Item 5. Other Information
ITEM 5. OTHER INFORMATION
None.
77
ITEM 6. EXHIBITS
Incorporation by Reference
Exhibit
Exhibit
Filing
Number
Description
Number
Filing
Date
File No.
10.1+
UK Sub-Plan to 2018 Equity Incentive Plan *
10.2+
Form of 2018 Equity Incentive Plan Option Agreement (Time Based) *
10.3+
Form of 2018 Equity Incentive Plan Option Agreement (Performance-Based) *
10.4
2018 Inducement Award Plan, as amended July 15, 2022 *
10.3
10-Q
August 11, 2022
000-20859
10.5+
UK Sub-Plan to 2018 Inducement Award Plan *
10.6+
Form of 2018 Inducement Award Plan Option Agreement (Time-Based) *
10.7+
Form of 2018 Inducement Award Plan Option Agreement (Performance-Based) *
31.1+
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 November 7, 2022
31.2+
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 November 7, 2022
32.1+
Certification of Chief Executive Officer pursuant to 18 U.S.C. Section 1350, as Adopted Pursuant to Section 906 of the Sarbanes-Oxley Act of 2002, dated November 7, 2022 **
32.2+
Certification of Chief Financial Officer pursuant to 18 U.S.C. Section 1350, as Adopted Pursuant to Section 906 of the Sarbanes-Oxley Act of 2002, dated November 7, 2022 **
101
The following materials from the Registrant’s September 30, 2022 Quarterly Report on Form 10-Q for the quarter ended September 30, 2022 formatted in Inline Extensible Business Reporting Language (iXBRL) include: (i) Condensed Consolidated Balance Sheets as of September 30, 2022 and December 31, 2021, (ii) Condensed Consolidated Statements of Operations and Comprehensive Loss for the three and nine months ended September 30, 2022 and 2021, (iii) Condensed Consolidated Statements of Stockholders’ Equity for the three and nine months ended September 30, 2022 and 2021, (iv) Condensed Consolidated Statements of Cash Flows for the nine months ended September 30, 2022 and 2021 and (v) Notes to Condensed Consolidated Financial Statements.
104
The cover page from the Company’s Quarterly Report on Form 10-Q for the quarter ended September 30, 2022, has been formatted in Inline XBRL.
+ Filed herewith.
* Management contract or compensation plan or arrangement.
** The certifications attached as Exhibits 32.1 and 32.2 that accompany this Quarterly Report on Form 10-Q, are not deemed filed with the Securities and Exchange Commission and are not to be incorporated by reference into any filing of the Company under the Securities Act of 1933, as amended, or the Securities Exchange Act of 1934, as amended (whether made before or after the date of this Form 10-Q), irrespective of any general incorporation language contained in such filing.
78
SIGNATURES
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, thereunto duly authorized.
GERON CORPORATION
Date: November 7, 2022
By:
/s/ OLIVIA BLOOM
OLIVIA K. BLOOM
Executive Vice President, Finance, Chief Financial Officer and Treasurer
(Duly Authorized Officer and Principal Financial and Accounting Officer)
79