Genelux Corp SEC Filings

Genelux Corporation insider filing reports that Yu Yong, SVP, Clinical Development and director, had multiple stock options repriced effective September 1, 2025. Two option grants were adjusted so the exercise price was reduced to $3.33 per share (from prior prices of $6.00 and $22.40). The filing shows a one-time reduction only; expiration dates and vesting schedules were unchanged. After the reported transactions, Mr. Yu beneficially owns 207,652 shares underlying one repriced option and 65,000 shares underlying another option, with both grants showing vested or scheduled vesting as described.

Genelux Corp (GNLX) reporting person Ralph Smalling received 10,000 restricted stock units that vest over time and had option activity effective 09/01/2025. The RSUs vest 25% after one year and then in 12 equal quarterly installments. An existing option for 8,333 shares with a $6.00 exercise price was replaced by an option covering 8,333 shares with a reduced exercise price of $3.33 effective 09/01/2025; vesting and expiration (09/23/2030) remain unchanged. Following the transactions, Mr. Smalling beneficially owned 70,990 shares and held 8,333 exercisable options.

Genelux Corporation director and Chief Technical Officer Joseph Cappello reported a series of option transactions dated 09/01/2025. The filing shows a one-time reduction of option exercise prices effective that date: several stock options previously priced at $6.00 and $22.40 were reduced to an exercise price of $3.33, described as the issuer's common stock price on September 1, 2025. The filing records both dispositions (D) of the higher-priced options and acquisitions (A) of replacement options at $3.33, with no changes to expiration dates or vesting schedules. The filing notes that the shares subject to these options are fully vested for some grants and specifies vesting terms for others.

Genelux Corporation director John Thomas reported equity awards on 08/27/2025. The Form 4 shows a grant of 22,283 restricted stock units (RSUs) and an acquisition of 28,576 stock options with an exercise price of $3.64 and an expiration date of 08/26/2035. Following the reported RSU grant, Mr. Thomas beneficially owns 502,784 shares.

The RSUs and options vest upon the earlier of the one-year anniversary of grant or the issuer's next annual meeting of stockholders. Both the RSUs and the options are reported at $0 consideration for the RSUs and an exercise price of $3.64 for the options.

Genelux Corporation insider report: Thomas Zindrick, the company's President and CEO and a director, received equity awards that increase his potential ownership. He was granted 361,200 restricted stock units (RSUs) that convert to common shares upon vesting and a stock option covering 478,800 shares with an exercise price of $3.64. After the reported transactions, he beneficially owns 554,161 shares of common stock (including 1,514 shares from the Employee Stock Purchase Plan) and holds options exercisable into 478,800 shares. The RSUs vest 25% after one year, then quarterly over the remainder; the option vests 25% after one year, then monthly over the remainder, and expires in 2035.

Genelux Corporation (GNLX) insider Ralph Smalling received equity awards on 08/27/2025. The filing shows an award of 26,230 restricted stock units (RSUs) granted under the 2022 Equity Incentive Plan that vest 25% after one year and thereafter in 12 equal quarterly installments. Concurrently, Mr. Smalling was granted a stock option to buy 34,770 shares at a $3.64 exercise price; the option vests 25% after one year and the remainder in 36 equal monthly installments and expires 08/26/2035. After these transactions Mr. Smalling beneficially owns 60,990 shares of common stock and holds options for 34,770 shares.

John W. Smither, a director of Genelux Corporation (GNLX), received equity awards on 08/27/2025. The Form 4 reports an acquisition of 22,283 restricted stock units (RSUs) that convert to one share each upon vesting and an acquisition of a stock option covering 28,576 shares with a $3.64 exercise price and an 08/26/2035 expiration. Both the RSUs and the option vest on the earlier of the one-year anniversary of grant or the company’s next annual meeting. After the transactions, Smither beneficially owns 74,994 shares and 28,576 option shares.

Yong Yu, SVP Clinical Development of Genelux Corporation (GNLX), reported equity awards and option grants dated 08/27/2025. The filing shows an acquisition of 101,480 restricted stock units (RSUs) under the 2022 Equity Incentive Plan and a stock option to buy 134,520 shares at an exercise price of $3.64 expiring 08/26/2035.

Following the RSU grant and other holdings, Mr. Yu beneficially owns 150,036 shares, which includes 916 shares from the Employee Stock Purchase Plan. The RSUs vest 25% after one year then quarterly over the remaining period; the option vests 25% after one year then monthly over three years.