<SEC-DOCUMENT>0001206774-16-006484.txt : 20160725
<SEC-HEADER>0001206774-16-006484.hdr.sgml : 20160725
<ACCEPTANCE-DATETIME>20160725080059
ACCESSION NUMBER:		0001206774-16-006484
CONFORMED SUBMISSION TYPE:	8-K
PUBLIC DOCUMENT COUNT:		1
CONFORMED PERIOD OF REPORT:	20160722
ITEM INFORMATION:		Other Events
FILED AS OF DATE:		20160725
DATE AS OF CHANGE:		20160725

FILER:

	COMPANY DATA:	
		COMPANY CONFORMED NAME:			GERON CORP
		CENTRAL INDEX KEY:			0000886744
		STANDARD INDUSTRIAL CLASSIFICATION:	PHARMACEUTICAL PREPARATIONS [2834]
		IRS NUMBER:				752287752
		STATE OF INCORPORATION:			DE
		FISCAL YEAR END:			1231

	FILING VALUES:
		FORM TYPE:		8-K
		SEC ACT:		1934 Act
		SEC FILE NUMBER:	000-20859
		FILM NUMBER:		161781032

	BUSINESS ADDRESS:	
		STREET 1:		149 COMMONWEALTH DRIVE
		STREET 2:		SUITE 2070
		CITY:			MENLO PARK
		STATE:			CA
		ZIP:			94025
		BUSINESS PHONE:		6504737700

	MAIL ADDRESS:	
		STREET 1:		149 COMMONWEALTH DRIVE
		STREET 2:		SUITE 2070
		CITY:			MENLO PARK
		STATE:			CA
		ZIP:			94025

	FORMER COMPANY:	
		FORMER CONFORMED NAME:	GERON CORPORATION
		DATE OF NAME CHANGE:	19960521
</SEC-HEADER>
<DOCUMENT>
<TYPE>8-K
<SEQUENCE>1
<FILENAME>geron29174615_3-8k.htm
<DESCRIPTION>CURRENT REPORT
<TEXT>

<HTML>
<HEAD>
   <TITLE></TITLE>
</HEAD>

<BODY bgcolor=#ffffff>
<BR>
<P align=center><B><FONT face="Times New Roman" size=2>UNITED STATES
<BR></FONT></B><B><FONT face="Times New Roman" size=2>SECURITIES AND EXCHANGE
COMMISSION<BR>WASHINGTON, D.C. 20549 <BR>___________<BR></FONT></B></P>
<P align=center><B><FONT face="Times New Roman" size=2>FORM 8-K </FONT></B></P>
<P align=center><B><FONT face="Times New Roman" size=2>CURRENT
REPORT<BR></FONT></B><B><FONT face="Times New Roman" size=2>PURSUANT TO SECTION
13 OR 15(d) OF THE <BR>SECURITIES EXCHANGE ACT OF 1934</FONT></B><FONT face="Times New Roman" size=2> </FONT></P>
<P align=center><FONT face="Times New Roman" size=2>Date of Report (Date of
Earliest Event Reported): </FONT><B><FONT face="Times New Roman" size=2>July 22,
2016 </FONT></B></P>
<P align=center><B><FONT face="Times New Roman" size=2>GERON
CORPORATION</FONT></B><FONT face="Times New Roman" size=2> <BR></FONT><FONT face="Times New Roman" size=2>(Exact name of registrant as specified in its
charter) </FONT></P>
<TABLE style="LINE-HEIGHT: 14pt; BORDER-COLLAPSE: collapse" cellSpacing=0 cellPadding=0 width="100%" border=0>

