<SEC-DOCUMENT>0001206774-16-007586.txt : 20161121
<SEC-HEADER>0001206774-16-007586.hdr.sgml : 20161121
<ACCEPTANCE-DATETIME>20161121171522
ACCESSION NUMBER:		0001206774-16-007586
CONFORMED SUBMISSION TYPE:	8-K
PUBLIC DOCUMENT COUNT:		1
CONFORMED PERIOD OF REPORT:	20161118
ITEM INFORMATION:		Other Events
FILED AS OF DATE:		20161121
DATE AS OF CHANGE:		20161121

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:		162011038

	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>geron3126134-8k.htm
<DESCRIPTION>CURRENT REPORT
<TEXT>

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<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>November
18, 2016</FONT></B><FONT face="Times New Roman" size=2> </FONT></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>
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  <TR vAlign=bottom>
    <TD style="WIDTH: 33%; TEXT-ALIGN: center" noWrap><B><FONT face="Times New Roman" size=2>Delaware</FONT></B></TD>
    <TD style="WIDTH: 34%; TEXT-ALIGN: center" noWrap><B><FONT face="Times New Roman" size=2>0-20859</FONT></B></TD>
    <TD style="WIDTH: 33%; TEXT-ALIGN: center" noWrap><B><FONT face="Times New Roman" size=2>75-2287752</FONT></B></TD></TR>
  <TR vAlign=bottom>
    <TD style="WIDTH: 33%; TEXT-ALIGN: center" noWrap><FONT face="Times New Roman" size=2>(State or other jurisdiction</FONT></TD>
    <TD style="WIDTH: 34%; TEXT-ALIGN: center" noWrap><FONT face="Times New Roman" size=2>(Commission File Number)</FONT></TD>
    <TD style="WIDTH: 33%; TEXT-ALIGN: center" noWrap><FONT face="Times New Roman" size=2>(IRS Employer</FONT></TD></TR>
  <TR vAlign=bottom>
    <TD style="WIDTH: 33%; TEXT-ALIGN: center" noWrap><FONT face="Times New Roman" size=2>of incorporation)</FONT></TD>
    <TD style="WIDTH: 34%; TEXT-ALIGN: left" noWrap></TD>
    <TD style="WIDTH: 33%; TEXT-ALIGN: center" noWrap><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&#146;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>
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    <TD style="VERTICAL-ALIGN: top; TEXT-ALIGN: left" noWrap width="2%">&#9744;&nbsp;&nbsp;&nbsp;&nbsp; </TD>
    <TD style="VERTICAL-ALIGN: top; TEXT-ALIGN: left" width="98%"><FONT face="Times New Roman" size=2>Written communications pursuant to Rule 425
      under the Securities Act (17 CFR 230.425)</FONT></TD></TR>
  <TR>
    <TD vAlign=top noWrap align=left width="2%"></TD>
    <TD vAlign=top align=left width="98%">&nbsp;</TD></TR>
  <TR vAlign=bottom>
    <TD style="VERTICAL-ALIGN: top; TEXT-ALIGN: left" noWrap width="2%">&#9744;</TD>
    <TD style="VERTICAL-ALIGN: top; TEXT-ALIGN: left" width="98%"><FONT face="Times New Roman" size=2>Soliciting material pursuant to Rule 14a-12
      under the Exchange Act (17 CFR 240.14a-12)</FONT></TD></TR>
  <TR>
    <TD vAlign=top noWrap align=left width="2%"></TD>
    <TD vAlign=top align=left width="98%">&nbsp;</TD></TR>
  <TR vAlign=bottom>
    <TD style="VERTICAL-ALIGN: top; TEXT-ALIGN: left" noWrap width="2%">&#9744;</TD>
    <TD style="VERTICAL-ALIGN: top; TEXT-ALIGN: left" width="98%"><FONT face="Times New Roman" size=2>Pre-commencement communications pursuant to
      Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))</FONT></TD></TR>
  <TR>
    <TD vAlign=top noWrap align=left width="2%"></TD>
    <TD vAlign=top align=left width="98%">&nbsp;</TD></TR>
  <TR vAlign=bottom>
    <TD style="VERTICAL-ALIGN: top; TEXT-ALIGN: left" noWrap width="2%">&#9744;</TD>
    <TD style="VERTICAL-ALIGN: top; TEXT-ALIGN: left" width="98%"><FONT face="Times New Roman" size=2>Pre-commencement communications pursuant to
      Rule 13e-4(c) under the Exchange Act (17 CFR
  240.13e-4(c))</FONT></TD></TR></TABLE><BR>
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<P align=left><B><FONT face="Times New Roman" size=2>Item 8.01 Other Events.
