Current Report Filing (8-k)
January 09 2017 - 7:32AM
Edgar (US Regulatory)
UNITED STATES
SECURITIES AND EXCHANGE
COMMISSION
WASHINGTON, D.C. 20549
___________
FORM 8-K
CURRENT
REPORT
PURSUANT TO SECTION
13 OR 15(d) OF THE
SECURITIES EXCHANGE ACT OF 1934
Date of Report (Date of
Earliest Event Reported):
January 9,
2017
GERON
CORPORATION
(Exact name of registrant as specified in its
charter)
Delaware
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0-20859
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75-2287752
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(State or other jurisdiction
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(Commission File Number)
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(IRS Employer
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of incorporation)
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Identification
No.)
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149 COMMONWEALTH DRIVE,
SUITE 2070
MENLO PARK, CALIFORNIA 94025
(Address of principal executive offices, including
zip code)
(650)
473-7700
(Registrants
telephone number, including area code)
N/A
(Former name or former address, if changed since
last report)
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:
☐
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Written communications pursuant to Rule 425
under the Securities Act (17 CFR 230.425)
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☐
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Soliciting material pursuant to Rule 14a-12
under the Exchange Act (17 CFR 240.14a-12)
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☐
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Pre-commencement communications pursuant to
Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))
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☐
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Pre-commencement communications pursuant to
Rule 13e-4(c) under the Exchange Act (17 CFR
240.13e-4(c))
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Item 2.02 Results of
Operations and Financial Condition.
Geron Corporation (the
Company or Geron) will be providing financial information about the
Companys cash and investment balances as of December 31, 2016 in the Companys
presentation handout to be utilized in various meetings with securities analysts
and investors during the J.P. Morgan 35
th
Annual Healthcare
Conference in San Francisco, California, from January 9, 2017 through January
12, 2017. The aforementioned financial information is included on slide #3 of
the presentation handout, as furnished in Exhibit 99.1 to this Current Report,
and is incorporated herein by reference.
The information contained in
this Item 2.02 and in the accompanying Exhibit 99.1 to this Current Report shall
be deemed to be furnished and shall not be deemed to be filed for purposes
of Section 18 of the Securities Exchange Act of 1934, as amended (the Exchange
Act), or otherwise subject to the liabilities of that Section or Sections 11
and 12(a)(2) of the Securities Act of 1933, as amended (the Securities Act).
The information contained in this Item 2.02 and in the accompanying Exhibit 99.1
to this Current Report shall not be incorporated by reference into any filing
made by the Company with the U.S. Securities and Exchange Commission under the
Securities Act or the Exchange Act, whether made before or after the date
hereof, regardless of any general incorporation language in such
filing.
Item 7.01 Regulation FD
Disclosure.
Geron will participate in
various meetings with securities analysts and investors during the J.P. Morgan
35
th
Annual Healthcare Conference in San Francisco, California, from
January 9, 2017 through January 12, 2017 and will utilize a presentation handout
during those meetings. The presentation handout, together with a slide setting
forth certain cautionary language intended to qualify the forward-looking
statements included in the presentation handout, is furnished as Exhibit 99.1 to
this Current Report and is incorporated herein by reference. The presentation
handout will also be made available in the Investor Relations section of
Gerons website, located at www.geron.com.
The information contained in
this Item 7.01 and in the accompanying Exhibit 99.1 to this Current Report shall
be deemed to be furnished and shall not be deemed to be filed for purposes
of Section 18 of the Exchange Act, or otherwise subject to the liabilities of
that Section or Sections 11 and 12(a)(2) of the Securities Act. The information
contained in this Item 7.01 and in the accompanying Exhibit 99.1 to this Current
Report shall not be incorporated by reference into any filing made by the
Company with the U.S. Securities and Exchange Commission under the Securities
Act or the Exchange Act, whether made before or after the date hereof,
regardless of any general incorporation language in such filing.
Item 9.01 Financial
Statements and Exhibits.
(d) Exhibits.
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Exhibit
No.
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Description
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99.1
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January 2017 corporate presentation
handout.
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2
SIGNATURE
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.
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GERON CORPORATION
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Date: January 9, 2017
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By:
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/s/ Stephen
N. Rosenfield
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Stephen N. Rosenfield
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Executive Vice President, General
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Counsel and Corporate
Secretary
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3
EXHIBIT INDEX
Exhibit No.
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Description
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99.1
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January 2017 corporate
presentation handout.
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