  <TR vAlign=bottom>
    <TD style="TEXT-ALIGN: center" noWrap width="33%"><B><FONT face="Times New Roman" size=2>Delaware</FONT></B></TD>
    <TD style="TEXT-ALIGN: center" noWrap width="41%"><B><FONT face="Times New Roman" size=2>0-20859</FONT></B></TD>
    <TD noWrap align=left width="25%"><B><FONT face="Times New Roman" size=2>&nbsp;&nbsp;&nbsp; 75-2287752</FONT></B></TD></TR>
  <TR vAlign=bottom>
    <TD style="TEXT-ALIGN: center" noWrap width="33%"><FONT face="Times New Roman" size=2>(State or other jurisdiction</FONT></TD>
    <TD style="TEXT-ALIGN: center" noWrap width="41%"><FONT face="Times New Roman" size=2>(Commission File Number)</FONT></TD>
    <TD noWrap align=left width="25%"><FONT face="Times New Roman" size=2>(IRS
      Employer</FONT></TD></TR>
  <TR vAlign=bottom>
    <TD style="TEXT-ALIGN: center" noWrap width="33%"><FONT face="Times New Roman" size=2>of incorporation)</FONT></TD>
    <TD noWrap align=left width="41%"></TD>
    <TD noWrap align=left width="25%"><FONT face="Times New Roman" size=2>Identification No.)</FONT></TD></TR></TABLE><BR>
<P align=center><B><FONT face="Times New Roman" size=2>149 COMMONWEALTH DRIVE,
SUITE 2070 <BR>MENLO PARK, CALIFORNIA 94025 <BR></FONT></B><FONT face="Times New Roman" size=2>(Address of principal executive offices, including
zip code) </FONT></P>
<P align=center><B><FONT face="Times New Roman" size=2>(650)
473-7700<BR></FONT></B><FONT face="Times New Roman" size=2>(Registrant's
telephone number, including area code) </FONT></P>
<P align=center><B><FONT face="Times New Roman" size=2>N/A <BR></FONT></B><FONT face="Times New Roman" size=2>(Former name or former address, if changed since
last report) </FONT></P>
<P align=left><FONT face="Times New Roman" size=2>Check the appropriate box
below if the Form 8-K filing is intended to simultaneously satisfy the filing
obligation of the registrant under any of the following provisions: </FONT></P>
<TABLE style="FONT-SIZE: 10pt" cellSpacing=0 cellPadding=0 width="100%" border=0>

  <TR>
    <TD vAlign=top width="1%">&#9744;</TD>
    <TD vAlign=top width="1%">&nbsp;&nbsp;&nbsp;&nbsp;&nbsp; </TD>
    <TD vAlign=top width="97%">Written communications pursuant to Rule 425
      under the Securities Act (17 CFR 230.425)</TD></TR>
  <TR>
    <TD vAlign=top width="1%"></TD>
    <TD vAlign=top width="1%"></TD>
    <TD vAlign=top width="97%">&nbsp;</TD></TR>
  <TR>
    <TD vAlign=top width="1%">&#9744;</TD>
    <TD vAlign=top width="1%"></TD>
    <TD vAlign=top width="97%">Soliciting material pursuant to Rule 14a-12
      under the Exchange Act (17 CFR 240.14a-12)</TD></TR>
  <TR>
    <TD vAlign=top width="1%"></TD>
    <TD vAlign=top width="1%"></TD>
    <TD vAlign=top width="97%">&nbsp;</TD></TR>
  <TR>
    <TD vAlign=top width="1%">&#9744;</TD>
    <TD vAlign=top width="1%"></TD>
    <TD vAlign=top width="97%">Pre-commencement communications pursuant to
      Rule 14d-2(b) under the Exchange Act (17 <FONT face="Times New Roman" size=2>CFR 240.14d-2(b))</FONT></TD></TR>
  <TR>
    <TD vAlign=top width="1%"></TD>
    <TD vAlign=top width="1%"></TD>
    <TD vAlign=top width="97%">&nbsp;</TD></TR>
  <TR>
    <TD vAlign=top width="1%">&#9744;</TD>
    <TD vAlign=top width="1%"></TD>
    <TD vAlign=top width="97%">Pre-commencement communications pursuant to
      Rule 13e-4(c) under the Exchange Act (17 <FONT face="Times New Roman" size=2>CFR 240.13e-4(c))</FONT></TD></TR></TABLE><BR>
<HR align=center width="100%" noShade SIZE=2>

