<SEC-DOCUMENT>0001206774-20-001677.txt : 20200521
<SEC-HEADER>0001206774-20-001677.hdr.sgml : 20200521
<ACCEPTANCE-DATETIME>20200521160117
ACCESSION NUMBER:		0001206774-20-001677
CONFORMED SUBMISSION TYPE:	8-K
PUBLIC DOCUMENT COUNT:		1
CONFORMED PERIOD OF REPORT:	20200520
ITEM INFORMATION:		Other Events
FILED AS OF DATE:		20200521
DATE AS OF CHANGE:		20200521

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:		20901816

	BUSINESS ADDRESS:	
		STREET 1:		919 EAST HILLSDALE BOULEVARD
		STREET 2:		SUITE 250
		CITY:			FOSTER CITY
		STATE:			CA
		ZIP:			94404
		BUSINESS PHONE:		6504737700

	MAIL ADDRESS:	
		STREET 1:		919 EAST HILLSDALE BOULEVARD
		STREET 2:		SUITE 250
		CITY:			FOSTER CITY
		STATE:			CA
		ZIP:			94404

	FORMER COMPANY:	
		FORMER CONFORMED NAME:	GERON CORPORATION
		DATE OF NAME CHANGE:	19960521
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<TYPE>8-K
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<FILENAME>geron3763031-8k.htm
<DESCRIPTION>CURRENT REPORT
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<P style="TEXT-ALIGN: center"><B><FONT size=2 face="Times New Roman">UNITED STATES<BR>SECURITIES AND EXCHANGE COMMISSION<BR></FONT></B><B><FONT size=2 face="Times New Roman">WASHINGTON, D.C. 20549<BR></FONT></B><B><FONT size=2 face="Times New Roman">___________</FONT></B></P>

<P style="TEXT-ALIGN: center"><B><FONT size=2 face="Times New Roman">FORM 8-K</FONT></B></P>

<P style="TEXT-ALIGN: center"><B><FONT size=2 face="Times New Roman">CURRENT REPORT<BR></FONT></B><B><FONT size=2 face="Times New Roman">PURSUANT TO SECTION 13 OR 15(d) OF THE<BR>SECURITIES EXCHANGE ACT OF 1934</FONT></B></P>

<P style="TEXT-ALIGN: center"><FONT size=2 face="Times New Roman">Date of Report (Date of earliest event reported): </FONT><B><FONT size=2 face="Times New Roman">May 21, 2020</FONT></B></P>

<P style="TEXT-ALIGN: center"><B><FONT size=2 face="Times New Roman">GERON CORPORATION<BR></FONT></B><FONT size=2 face="Times New Roman">(Exact name of registrant as specified in its charter)</FONT></P>

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<TR vAlign=bottom>

   <TD width="33%" noWrap align=center><B><FONT size=2 face="Times New Roman">Delaware</FONT></B></TD>

   <TD width="1%" noWrap align=center>&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;</TD>

   <TD width="32%" noWrap align=center><B><FONT size=2 face="Times New Roman">0-20859</FONT></B></TD>

   <TD width="1%" noWrap align=center>&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;</TD>

   <TD width="33%" noWrap align=center><B><FONT size=2 face="Times New Roman">75-2287752</FONT></B></TD></TR>

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   <TD width="33%" noWrap align=center><FONT size=2 face="Times New Roman">(State or other jurisdiction of incorporation)</FONT></TD>

   <TD width="1%" noWrap align=center><FONT size=2 face="Times New Roman"></FONT></TD>

   <TD width="32%" noWrap align=center><FONT size=2 face="Times New Roman">(Commission File Number)</FONT></TD>

   <TD width="1%" noWrap align=center><FONT size=2 face="Times New Roman"></FONT></TD>

   <TD width="33%" noWrap align=center><FONT size=2 face="Times New Roman">(IRS Employer Identification No.)</FONT></TD></TR></TABLE>

<P style="TEXT-ALIGN: center"><B><FONT size=2 face="Times New Roman">919 E. HILLSDALE BLVD., SUITE 250<BR>FOSTER CITY, CALIFORNIA 94404<BR></FONT></B><FONT size=2 face="Times New Roman">(Address of principal executive offices, including zip code)</FONT></P>

<P style="TEXT-ALIGN: center"><B><FONT size=2 face="Times New Roman">(650) 473-7700<BR></FONT></B><FONT size=2 face="Times New Roman">(Registrant&#8217;s telephone number, including area code)</FONT></P>

<P style="TEXT-ALIGN: center"><B><FONT size=2 face="Times New Roman">N/A<BR></FONT></B><FONT size=2 face="Times New Roman">(Former name or former address, if changed since last report)</FONT></P>

<P style="TEXT-ALIGN: left"><FONT size=2 face="Times New Roman">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 width="1%" noWrap align=left><FONT size=2 face=Arial><FONT size=2 face="Times New Roman">&#9744;</FONT></FONT></TD>

