UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | SEC 1473 (7-02) | ||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. |
1. Title of Derivative Security (Instr. 4) |
2. Date Exercisable and Expiration Date (Month/Day/Year) |
3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) |
4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 5) |
6. Nature of Indirect Beneficial Ownership (Instr. 5) |
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Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
Stock Option (right to buy) | Â (2) | 04/20/2021 | Common Stock | 100,000 | $ 4.9 | D | Â |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Nallicheri Melanie I C/O GERON CORPORATION 230 CONSTITUTION DRIVE MENLO PARK, CA 94025 |
 |  |  SVP Corp Dev |  |
/s/ Olivia Bloom for Melanie I. Nallicheri | 05/23/2011 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 5(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
(1) | The shares of restricted stock will remain subject to a repurchase right of Geron until April 1, 2013, at which time such repurchase right will lapse. The lapse of Geron's repurchase right is conditioned on the executive continuing to provide services to Geron until the full vesting date of April 1, 2013. |
(2) | This option is exercisable in a series of installments commencing on April 1, 2011 with one-eighth (1/8) of the total number of shares vesting after six (6) months, and the balance of option shares vesting in a series of forty-two (42) equal and consecutive monthly installments of whole shares over the period thereafter, provided the optionee continues to provide services to the Company. |