Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| GERON CORPGERN · Entity 4989 | EVP, Chief Legal Off & Sec | February 16, 2022 | February 18, 2022 |
Disclosed balances
About these balances
Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.
GERON CORP
Report date February 16, 2022 · Filed February 18, 2022
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Employee Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $1.06 · Expires 2032-02-15 | Direct | 750,000 |
Reported balance
After 2022-02-16 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2022-02-16 · Grant · Acquired 750,000 · Balance 750,000 F1: 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. |
Filing footnotes · ownership attribution and instrument terms
F1: 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.
Transaction history
JSON APIPurchases/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 date | Company | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| February 16, 2022 Filed Feb 18, 2022 23:07 UTC | GERON CORP GERN · Entity 4989 | GrantEmployee Stock Option (right to buy) · Derivative | 750,000 | $0.00 Strike: $1.06 | $0.00 |
DisclosureSEC 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 02, 2021 Filed Feb 5, 2021 00:47 UTC | GERON CORP GERN · Entity 4989 | GrantEmployee Stock Option (Right to buy) · Derivative | 300,000 | $0.00 Strike: $2.06 | $0.00 |
DisclosureSEC 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 12, 2020 Filed Feb 15, 2020 00:08 UTC | GERON CORP GERN · Entity 4989 | GrantEmployee Stock Option (right to buy) · Derivative | 291,375 | $0.00 Strike: $1.30 | $0.00 |
DisclosureSEC source: 0000886744-20-000018 · edgar.xml · derivative · entry 1 ROSENFIELD STEPHEN · CIK 0001238623 · EVP, Chief Legal Off & Sec 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 291,375 Underlying: Common Stock · 291,375 shares Expires 2030-02-11 F1 · derivative.exercise_date: This option vests in a series of 48 consecutive equal monthly installments commencing February 12, 2020 provided the optionee continues to provide services to the Company. Read SEC document |
| January 30, 2019 Filed Feb 1, 2019 23:45 UTC | GERON CORP GERN · Entity 4989 | GrantEmployee Stock Option (right to buy) · Derivative | 300,000 | $0.00 Strike: $1.03 | $0.00 |
DisclosureSEC source: 0000886744-19-000021 · edgar.xml · derivative · entry 1 ROSENFIELD STEPHEN · CIK 0001238623 · EVP, Chief Legal Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 300,000 Underlying: Common Stock · 300,000 shares Expires 2029-01-29 F1 · derivative.exercise_date: This option vests in a series of 48 consecutive equal monthly installments commencing January 30, 2019 provided the optionee continues to provide services to the Company. Read SEC document |
| August 24, 2018 Filed Aug 25, 2018 01:32 UTC | GERON CORP GERN · Entity 4989 | Exercise / conversionStock Option (Right to Buy) · Derivative | 37,500 | $0.00 Strike: $2.45 | $0.00 |
DisclosureSEC 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 | GERON CORP GERN · Entity 4989 | Exercise / conversionStock Option (Right to Buy) · Derivative | 112,500 | $0.00 Strike: $2.15 | $0.00 |
DisclosureSEC 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 | GERON CORP GERN · Entity 4989 | Exercise / conversionStock Option (Right to Buy) · Derivative | 131,250 | $0.00 Strike: $2.54 | $0.00 |
DisclosureSEC 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 | GERON CORP GERN · Entity 4989 | Exercise / conversionStock Option (Right to Buy) · Derivative | 420,000 | $0.00 Strike: $1.51 | $0.00 |
DisclosureSEC 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 | GERON CORP GERN · Entity 4989 | Exercise / conversionStock Option (Right to Buy) · Derivative | 200,000 | $0.00 Strike: $1.41 | $0.00 |
DisclosureSEC 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 | GERON CORP GERN · Entity 4989 | Exercise / conversionStock Option (Right to Buy) · Derivative | 425,000 | $0.00 Strike: $2.14 | $0.00 |
DisclosureSEC 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 | GERON CORP GERN · Entity 4989 | Exercise / conversionStock Option (Right to Buy) · Derivative | 36,000 | $0.00 Strike: $2.22 | $0.00 |
DisclosureSEC 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 | GERON CORP GERN · Entity 4989 | SaleCommon Stock | 37,500 | $4.51 | $169,125.00 |
DisclosureSEC 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 | GERON CORP GERN · Entity 4989 | Exercise / conversionCommon Stock | 37,500 | $2.45 | $91,875.00 |
DisclosureSEC 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 | GERON CORP GERN · Entity 4989 | SaleCommon Stock | 112,500 | $4.51 | $507,375.00 |
DisclosureSEC 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 | GERON CORP GERN · Entity 4989 | Exercise / conversionCommon Stock | 112,500 | $2.15 | $241,875.00 |
DisclosureSEC 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 | GERON CORP GERN · Entity 4989 | SaleCommon Stock | 131,250 | $4.51 | $591,937.50 |
DisclosureSEC 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 | GERON CORP GERN · Entity 4989 | Exercise / conversionCommon Stock | 131,250 | $2.54 | $333,375.00 |
DisclosureSEC 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 | GERON CORP GERN · Entity 4989 | SaleCommon Stock | 420,000 | $4.51 | $1,894,200.00 |
DisclosureSEC 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 | GERON CORP GERN · Entity 4989 | Exercise / conversionCommon Stock | 420,000 | $1.51 | $634,200.00 |
DisclosureSEC 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 | GERON CORP GERN · Entity 4989 | SaleCommon Stock | 200,000 | $4.51 | $902,000.00 |
DisclosureSEC 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 | GERON CORP GERN · Entity 4989 | Exercise / conversionCommon Stock | 200,000 | $1.41 | $282,000.00 |
DisclosureSEC 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 | GERON CORP GERN · Entity 4989 | SaleCommon Stock | 425,000 | $4.51 | $1,916,750.00 |
DisclosureSEC 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 | GERON CORP GERN · Entity 4989 | Exercise / conversionCommon Stock | 425,000 | $2.14 | $909,500.00 |
DisclosureSEC 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 | GERON CORP GERN · Entity 4989 | SaleCommon Stock | 36,000 | $4.51 | $162,360.00 |
DisclosureSEC 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 | GERON CORP GERN · Entity 4989 | Exercise / conversionCommon Stock | 36,000 | $2.22 | $79,920.00 |
DisclosureSEC 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 |
| January 31, 2018 Filed Feb 2, 2018 23:08 UTC | GERON CORP GERN · Entity 4989 | GrantEmployee Stock Option (right to buy) · Derivative | 300,000 | $0.00 Strike: $2.45 | $0.00 |
DisclosureSEC 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 |
| February 09, 2017 Filed Feb 11, 2017 01:07 UTC | GERON CORP GERN · Entity 4989 | GrantEmployee Stock Option (right to buy) · Derivative | 300,000 | $0.00 Strike: $2.15 | $0.00 |
DisclosureSEC source: 0000886744-17-000011 · 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 2027-02-09 F1 · 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 |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.