Yong Yu - 26 Sep 2023 Form 4 Insider Report for GENELUX Corp (GNLX)

Role
VP, Clinical Trial Operations
Signature
/s/ Sean Ryder, Attorney-in-Fact
Issuer symbol
GNLX
Transactions as of
26 Sep 2023
Transactions value $
$-91,328
Form type
4
Filing time
27 Sep 2023, 17:10:09 UTC
Previous filing
21 Sep 2023
Next filing
11 Oct 2023
SEC
View on sec.gov

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction GNLX Common Stock Options Exercise $31,200 +5,200 +4.9% $6.00* 111,335 26 Sep 2023 Direct
transaction GNLX Common Stock Sale $-42,442 -1,883 -1.69% $22.54 109,452 26 Sep 2023 Direct F1, F2
transaction GNLX Common Stock Sale $-26,195 -1,114 -1.02% $23.51 108,338 26 Sep 2023 Direct F1, F3
transaction GNLX Common Stock Sale $-53,890 -2,203 -2.03% $24.46 106,135 26 Sep 2023 Direct F1, F4

Derivative Securities (e.g., puts, calls, warrants, options, convertible securities)

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Underlying Class Amount Exercise Price Ownership Footnotes
transaction GNLX Stock Option (right to buy) Options Exercise $0 -5,200 -2.33% $0.000000 218,053 26 Sep 2023 Common Stock 5,200 $6.00 Direct F5
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 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.
F2 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.
F3 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.
F4 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.
F5 Immediately exercisable.