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Incorporation by Reference
−Removed: Form of Pre-Funded Warrant to Purchase Common Stock
−Removed: March 30, 2022
−Removed: Form of Warrant to Purchase Common Stock
−Removed: March 30, 2022
−Removed: 2018 Inducement Award Plan, as amended February 16, 2022*
−Removed: March 10, 2022
−Removed: Non-Employee Director Compensation Policy, as amended February 16, 2022 and March 7, 2022*
−Removed: March 10, 2022
−Removed: Amended and Restated Severance Plan, effective as of January 1, 2022*
−Removed: March 10, 2022
−Removed: Certification of Chief Executive Officer pursuant to Form of Rule 13a-14(a), as Adopted Pursuant to Section 302(a) of the Sarbanes-Oxley Act of 2002, dated May 9, 2022
−Removed: Certification of Chief Financial Officer pursuant to Form of Rule 13a-14(a), as Adopted Pursuant to Section 302(a) of the Sarbanes-Oxley Act of 2002, dated May 9, 2022
+Added: 2018 Equity Incentive Plan, as amended*
+Added: 2014 Employee Stock Purchase Plan, as amended*
+Added: 2018 Inducement Award Plan, as amended July 15, 2022*
+Added: Second Amendment to Loan and Security Agreement, dated June 30, 2022 amongst Registrant, Hercules Capital, Inc., and Silicon Valley Bank
+Added: Certification of Chief Executive Officer pursuant to Form of Rule 13a-14(a), as Adopted Pursuant to Section 302(a) of the Sarbanes-Oxley Act of 2002, dated August 11, 2022
+Added: Certification of Chief Financial Officer pursuant to Form of Rule 13a-14(a), as Adopted Pursuant to Section 302(a) of the Sarbanes-Oxley Act of 2002, dated August 11, 2022
Certification of Chief Executive Officer pursuant to 18 U.S.C.
−Removed: Section 1350, as Adopted Pursuant to Section 906 of the Sarbanes-Oxley Act of 2002, dated May 9, 2022 **
+Added: Section 1350, as Adopted Pursuant to Section 906 of the Sarbanes-Oxley Act of 2002, dated August 11, 2022 **
Certification of Chief Financial Officer pursuant to 18 U.S.C.
−Removed: Section 1350, as Adopted Pursuant to Section 906 of the Sarbanes-Oxley Act of 2002, dated May 9, 2022 **
−Removed: The following materials from the Registrant’s March 31, 2022 Quarterly Report on Form 10-Q for the quarter ended March 31, 2022 formatted in Inline Extensible Business Reporting Language (iXBRL) include:
−Removed: (i) Condensed Consolidated Balance Sheets as of March 31, 2022 and December 31, 2021, (ii) Condensed Consolidated Statements of Operations and Comprehensive Loss for the three months ended March 31, 2022 and 2021, (iii) Condensed Consolidated Statements of Stockholders’
−Removed: Equity for the three months ended March 31, 2022 and 2021, (iv) Condensed Consolidated Statements of Cash Flows for the three months ended March 31, 2022 and 2021 and (v) Notes to Condensed Consolidated Financial Statements.
−Removed: The cover page from the Company’s Quarterly Report on Form 10-Q for the quarter ended March 31, 2022, has been formatted in Inline XBRL.
+Added: Section 1350, as Adopted Pursuant to Section 906 of the Sarbanes-Oxley Act of 2002, dated August 11, 2022 **
+Added: The following materials from the Registrant’s June 30, 2022 Quarterly Report on Form 10-Q for the quarter ended June 30, 2022 formatted in Inline Extensible Business Reporting Language (iXBRL) include:
+Added: (i) Condensed Consolidated Balance Sheets as of June 30, 2022 and December 31, 2021, (ii) Condensed Consolidated Statements of Operations and Comprehensive Loss for the three and six months ended June 30, 2022 and 2021, (iii) Condensed Consolidated Statements of Stockholders’
+Added: Equity for the three and six months ended June 30, 2022 and 2021, (iv) Condensed Consolidated Statements of Cash Flows for the six months ended June 30, 2022 and 2021 and (v) Notes to Condensed Consolidated Financial Statements.
+Added: The cover page from the Company’s Quarterly Report on Form 10-Q for the quarter ended June 30, 2022, has been formatted in Inline XBRL.
+ Filed herewith.
+Added: ^ Certain portions of this exhibit (indicated by asterisks) have been omitted as the Registrant has determined that the information is both not material and is the type that the Registrant treats as private or confidential.
* Management contract or compensation plan or arrangement.
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GERON CORPORATION
+Added: August 11, 2022
/s/ OLIVIA BLOOM
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Compared sentence by sentence after normalising whitespace, quotation marks, case and digits, so re-formatting and restated figures do not read as changed language. Wording changes appear as one removal and one addition. The current filing and the prior one are authoritative.