2018 Filed Feb 2, 2018 23:06 UTC
Bloom Olivia KyusukEVP, Chief Financial Officer
GrantEmployee Stock Option (right to buy) · Derivative 350,000 $0.00 Strike: $2.45 $0.00
Disclosure

SEC source: 0000886744-18-000015 · edgar.xml · derivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 350,000

Underlying: Common Stock · 350,000 shares

Expires 2028-01-31

F1 · derivative.exercise_date: This option vests in a series of 48 consecutive equal monthly installments commencing January 31, 2018 provided the optionee continues to provide services to the Company.

Read SEC document
January 31, 2018 Filed Feb 2, 2018 23:05 UTC
BEHRS MELISSA KELLYEVP Portfolio & Alliance Mgmt
GrantEmployee Stock Option (right to buy) · Derivative 300,000 $0.00 Strike: $2.45 $0.00
Disclosure

SEC source: 0000886744-18-000014 · edgar.xml · derivative · entry 1

BEHRS MELISSA KELLY · CIK 0001187032 · EVP Portfolio & Alliance Mgmt

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 300,000

Underlying: Common Stock · 300,000 shares

Expires 2028-01-31

F1 · derivative.exercise_date: This option vests in a series of 48 consecutive equal monthly installments commencing January 31, 2018 provided the optionee continues to provide services to the Company.

Read SEC document
December 29, 2017 Filed Jan 2, 2018 23:28 UTC GrantCommon Stock 3,993 $0.00 $0.00
Disclosure

SEC source: 0000886744-18-000003 · edgar.xml · nonDerivative · entry 1

Spiegel Robert J. · CIK 0001492256 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 61,790

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 December 29, 2017 of $1.80 per share.

F1 · shares: Shares issued in lieu of cash payment for quarterly board of directors retainer fee. Number of shares issued based on close price on December 29, 2017 of $1.80 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 December 29, 2017 of $1.80 per share.

Read SEC document
December 29, 2017 Filed Jan 2, 2018 23:21 UTC GrantCommon Stock 7,292 $0.00 $0.00
Disclosure

SEC source: 0000886744-18-000002 · edgar.xml · nonDerivative · entry 1

Molineaux Susan · CIK 0001553389 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · Family Trust

Disclosed balance after: 80,483

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 December 29, 2017 of $1.80 per share.

F1 · shares: Shares issued in lieu of cash payment for quarterly board of directors retainer fee. Number of shares issued based on close price on December 29, 2017 of $1.80 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 December 29, 2017 of $1.80 per share.

Read SEC document
December 29, 2017 Filed Jan 2, 2018 23:13 UTC
Huh HoyoungDirector
GrantCommon Stock 10,764 $0.00 $0.00
Disclosure

SEC source: 0000886744-18-000001 · edgar.xml · nonDerivative · entry 1

Huh Hoyoung · CIK 0001401267 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 154,301

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 December 29, 2017 of $1.80 per share.

F1 · shares: Shares issued in lieu of cash payment for quarterly board of directors retainer fee. Number of shares issued based on close price on December 29, 2017 of $1.80 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 December 29, 2017 of $1.80 per share.

Read SEC document
September 29, 2017 Filed Oct 2, 2017 21:41 UTC GrantCommon Stock 3,297 $0.00 $0.00
Disclosure

SEC source: 0000886744-17-000043 · edgar.xml · nonDerivative · entry 1

Spiegel Robert J. · CIK 0001492256 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 57,797

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 29, 2017 of $2.18 per share.

F1 · shares: Shares issued in lieu of cash payment for quarterly board of directors retainer fee. Number of shares issued based on close price on September 29, 2017 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 September 29, 2017 of $2.18 per share.

Read SEC document
September 29, 2017 Filed Oct 2, 2017 21:32 UTC GrantCommon Stock 6,021 $0.00 $0.00
Disclosure

SEC source: 0000886744-17-000042 · edgar.xml · nonDerivative · entry 1

Molineaux Susan · CIK 0001553389 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · Family Trust

Disclosed balance after: 73,191

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 29, 2017 of $2.18 per share.

F1 · shares: Shares issued in lieu of cash payment for quarterly board of directors retainer fee. Number of shares issued based on close price on September 29, 2017 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 September 29, 2017 of $2.18 per share.

Read SEC document
September 29, 2017 Filed Oct 2, 2017 21:25 UTC
Huh HoyoungDirector
GrantCommon Stock 8,888 $0.00 $0.00
Disclosure

SEC source: 0000886744-17-000041 · edgar.xml · nonDerivative · entry 1

Huh Hoyoung · CIK 0001401267 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 143,537

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 29, 2017 of $2.18 per share.

F1 · shares: Shares issued in lieu of cash payment for quarterly board of directors retainer fee. Number of shares issued based on close price on September 29, 2017 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 September 29, 2017 of $2.18 per share.

Read SEC document

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