<SEC-DOCUMENT>0001206774-17-001154.txt : 20170410
<SEC-HEADER>0001206774-17-001154.hdr.sgml : 20170410
<ACCEPTANCE-DATETIME>20170410170019
ACCESSION NUMBER:		0001206774-17-001154
CONFORMED SUBMISSION TYPE:	8-K
PUBLIC DOCUMENT COUNT:		1
CONFORMED PERIOD OF REPORT:	20170407
ITEM INFORMATION:		Other Events
FILED AS OF DATE:		20170410
DATE AS OF CHANGE:		20170410

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:		17754089

	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>geron31261310-8k.htm
<DESCRIPTION>CURRENT REPORT
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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></P>
<P STYLE="text-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>April 7,
2017</FONT></B></P>
<P align=center><B><FONT face="Times New Roman" size=2>GERON
CORPORATION<BR></FONT></B><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="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="33%"><B><FONT face="Times New Roman" size=2>0-20859</FONT></B></TD>
    <TD style="TEXT-ALIGN: center" noWrap width="33%"><B><FONT face="Times New Roman" size=2>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 of</FONT></TD>
    <TD style="TEXT-ALIGN: center" noWrap width="33%"><FONT face="Times New Roman" size=2>(Commission File Number)</FONT></TD>
    <TD style="TEXT-ALIGN: center" noWrap width="33%"><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>incorporation)</FONT></TD>
    <TD style="TEXT-ALIGN: center" noWrap width="33%"></TD>
    <TD style="TEXT-ALIGN: center" noWrap width="33%"><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><FONT face="Times New Roman" size=2><B>N/A</B><BR>(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="1%"><FONT face="Times New Roman" size=2>&#9744;</FONT></TD>
    <TD style="VERTICAL-ALIGN: top; TEXT-ALIGN: left" noWrap width="1%"><FONT face="Times New Roman" size=2>&nbsp;&nbsp;&nbsp;</FONT></TD>
    <TD style="VERTICAL-ALIGN: top; WIDTH: 98%; PADDING-TOP: 2pt; 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>
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    <TD vAlign=top align=left width="98%">&nbsp;</TD></TR>
  <TR vAlign=bottom>
    <TD style="VERTICAL-ALIGN: top; TEXT-ALIGN: left" noWrap width="1%"><FONT face="Times New Roman" size=2>&#9744;</FONT></TD>
    <TD style="VERTICAL-ALIGN: top; TEXT-ALIGN: left" noWrap width="1%"></TD>
    <TD style="VERTICAL-ALIGN: top; WIDTH: 98%; PADDING-TOP: 2pt; 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="1%"></TD>
    <TD vAlign=top noWrap align=left width="1%"></TD>
    <TD vAlign=top align=left width="98%">&nbsp;</TD></TR>
  <TR vAlign=bottom>
    <TD style="VERTICAL-ALIGN: top; TEXT-ALIGN: left" noWrap width="1%"><FONT face="Times New Roman" size=2>&#9744;</FONT></TD>
    <TD style="VERTICAL-ALIGN: top; TEXT-ALIGN: left" noWrap width="1%"></TD>
    <TD style="VERTICAL-ALIGN: top; WIDTH: 98%; PADDING-TOP: 2pt; 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 vAlign=bottom>
    <TD vAlign=top noWrap align=left width="1%"></TD>
    <TD vAlign=top noWrap align=left width="1%"></TD>
    <TD vAlign=top align=left width="98%">&nbsp;</TD></TR>
  <TR vAlign=bottom>
    <TD style="VERTICAL-ALIGN: top; TEXT-ALIGN: left" noWrap width="1%"><FONT face="Times New Roman" size=2>&#9744;</FONT></TD>
    <TD style="VERTICAL-ALIGN: top; TEXT-ALIGN: left" noWrap width="1%"></TD>
    <TD style="VERTICAL-ALIGN: top; WIDTH: 98%; PADDING-TOP: 2pt; 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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<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></P>
<P align=left><FONT face="Times New Roman" size=2>As previously reported in a
Current Report on Form 8-K filed with the United States Securities and Exchange
Commission on March 3, 2017, the related disclosures of which are incorporated
by reference herein, Geron Corporation (the &#147;Company&#148;) entered into a
Stipulation and Agreement of Settlement (the &#147;Stipulation&#148;) and related
documents to resolve the consolidated class action securities lawsuit captioned
</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 (the &#147;Securities Class Action&#148;), pending in the United States
District Court for the Northern District of the State of California (the
&#147;California District Court&#148;). </FONT></P>
<P align=left><FONT face="Times New Roman" size=2>Under the Stipulation, in