<DIV style="PAGE-BREAK-BEFORE: always"></DIV><BR>
<P align=left><B><FONT face="Times New Roman" size=2>Item 8.01 Other
Events.</FONT></B><FONT face="Times New Roman" size=2> </FONT></P>
<P align=left><FONT face="Times New Roman" size=2>On July 22, 2016, Geron
Corporation (the &#147;Company&#148; or &#147;Geron&#148;) entered into a stipulation of settlement
that will resolve (i) the consolidated state derivative lawsuits titled
</FONT><I><FONT face="Times New Roman" size=2>Oriente v. Scarlett, et al.,
</FONT></I><FONT face="Times New Roman" size=2>Case No. CIV 528121 and
</FONT><I><FONT face="Times New Roman" size=2>Cavel v. Scarlett, et al.,
</FONT></I><FONT face="Times New Roman" size=2>Case No. CIV 535151, pending in
the Superior Court of the State of California, County of San Mateo
(collectively, the &#147;State Derivative Action&#148;), and (ii) the consolidated federal
derivative lawsuits titled </FONT><I><FONT face="Times New Roman" size=2>DiLaura
v. Scarlett, et al., </FONT></I><FONT face="Times New Roman" size=2>Case No.
4:15-CV-02989 and </FONT><I><FONT face="Times New Roman" size=2>Haddock v.
Scarlett, et al., </FONT></I><FONT face="Times New Roman" size=2>Case No.
3:15-CV-03007, pending in the United States District Court, Northern District of
California (collectively, the &#147;Federal Derivative Action&#148;). The State Derivative
Action and the Federal Derivative Action are referred to collectively as the
Derivative Actions. Geron&#146;s current and former employees and directors named as
individual defendants in the Derivative Actions have also entered into the
stipulation of settlement. The stipulation of settlement remains subject to
preliminary and final approval by the Superior Court of the State of California,
County of San Mateo (the &#147;Superior Court of California&#148;).</FONT></P>
<P align=left><FONT face="Times New Roman" size=2>If the settlement is approved
preliminarily by the Superior Court of California, Geron&#146;s stockholders will be
notified of the proposed settlement and the procedure by which they can object
to the settlement. The settlement will then be subject to final approval by the
Superior Court of California.</FONT></P>
<P align=left><FONT face="Times New Roman" size=2>Subject to final approval of
the settlement by the Superior Court of California, and in exchange for a
release of all claims by the plaintiffs to the Derivative Actions and a dismissal of the Derivative Actions with prejudice, the Company has agreed
to (i) implement certain corporate governance refinements and (ii) instruct the
Company&#146;s insurer to pay the plaintiffs&#146; attorneys a total of $950,000 United
States dollars.</FONT></P>
<P align=left><FONT face="Times New Roman" size=2>The stipulation of settlement
does not involve the stockholder class actions consolidated under the caption
</FONT><I><FONT face="Times New Roman" size=2>In re: Geron Corporation
Securities Litigation</FONT></I><FONT face="Times New Roman" size=2>, Case No.
3:14-CV-01224-CRB, which is currently pending in the United States District
Court, Northern District of California.</FONT></P>
<P align=left><B><FONT face="Times New Roman" size=2>Use of Forward-Looking
Statements</FONT></B></P>
<P align=left><FONT face="Times New Roman" size=2>Except for the historical
information contained herein, this Form 8-K contains forward-looking statements
made pursuant to the &#147;safe harbor&#148; provisions of the Private Securities
Litigation Reform Act of 1995. Investors are cautioned that statements in this
Form 8-K regarding: (i) the stipulation of settlement, (ii) the impact of such
settlement, including related activities, approvals and payments, and (iii)
other statements that are not historical facts, constitute forward-looking
statements. These statements involve risks and uncertainties that can cause
actual results to differ materially from those in such forward-looking
statements. These risks and uncertainties, include, without limitation, risks
and uncertainties related to: (i) the settlement not receiving the requisite
approvals; (ii) the settlement not having the expected impact, including
resolving the Derivative Actions; and (iii) the settlement requiring more
activity or expense than expected. Additional information on the above risks and
uncertainties and additional risks, uncertainties and factors that could cause
actual results to differ materially from those in the forward-looking statements
are contained in Geron&#146;s periodic reports filed with the Securities and Exchange
Commission under the heading &#147;Risk Factors,&#148; including Geron&#146;s quarterly report
on Form 10-Q for the quarter ended March 31, 2016. Undue reliance should not be
placed on forward-looking statements, which speak only as of the date they are
made, and the facts and assumptions underlying the forward-looking statements
may change. Except as required by law, Geron disclaims any obligation to update
these forward-looking statements to reflect future information, events or
circumstances.</FONT></P>
<P align=center><FONT face="Times New Roman" size=2>1 </FONT></P>
<HR align=center width="100%" noShade SIZE=2>

