Nominees

If you are a broker or other nominee who purchased Geron common stock (Nasdaq: GERN, CUSIP: 374163103) during the period from March 19, 2018, to September 26, 2018, inclusive, in connection with the previously disseminated Notice of Pendency of Class Action (“Original Class Notices”), securities brokers and other nominees (“Nominees”) were advised that, if they purchased Geron common stock during the Class Period for the beneficial interest of persons or entities other than themselves, they must either:

  1. request from the Claims Administrator sufficient copies of the Original Class Notices to forward to all such beneficial owners and then forward those Original Class Notices to all such beneficial owners; or
  2. provide a list of the names and addresses of all such beneficial owners to the Claims Administrator.

For Nominees who chose the first option (i.e., elected to mail the Original Class Notices directly to beneficial owners), the Claims Administrator shall forward the same number of the Settlement Notice Packets to such Nominees no later than the Notice Date, and the Nominees shall, by no later than SEVEN (7) CALENDAR DAYS AFTER RECEIPT OF THE SETTLEMENT NOTICE PACKET, mail the Settlement Notice Packets to their beneficial owners. The Claims Administrator shall confirm in writing with each Nominee compliance with the Order and promptly notify the Court of any noncompliance.

For Nominees who chose the second option (i.e., provided a list of names and addresses of beneficial holders to the Claims Administrator), the Claims Administrator shall, by no later than the Notice Date, mail a copy of the Settlement Notice Packet to each of the beneficial owners whose names and addresses the Nominee previously supplied. Unless the Nominee purchased Geron common stock during the Class Period for beneficial owners whose names and addresses were not previously provided to the Claims Administrator, or is aware of a name or address change of one of its beneficial owners, such Nominees need not take any further action. If any court ordered notices mailed are returned undeliverable, updated or alternative contact information must be provided. Alternatively, an explanation in writing to the Claims Administrator why alternative or updated contact information is not available shall be provided.

For Nominees that purchased Geron common stock during the Class Period for beneficial owners whose names and addresses were not previously provided to the Claims Administrator or if a Nominee is aware of name and address changes for beneficial owners whose names and addresses were previously provided to the Claims Administrator, such Nominees shall, by no later than SEVEN (7) CALENDAR DAYS AFTER RECEIPT OF THE SETTLEMENT NOTICE PACKET, provide a list of the names and addresses of all such beneficial owners to the Claims Administrator, or shall request from Epiq sufficient copies of the Settlement Notice Packet to forward to all such beneficial owners, which the Nominee shall, WITHIN SEVEN (7) CALENDAR DAYS OF RECEIPT OF THE SETTLEMENT NOTICE PACKETS from the Claims Administrator, and no later than NOVEMBER 30, 2022, mail to the beneficial owners. The Claims Administrator shall confirm in writing with each Nominee compliance with the Order and promptly notify the Court of any noncompliance. If any court ordered notices mailed are returned undeliverable, updated or alternative contact information must be provided. Alternatively, an explanation in writing to the Claims Administrator why alternative or updated contact information is not available shall be provided.

If you are providing a list of names and addresses to the Claims Administrator, please do the following:

  1. Compile a list of names and last known addresses of the beneficial owners described above.
  2. Prepare the list in Microsoft Excel format. A preformatted spreadsheet can be found by clicking here.
  3. Then you must do one of the following:

    1. Burn the Microsoft Excel file(s) to a CD or DVD and mail the CD or DVD to:

      Geron Securities Litigation
      c/o Epiq Class Action & Claims Solutions
      P.O. Box 4574
      Portland, OR 97208-4574

    2. Email the spreadsheet to info@GeronSecuritiesLitigation.com; or
    3. Upload the spreadsheet here.

If you are mailing the Settlement Notice Packet to beneficial owners:

If you are going to forward the Settlement Notice Packet to the beneficial owners, request the needed number of copies of the Settlement Notice Packet via email to info@GeronSecuritiesLitigation.com. You must mail the Settlement Notice Packets to the beneficial owners within seven (7) calendar days of your receipt of the Settlement Notice Packets, and no later than November 30, 2022, and confirm to the Claims Administrator in writing compliance with the Court’s Order.

Expense Reimbursement

Reasonable expenses actually incurred in fully and timely complying with the Court’s Order and these directions may be eligible for reimbursement (including postage and costs to compile names and addresses) by providing the Claims Administrator with proper documentation supporting the expenses for which reimbursement is sought. Please submit your invoice within one month of completing the mailing or providing your file. Expense reimbursement is subject to oversight of the Court, and any disputes shall be subject to review by the Court.

If you are filing electronic claims:

A nominee may also submit a Claim Form on behalf of multiple clients who are beneficial owners by using the links below.

Click here to download the Claim Form.

Click here to download a properly formatted spreadsheet for submitting your transactions.

You may upload your master Proof of Claim Form and completed spreadsheet online here.