Stephen Rosenfield
CIK 1238623 · View on SEC EDGAR ↗
Insider
First SEC filing: Nov. 3, 2011 · Latest: Feb. 4, 2021
On this page
- Insider at Companies where this person is a reporting insider.
- Insider transactions Every share this person bought or sold, from Form 4 filings.
- Derivatives Options and other derivative holdings reported by this person.
- Initial holdings The stakes this person held when they first started reporting.
- Compensation Executive pay disclosed in company proxy statements.
Insider at
Insider transactions
0 buys (P)
0 sells (S)
Net:
$0
+ 26 non-open-market transactions below
last 12 months, based on the transactions shown below
Price change vs current quote, split-adjusted for corporate actions since the filing — not benchmarked, not annualized, not size-weighted
26 other filings hidden
| Date | Ticker | Code | Shares | Price | Value | Owned after | Δ own | A/D | vs now |
|---|---|---|---|---|---|---|---|---|---|
| Aug. 24, 2018 | GERN | S 10b5-1 | 37,500 | $4.51 | $169,125 | 0 Direct | -100.00% | Disposed | -65.3% (price as of 2026-08-20) |
| Aug. 24, 2018 | GERN | S 10b5-1 | 112,500 | $4.51 | $507,375 | 0 Direct | -100.00% | Disposed | -65.3% (price as of 2026-08-20) |
| Aug. 24, 2018 | GERN | S 10b5-1 | 131,250 | $4.51 | $591,938 | 0 Direct | -100.00% | Disposed | -65.3% (price as of 2026-08-20) |
| Aug. 24, 2018 | GERN | S 10b5-1 | 420,000 | $4.51 | $1,894,200 | 0 Direct | -100.00% | Disposed | -65.3% (price as of 2026-08-20) |
| Aug. 24, 2018 | GERN | S 10b5-1 | 200,000 | $4.51 | $902,000 | 0 Direct | -100.00% | Disposed | -65.3% (price as of 2026-08-20) |
| Aug. 24, 2018 | GERN | S 10b5-1 | 425,000 | $4.51 | $1,916,750 | 0 Direct | -100.00% | Disposed | -65.3% (price as of 2026-08-20) |
| Aug. 24, 2018 | GERN | S 10b5-1 | 36,000 | $4.51 | $162,360 | 0 Direct | -100.00% | Disposed | -65.3% (price as of 2026-08-20) |
P = Open-market purchase · S = Sale · A = Grant/award · M = Option exercise · G = Gift · F = Tax withholding
Insider transactions are not a recommendation; sales are often driven by liquidity or tax reasons.
Derivative holdings (Form 4 Table II)
Options, RSUs and convertible securities reported on Form 4 Table II.
| Date | Ticker | Security | Underlying | Exercise price | Expiration | Shares | A/D |
|---|---|---|---|---|---|---|---|
| Feb. 16, 2022 | GERN | Employee Stock Option (right to buy) | Common Stock (750,000) | $1.06 | Feb. 15, 2032 | 750,000 | Acquired |
| Feb. 2, 2021 | GERN | Employee Stock Option (Right to buy) | Common Stock (300,000) | $2.06 | Feb. 1, 2031 | 300,000 | Acquired |
| Feb. 12, 2020 | GERN | Employee Stock Option (right to buy) | Common Stock (291,375) | $1.30 | Feb. 11, 2030 | 291,375 | Acquired |
| Jan. 30, 2019 | GERN | Employee Stock Option (right to buy) | Common Stock (300,000) | $1.03 | Jan. 29, 2029 | 300,000 | Acquired |
| Aug. 24, 2018 | GERN | Stock Option (Right to Buy) | Common Stock (37,500) | $2.45 | Jan. 31, 2028 | 37,500 | Disposed |
| Aug. 24, 2018 | GERN | Stock Option (Right to Buy) | Common Stock (112,500) | $2.15 | Feb. 9, 2027 | 112,500 | Disposed |
| Aug. 24, 2018 | GERN | Stock Option (Right to Buy) | Common Stock (131,250) | $2.54 | Feb. 11, 2026 | 131,250 | Disposed |
| Aug. 24, 2018 | GERN | Stock Option (Right to Buy) | Common Stock (420,000) | $1.51 | Feb. 12, 2023 | 420,000 | Disposed |
| Aug. 24, 2018 | GERN | Stock Option (Right to Buy) | Common Stock (200,000) | $1.41 | May 17, 2022 | 200,000 | Disposed |
| Aug. 24, 2018 | GERN | Stock Option (Right to Buy) | Common Stock (425,000) | $2.14 | Feb. 16, 2022 | 425,000 | Disposed |
| Aug. 24, 2018 | GERN | Stock Option (Right to Buy) | Common Stock (36,000) | $2.22 | Nov. 1, 2021 | 36,000 | Disposed |
| Jan. 31, 2018 | GERN | Employee Stock Option (right to buy) | Common Stock (300,000) | $2.45 | Jan. 31, 2028 | 300,000 | Acquired |
| Feb. 9, 2017 | GERN | Employee Stock Option (right to buy) | Common Stock (300,000) | $2.15 | Feb. 9, 2027 | 300,000 | Acquired |
| Feb. 11, 2016 | GERN | Employee Stock Option (right to buy) | Common Stock (210,000) | $2.54 | Feb. 11, 2026 | 210,000 | Acquired |
| March 13, 2015 | GERN | Employee Stock Option (right to buy) | Common Stock (210,000) | $4.34 | March 13, 2025 | 210,000 | Acquired |
| Feb. 10, 2014 | GERN | Employee Stock Option (right to buy) | Common Stock (400,000) | $5.01 | Feb. 10, 2024 | 400,000 | Acquired |
| Feb. 12, 2013 | GERN | Employee Stock Option (right to buy) | Common Stock (420,000) | $1.51 | Feb. 12, 2023 | 420,000 | Acquired |
| May 17, 2012 | GERN | Employee Stock Option (right to buy) | Common Stock (200,000) | $1.41 | May 17, 2022 | 200,000 | Acquired |
| Feb. 16, 2012 | GERN | Employee Stock Option (right to buy) | Common Stock (425,000) | $2.14 | Feb. 16, 2022 | 425,000 | Acquired |
Exercise/conversion price is blank when not applicable (e.g. RSUs).
Initial ownership (Form 3) 1 holding
Securities held when first becoming an insider, per SEC Form 3.
| Date | Ticker | Security | Shares | Ownership |
|---|---|---|---|---|
| Nov. 3, 2011 | GERN | Stock Option (right to buy)→ Common Stock (36,000) | 36,000 | Direct |
Compensation (DEF 14A)
Matched by name from proxy statements (DEF 14A) — verify against the filing.
| Fiscal year | Salary | Bonus | Stock awards | Option awards | Non-equity incentive | Pension change | Other | Total |
|---|---|---|---|---|---|---|---|---|
| 2018 | $356,000 | — | — | $496,740 | $148,185 | — | $13,937 | $1,014,862 |
| 2017 | $342,640 | — | — | $464,550 | $165,800 | — | $13,929 | $986,919 |
Figures from the Summary Compensation Table of the company's proxy statement (DEF 14A). Compensation is not a recommendation.