<SEC-DOCUMENT>0001206774-17-002106.txt : 20170724
<SEC-HEADER>0001206774-17-002106.hdr.sgml : 20170724
<ACCEPTANCE-DATETIME>20170724163033
ACCESSION NUMBER:		0001206774-17-002106
CONFORMED SUBMISSION TYPE:	8-K
PUBLIC DOCUMENT COUNT:		1
CONFORMED PERIOD OF REPORT:	20170721
ITEM INFORMATION:		Other Events
FILED AS OF DATE:		20170724
DATE AS OF CHANGE:		20170724

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:		17978566

	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>geron31261313-8k.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>___________</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 21,
2017</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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    <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 noWrap align=left 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'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 vAlign=top noWrap align=left width="1%"><FONT face="Times New Roman" size=2>&#9744;</FONT></TD>
    <TD vAlign=top noWrap align=left width="1%"><FONT face="Times New Roman" size=2>&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;</FONT></TD>
    <TD vAlign=top 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 noWrap align=left width="1%"></TD>
    <TD vAlign=top noWrap align=left width="1%"></TD>
    <TD vAlign=top align=left width="98%"><FONT face="Times New Roman" size=2>&nbsp;&nbsp;</FONT></TD></TR>
  <TR vAlign=bottom>
    <TD vAlign=top noWrap align=left width="1%"><FONT face="Times New Roman" size=2>&#9744;</FONT></TD>
    <TD vAlign=top noWrap align=left width="1%"></TD>
    <TD vAlign=top 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%"><FONT face="Times New Roman" size=2>&nbsp;&nbsp;</FONT></TD></TR>
  <TR vAlign=bottom>
    <TD vAlign=top noWrap align=left width="1%"><FONT face="Times New Roman" size=2>&#9744;</FONT></TD>
    <TD vAlign=top noWrap align=left width="1%"></TD>
    <TD vAlign=top 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>
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    <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%"><FONT face="Times New Roman" size=2>&nbsp;&nbsp;</FONT></TD></TR>
  <TR vAlign=bottom>
    <TD vAlign=top noWrap align=left width="1%"><FONT face="Times New Roman" size=2>&#9744;</FONT></TD>
    <TD vAlign=top noWrap align=left width="1%"></TD>
    <TD vAlign=top 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>
<P align=left><FONT face="Times New Roman" size=2>Indicate by check mark whether
the registrant is an emerging growth company as defined in Rule 405 of the
Securities Act of 1933 (&#167;230.405 of this chapter) or Rule 12b-2 of the
Securities Exchange Act of 1934 (&#167;240.12b-2 of this chapter).</FONT></P>
<P align=left><FONT face="Times New Roman" size=2>Emerging growth
company&nbsp;&#9744;</FONT></P>
<P align=left><FONT face="Times New Roman" size=2>If an emerging growth company,
indicate by check mark if the registrant has elected not to use the extended
transition period for complying with any new or revised financial accounting
standards provided pursuant to Section 13(a) of the Exchange
Act.&nbsp;&#9744;</FONT></P>
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<DIV style="PAGE-BREAK-BEFORE: always"></DIV>
<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, 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>On July 21, 2017, following
the final fairness hearing regarding the proposed settlement, the California
District Court entered an order and final judgment that: (i) dismisses with
prejudice the claims asserted in the Securities Class Action against all named
defendants in connection with the Securities Class Action, including the
Company, and releases any claims that were or could have been asserted that
arise from or relate to the facts alleged in the Securities Class Action, such
that every member of the settlement class will be barred from asserting such
claims in the future; and (ii) approves the payment of the $6.25 million cash
settlement fund, minus the payment of attorneys&#146; fees and costs to plaintiff&#146;s
counsel, to members of the settlement class. The Company&#146;s insurance providers
funded $6.0 million of the cash settlement fund and the Company paid the
remaining $250,000. 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>Five stockholders opted out of
the settlement class in the Securities Class Action. The Company does not expect
to make any additional payments for and does not expect, and is not aware of,
any additional claims arising from or related to the facts alleged in the
Securities Class Action and asserted by stockholders who have opted out of the
settlement class in the Securities Class Action. </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) as a result of the
settlement, members of the settlement class will be barred from asserting any
claims in the future that were or could have been asserted that arise from or
relate to the facts alleged in the Securities Class Action; (ii) the Company not
expecting any claims arising from or relating to the facts alleged in the
Securities Class Action to be asserted by any of the stockholders who have opted
out of the settlement class; (iii) the Company not expecting to make any
additional payments for any such claims; and (iv) any 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) any stockholders who have opted out of the settlement class pursuing claims
that arise from or relate to the facts alleged in the Securities Class Action
causing the Company to make additional payments, or incur additional
liabilities, related to such claims; and (ii) the settlement not having the
expected impact, including resolving the Securities Class Action. Additional
information and factors that could cause actual results to differ materially
from those in the forward-looking statements are contained in the Company&#146;s
periodic reports filed with the United States Securities and Exchange Commission
under the heading &#147;Risk Factors,&#148; including in the Company&#146;s Quarterly Report on
Form 10-Q for the quarter ended March 31, 2017. Undue reliance should not be
placed on forward-looking statements, which speak only as of the date of this
Current Report on Form 8-K, and the facts and assumptions underlying the
forward-looking statements may change. Except as required by law, the Company
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>
<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="60%">&nbsp;</TD>
    <TD noWrap align=left width="39%" colSpan=2><FONT face="Times New Roman" size=2>GERON CORPORATION</FONT></TD></TR>
  <TR>
    <TD width="99%" colSpan=3>&nbsp;</TD></TR>
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    <TD noWrap align=left width="60%"><FONT face="Times New Roman" size=2>Date: July 24, 2017</FONT></TD>
    <TD noWrap align=left width="1%"><FONT face="Times New Roman" size=2>By:</FONT></TD>
    <TD style="BORDER-BOTTOM: #000000 1pt solid" noWrap align=left width="38%"><FONT size=2 face="Times New Roman">&nbsp;/s/ Stephen N.
      Rosenfield</FONT></TD></TR>
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    <TD noWrap align=left width="60%"></TD>
    <TD noWrap align=left width="1%"></TD>
    <TD noWrap align=left width="38%"><FONT size=2 face="Times New Roman">&nbsp;Stephen N. Rosenfield</FONT></TD></TR>
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    <TD noWrap align=left width="60%"></TD>
    <TD noWrap align=left width="1%"></TD>
    <TD noWrap align=left width="38%"><FONT size=2 face="Times New Roman">&nbsp;Executive Vice President, General</FONT></TD></TR>
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    <TD noWrap align=left width="60%"></TD>
    <TD noWrap align=left width="1%"></TD>
    <TD noWrap align=left width="38%"><FONT size=2 face="Times New Roman">&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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