Yong Yu - Sep 15, 2023 Form 4 Insider Report for GENELUX Corp (GNLX)

Role
VP, Clinical Trial Operations
Signature
/s/ Sean Ryder, Attorney-in-Fact
Stock symbol
GNLX
Transactions as of
Sep 15, 2023
Transactions value $
-$165,230
Form type
4
Date filed
9/18/2023, 08:13 PM
Previous filing
Sep 15, 2023
Next filing
Sep 21, 2023

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction GNLX Common Stock Options Exercise $62.4K +10.4K +9.8% $6.00 117K Sep 15, 2023 Direct
transaction GNLX Common Stock Sale -$123K -5.73K -4.91% $21.56 111K Sep 15, 2023 Direct F1, F2
transaction GNLX Common Stock Sale -$104K -4.68K -4.22% $22.29 106K Sep 15, 2023 Direct F1, F3

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 -10.4K -4.34% $0.00 229K Sep 15, 2023 Common Stock 10.4K $6.00 Direct F4
* 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 $21.5578, and the range of prices were between $21.01 and $21.99. 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 $22.2913, and the range of prices were between $22.02 and $22.77. 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 Immediately exercisable.