<DIV style="PAGE-BREAK-BEFORE: always"></DIV><BR>
<P align=center><B><FONT face="Times New Roman" size=2>SIGNATURE </FONT></B></P>
<P ALIGN="LEFT" STYLE="text-indent: 15pt"><FONT face="Times New Roman" size=2>Pursuant to the requirements
of the Securities Exchange Act of 1934, the registrant has duly caused this
report to be signed on its behalf by the undersigned hereunto duly authorized.
</FONT></P>
<TABLE style="LINE-HEIGHT: 14pt; BORDER-COLLAPSE: collapse" cellSpacing=0 cellPadding=0 width="100%" border=0>

  <TR vAlign=bottom>
    <TD noWrap align=left width="49%">&nbsp;</TD>
    <TD noWrap align=left width="51%" colSpan=2><FONT face="Times New Roman" size=2>GERON CORPORATION</FONT></TD></TR>
  <TR>
    <TD width="100%" colSpan=3>&nbsp;</TD></TR>
  <TR vAlign=bottom>
    <TD noWrap align=left width="49%"><FONT face="Times New Roman" size=2>Date:&nbsp; July 22, 2016</FONT></TD>
    <TD noWrap align=left width="1%"><FONT face="Times New Roman" size=2>By:&nbsp;</FONT></TD>
    <TD style="BORDER-BOTTOM: #000000 1pt solid" noWrap align=left width="50%"><FONT face="Times New Roman" size=2>/s/ Stephen N.
      Rosenfield</FONT></TD></TR>
  <TR vAlign=bottom>
    <TD noWrap align=left width="49%"></TD>
    <TD noWrap align=left width="1%"></TD>
    <TD noWrap align=left width="50%"><FONT face="Times New Roman" size=2>Stephen N. Rosenfield</FONT></TD></TR>
  <TR vAlign=bottom>
    <TD noWrap align=left width="49%"></TD>
    <TD noWrap align=left width="1%"></TD>
    <TD noWrap align=left width="50%"><FONT face="Times New Roman" size=2>Executive Vice President, General</FONT></TD></TR>
  <TR vAlign=bottom>
    <TD noWrap align=left width="49%"></TD>
    <TD noWrap align=left width="1%"></TD>
    <TD noWrap align=left width="50%"><FONT face="Times New Roman" size=2>Counsel and Corporate Secretary</FONT></TD></TR></TABLE><BR>
<P align=center><FONT face="Times New Roman" size=2>2 </FONT></P>
<HR align=center width="100%" noShade SIZE=2>

</BODY>

</HTML>

</TEXT>
</DOCUMENT>
</SEC-DOCUMENT>
