Filing Details
- Accession Number:
- 0001209191-23-050643
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2023-09-27 16:10:09
- Reporting Period:
- 2023-09-26
- Accepted Time:
- 2023-09-27 16:10:09
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1231457 | Genelux Corp | GNLX | Pharmaceutical Preparations (2834) | 000000000 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1937482 | Yong Yu | C/O Genelux Corporation 2625 Townsgate Road, Suite 230 Westlake Village CA 91361 | Vp, Clinical Trial Operations | No | Yes | No | No |
Reported Non-Derivative Transactions
| Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|---|---|---|---|---|---|
| Common Stock | Acquisiton | 2023-09-26 | 5,200 | $6.00 | 111,335 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2023-09-26 | 1,883 | $22.54 | 109,452 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2023-09-26 | 1,114 | $23.51 | 108,338 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2023-09-26 | 2,203 | $24.46 | 106,135 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | Direct | |
| No | 4 | S | Direct | |
| No | 4 | S | Direct | |
| No | 4 | S | Direct |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Stock Option (right to buy) | Disposition | 2023-09-26 | 5,200 | $0.00 | 5,200 | $6.00 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 218,053 | 2029-09-20 | No | 4 | M | Direct |
Footnotes
- The sale reported in this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on June 16, 2023.
- The weighted average sale price for the transaction reported was $22.5397, and the range of prices were between $22.13 and $23.12. Upon request by the SEC staff, the Issuer, or any security holder of the Issuer, full information regarding the number of shares sold at each separate price will be provided.
- The weighted average sale price for the transaction reported was $23.5145, and the range of prices were between $23.16 and $24.14. Upon request by the SEC staff, the Issuer, or any security holder of the Issuer, full information regarding the number of shares sold at each separate price will be provided.
- The weighted average sale price for the transaction reported was $24.4623, and the range of prices were between $24.24 and $24.755. Upon request by the SEC staff, the Issuer, or any security holder of the Issuer, full information regarding the number of shares sold at each separate price will be provided.
- Immediately exercisable.
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