   <TD width="1%" noWrap align=left>&nbsp;&nbsp;&nbsp;</TD>

   <TD width="98%" noWrap align=left><FONT size=2 face="Times New Roman">Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)</FONT></TD></TR>

<TR style="VERTICAL-ALIGN: bottom">

   <TD style="WHITE-SPACE: nowrap; TEXT-ALIGN: left">&nbsp;</TD>

   <TD style="WHITE-SPACE: nowrap; TEXT-ALIGN: left">&nbsp;</TD>

   <TD style="WHITE-SPACE: nowrap; TEXT-ALIGN: left">&nbsp;</TD></TR>

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   <TD width="1%" noWrap align=left><FONT size=2 face="Times New Roman">&#9744;</FONT></TD>

   <TD width="1%" noWrap align=left></TD>

   <TD width="98%" noWrap align=left><FONT size=2 face="Times New Roman">Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)</FONT></TD></TR>

<TR style="VERTICAL-ALIGN: bottom">

   <TD style="WHITE-SPACE: nowrap; TEXT-ALIGN: left">&nbsp;</TD>

   <TD style="WHITE-SPACE: nowrap; TEXT-ALIGN: left">&nbsp;</TD>

   <TD style="WHITE-SPACE: nowrap; TEXT-ALIGN: left">&nbsp;</TD></TR>

<TR vAlign=bottom>

   <TD width="1%" noWrap align=left><FONT size=2 face="Times New Roman">&#9744;</FONT></TD>

   <TD width="1%" noWrap align=left></TD>

   <TD width="98%" noWrap align=left><FONT size=2 face="Times New Roman">Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))</FONT></TD></TR>

<TR style="VERTICAL-ALIGN: bottom">

   <TD style="WHITE-SPACE: nowrap; TEXT-ALIGN: left">&nbsp;</TD>

   <TD style="WHITE-SPACE: nowrap; TEXT-ALIGN: left">&nbsp;</TD>

   <TD style="WHITE-SPACE: nowrap; TEXT-ALIGN: left">&nbsp;</TD></TR>

<TR vAlign=bottom>

   <TD width="1%" noWrap align=left><FONT size=2 face="Times New Roman">&#9744;</FONT></TD>

   <TD width="1%" noWrap align=left></TD>

   <TD width="98%" noWrap align=left><FONT size=2 face="Times New Roman">Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))</FONT></TD></TR></TABLE>

<P style="TEXT-ALIGN: left; margin-bottom: 0pt;"><FONT size=2 face="Times New Roman">Securities registered pursuant to Section 12(b) of the Act:</FONT></P>

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   <TD style="BORDER-TOP: #000000 1pt solid; BORDER-RIGHT: #000000 1pt solid; WIDTH: 33%; WHITE-SPACE: nowrap; BORDER-BOTTOM: #000000 1pt solid; TEXT-ALIGN: center; PADDING-LEFT: 4pt; BORDER-LEFT: #000000 1pt solid; PADDING-RIGHT: 4pt"><FONT size=2 face="Times New Roman">Title of each class</FONT></TD>

   <TD style="BORDER-TOP: #000000 1pt solid; BORDER-RIGHT: #000000 1pt solid; WIDTH: 33%; WHITE-SPACE: nowrap; BORDER-BOTTOM: #000000 1pt solid; TEXT-ALIGN: center; PADDING-LEFT: 4pt; PADDING-RIGHT: 4pt"><FONT size=2 face="Times New Roman">Trading Symbol(s)</FONT></TD>

   <TD style="BORDER-TOP: #000000 1pt solid; BORDER-RIGHT: #000000 1pt solid; WIDTH: 33%; WHITE-SPACE: nowrap; BORDER-BOTTOM: #000000 1pt solid; TEXT-ALIGN: center; PADDING-LEFT: 4pt; PADDING-RIGHT: 4pt"><FONT size=2 face="Times New Roman">Name of each exchange on which registered</FONT></TD></TR>

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   <TD style="BORDER-RIGHT: #000000 1pt solid; WIDTH: 33%; WHITE-SPACE: nowrap; BORDER-BOTTOM: #000000 1pt solid; TEXT-ALIGN: center; PADDING-LEFT: 4pt; BORDER-LEFT: #000000 1pt solid; PADDING-RIGHT: 4pt"><FONT size=2 face="Times New Roman">Common Stock, $0.001 par value</FONT></TD>

   <TD style="BORDER-RIGHT: #000000 1pt solid; WIDTH: 33%; WHITE-SPACE: nowrap; BORDER-BOTTOM: #000000 1pt solid; TEXT-ALIGN: center; PADDING-LEFT: 4pt; PADDING-RIGHT: 4pt"><FONT size=2 face="Times New Roman">GERN</FONT></TD>

   <TD style="BORDER-RIGHT: #000000 1pt solid; WIDTH: 33%; WHITE-SPACE: nowrap; BORDER-BOTTOM: #000000 1pt solid; TEXT-ALIGN: center; PADDING-LEFT: 4pt; PADDING-RIGHT: 4pt"><FONT size=2 face="Times New Roman">The Nasdaq Stock Market LLC</FONT></TD></TR></TABLE>