</FONT></B></P>
<P align=left><FONT face="Times New Roman" size=2>On November 18, 2016, the
Superior Court of the State of California, County of San Mateo (the &#147;Superior
Court of California&#148;) issued an order granting final approval of the settlement
of (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 California (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 &#147;Derivative
Actions&#148;.</FONT></P>
<P align=left><FONT face="Times New Roman" size=2>Pursuant to the Amended
Stipulation of Settlement attached as Exhibit 99.3 to the Current Report on Form
8-K filed by Geron Corporation (the &#147;Company&#148; or &#147;Geron&#148;) with the United States
Securities and Exchange Commission on August 25, 2016, 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. The settlement does not constitute any admission of fault or wrongdoing
by Geron or any of the individual defendants. No Company funds are expected to
be used to pay the attorneys&#146; fee award. </FONT><FONT face="Times New Roman" size=2></FONT></P>
<P align=left><FONT face="Times New Roman" size=2>The 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 Current Report on 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 Current Report on Form 8-K regarding: (i) the settlement of
the Derivative Actions, (ii) the involvement of other actions in such
settlement, (iii) expected payment of the attorney&#146;s fee award by the Company&#146;s
insurer, and (iv) 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) compliance with the Amended
Stipulation of Settlement, (ii) the settlement not having the expected impact,
including resolving the Derivative Actions; (iii) the settlement requiring more
activity or expense than expected, and (iv) satisfactory resolution of pending
and any future litigation or other disagreements with others. 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 United States 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 September 30, 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>
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<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>
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    <TD NOWRAP STYLE="text-align: left"></TD>
    <TD NOWRAP COLSPAN="2" STYLE="text-align: left"><FONT size=2 face="Times New Roman">GERON CORPORATION</FONT></TD></TR>
  <TR>
    <TD COLSPAN="3">&nbsp; </TD></TR>
  <TR vAlign=bottom>
    <TD NOWRAP STYLE="text-align: left; width: 50%"><FONT face="Times New Roman" size=2 >Date:
      November 21, 2016</FONT></TD>
    <TD NOWRAP STYLE="text-align: left; width: 1%"><FONT size=2 face="Times New Roman">By: </FONT></TD>
    <TD NOWRAP STYLE="border-bottom: #000000 1pt solid; text-align: left; width: 48%"><FONT face="Times New Roman" size=2 >&nbsp;&nbsp;&nbsp;/s/ Stephen N.
      Rosenfield</FONT></TD></TR>
  <TR vAlign=bottom>
    <TD NOWRAP STYLE="text-align: left">&nbsp;</TD>
    <TD NOWRAP STYLE="text-align: left"></TD>
    <TD NOWRAP STYLE="text-align: left"><FONT face="Times New Roman" size=2 >&nbsp;&nbsp;&nbsp;Stephen N. Rosenfield</FONT></TD></TR>
  <TR vAlign=bottom>
    <TD NOWRAP STYLE="text-align: left"></TD>
    <TD NOWRAP STYLE="text-align: left">&nbsp;</TD>
    <TD NOWRAP STYLE="text-align: left"><FONT face="Times New Roman" size=2 >&nbsp;&nbsp;&nbsp;Executive Vice President, General</FONT></TD></TR>
  <TR vAlign=bottom>
    <TD NOWRAP STYLE="text-align: left"></TD>
    <TD NOWRAP STYLE="text-align: left"></TD>
    <TD NOWRAP STYLE="text-align: left"><FONT face="Times New Roman" size=2 >&nbsp;&nbsp;&nbsp;Counsel and Corporate
Secretary</FONT></TD></TR></TABLE><BR>
<P align=center><FONT face="Times New Roman" size=2>2 </FONT></P>
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