exchange for the dismissal with prejudice of all claims against all defendants
in connection with the Securities Class Action, the Company has agreed to settle
the Securities Class Action for $6.25 million in cash. The Company and its
insurers have agreed that $6.0 million of the settlement amount will be paid by
the Company&#146;s insurance providers and the remaining $250,000 will be paid by the
Company. The Settlement does not constitute any admission of fault or wrongdoing
by the Company or any of the individual defendants.</FONT></P>
<P align=left><FONT face="Times New Roman" size=2>On April 7, 2017, the
California District Court issued an order (the &#147;Order&#148;) preliminarily approving
the settlement proposed in the Stipulation by and among plaintiffs, on behalf of
a class consisting of purchasers of the Company&#146;s common stock during the period
from December 10, 2012 through and including March 11, 2014 (the &#147;Class
Members&#148;), and all named defendants in the Securities Class Action, including
the Company (the &#147;Settlement&#148;), and directing that notice of the Settlement be
given to the Class Members pursuant to the terms in the Stipulation.</FONT></P>
<P align=left><FONT face="Times New Roman" size=2>The California District Court
scheduled a hearing (&#147;Settlement Fairness Hearing&#148;) on July 21, 2017, at 10 a.m.
Pacific Time at the California District Court, to, among other things, make a
final determination whether the Settlement is fair, reasonable and adequate and
should be approved by the California District Court. </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 ability to
secure final approval of the Settlement from the California District Court; (ii)
the extent to which individual claimants opt out of the class and pursue
individual claims; (iii) the ability to overcome any objections or appeals
regarding the Settlement; (iv) payment of the settlement amount by the Company&#146;s
insurance providers; (v) other risks described in the Company&#146;s Annual Report on
Form 10-K for the year ended December 31, 2016, and future filings and reports
by the Company; and (vi) 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 having
the expected impact, including resolving the Securities Class Action; (ii) the
Settlement requiring more activity or expense than expected; (iii) compliance by
the Company&#146;s insurance providers with the terms of the Settlement requiring
payment of the settlement amount on a timely basis; and (iv) satisfactory
resolution of pending and any future litigation or other disagreements with
others. Additional information 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 Annual Report on
Form 10-K for the year ended December 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>
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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 align=left width="50%" colSpan=2><FONT face="Times New Roman" size=2>GERON CORPORATION</FONT></TD></TR>
  <TR>
    <TD width="100%" colSpan=3>&nbsp;</TD></TR>
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    <TD noWrap align=left width="50%"><FONT face="Times New Roman" size=2>Date: April 10, 2017</FONT></TD>
    <TD noWrap align=left width="1%"><FONT size=2 face="Times New Roman">By:</FONT></TD>
    <TD style="BORDER-BOTTOM: #000000 1pt solid" noWrap align=left width="49%"><FONT face="Times New Roman" size=2>&nbsp;&nbsp;&nbsp;/s/ Stephen N.
      Rosenfield</FONT></TD></TR>
  <TR vAlign=bottom>
    <TD noWrap align=left width="50%"></TD>
    <TD noWrap align=left width="1%"></TD>
    <TD noWrap align=left width="49%"><FONT face="Times New Roman" size=2>&nbsp;&nbsp;&nbsp;Stephen N.
    Rosenfield</FONT></TD></TR>
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    <TD noWrap align=left width="50%"></TD>
    <TD noWrap align=left width="1%"></TD>
    <TD noWrap align=left width="49%"><FONT face="Times New Roman" size=2>&nbsp;&nbsp;&nbsp;Executive Vice President,
      General</FONT></TD></TR>
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    <TD noWrap align=left width="50%"></TD>
    <TD noWrap align=left width="1%"></TD>
    <TD noWrap align=left width="49%"><FONT face="Times New Roman" size=2>&nbsp;&nbsp;&nbsp;Counsel and Corporate
      Secretary</FONT></TD></TR></TABLE>
<P align=center><FONT face="Times New Roman" size=2>2</FONT></P>
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