<P style="TEXT-ALIGN: left"><FONT size=2 face="Times New Roman">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 style="TEXT-ALIGN: left"><FONT size=2 face="Times New Roman">Emerging growth company &#9744;</FONT></P>

<P style="TEXT-ALIGN: left"><FONT size=2 face="Times New Roman">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. &#9744;</FONT></P>

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<P style="text-align: left;">
<B><FONT size=2 face="Times New Roman">Item 8.01 Other Events.</FONT></B></P>
<P style="text-align: left;">
<B><FONT size=2 face="Times New Roman">Termination of &#147;At</FONT></B><B><FONT size=2 face="Times New Roman">-the-</FONT></B><B><FONT size=2 face="Times New Roman">Market&#148; </FONT></B><B><FONT size=2 face="Times New Roman">Offering Prospectus Supplement</FONT></B></P>
<P style="text-align: left;">
<FONT size=2 face="Times New Roman">Pursuant to that certain At Market Issuance Sales Agreement, dated May 18, 2018 </FONT><FONT size=2 face="Times New Roman">(the &#147;Sales Agreement&#148;</FONT><FONT size=2 face="Times New Roman">), that </FONT><FONT size=2 face="Times New Roman">Geron Corporation (the &#147;Company&#148;) </FONT><FONT size=2 face="Times New Roman">entered into with B. Riley FBR, Inc. </FONT><FONT size=2 face="Times New Roman">(&#147;</FONT><FONT size=2 face="Times New Roman">B. Riley</FONT><FONT size=2 face="Times New Roman">&#148;</FONT><FONT size=2 face="Times New Roman">), the Company may offer and sell, from time to time, shares of its common stock through </FONT><FONT size=2 face="Times New Roman">B. Riley, acting as agent, through an &#147;at the market </FONT><FONT size=2 face="Times New Roman">o</FONT><FONT size=2 face="Times New Roman">ffering&#148; </FONT><FONT size=2 face="Times New Roman">as </FONT><FONT size=2 face="Times New Roman">defined in Rule 451(a)(4) (the &#147;ATM Offering&#148;</FONT><FONT size=2 face="Times New Roman">), promulgated under the Securities Act of 1933, as amended. On July 10, 2018, the Company file</FONT><FONT size=2 face="Times New Roman">d a prospectus supplement (the &#147;ATM Prospectus Supplement&#148;</FONT><FONT size=2 face="Times New Roman">) pursuant to which it may offer and sell, from time to time, shares of its common stock having an aggregate offering price of up to &#36;62,821,700 through B. Riley under the Sales Agreement. As of the date of this report, the Company has sold &#36;26,291,652 of shares of common stock under the ATM Offering. Effective as of the date of this report, the Company has terminated the ATM Prospectus Supplement, but the Sales Agreement remains in full force and effect. The Company will not make any sales of common stock under the ATM Offering unless and until it files an updated prospectus supplement.</FONT></P>
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<P style="TEXT-ALIGN: center"><B><FONT size=2 face="Times New Roman">SIGNATURES</FONT></B></P>

<P style="TEXT-ALIGN: left; TEXT-INDENT: 15pt"><FONT size=2 face="Times New Roman">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 width="1%" align=left>&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;</TD>

   <TD style="WIDTH: 49%; TEXT-ALIGN: left" colSpan=3><FONT size=2 face="Times New Roman">GERON CORPORATION</FONT></TD></TR>

<TR vAlign=bottom>

   <TD width="1%" align=left><FONT size=2 face="Times New Roman">Date:&nbsp;&nbsp;&nbsp;&nbsp;</FONT></TD>

   <TD width="49%" align=left><FONT size=2 face="Times New Roman">May 21, 2020</FONT></TD>

   <TD width="1%" align=left><FONT size=2 face="Times New Roman"></FONT></TD>

   <TD width="1%" align=left><FONT size=2 face="Times New Roman">By:&nbsp;&nbsp;&nbsp;&nbsp;</FONT></TD>

   <TD style="WIDTH: 48%; BORDER-BOTTOM: black 1pt solid; TEXT-ALIGN: left" colSpan=2><FONT size=2 face="Times New Roman">/s/ Stephen N. Rosenfield</FONT></TD></TR>

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   <TD width="1%" align=left><FONT size=2 face="Times New Roman">Name:&nbsp;&nbsp;&nbsp;</FONT></TD>

   <TD width="47%" align=left><FONT size=2 face="Times New Roman">Stephen N. Rosenfield</FONT></TD></TR>

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   <TD width="1%" align=left><FONT size=2 face="Times New Roman">Title:</FONT></TD>

   <TD width="47%" align=left><FONT size=2 face="Times New Roman">Executive Vice President, Chief Legal</FONT></TD></TR>

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   <TD width="1%" align=left></TD>

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   <TD width="47%" align=left><FONT size=2 face="Times New Roman">Officer and Corporate Secretary</FONT></TD></TR></TABLE><BR>

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