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Genelux (GNLX) CEO discloses stock sales for RSU tax payments

Filing Impact
(Neutral)
Filing Sentiment
(Negative)
Form Type
4

Rhea-AI Filing Summary

Genelux Corporation president and CEO Thomas Zindrick reported sales of company common stock primarily to cover estimated taxes related to the vesting of restricted stock units. On August 21, 2025, he sold 12,673 shares of common stock at an average price of $3.3267 per share, and on November 17, 2025 he sold an additional 4,509 shares at $5.3694 per share.

After these transactions, he beneficially owned 538,431 shares of Genelux common stock directly. According to the footnotes, this total reflects the reported sales, transactions reported on a filing dated August 29, 2025, and 1,452 shares acquired under the Issuer's Employee Stock Purchase Plan on November 14, 2025.

Positive

  • None.

Negative

  • None.
Insider Zindrick Thomas
Role President and CEO
Sold 17,182 shs ($66K)
Type Security Shares Price Value
Sale Common Stock 4,509 $5.3694 $24K
Sale Common Stock 12,673 $3.3267 $42K
Holdings After Transaction: Common Stock — 538,431 shares (Direct)
Footnotes (1)
  1. Represents shares sold by the Reporting Person to cover estimated taxes to be paid by the Reporting Person in connection with the vesting of restricted stock units. The total shown in Column 5 takes into account the transactions reported on Form 4 filed on August 29, 2025, and 1,452 shares acquired under the Issuer's Employee Stock Purchase Plan on November 14, 2025.
Form 4 Insider Transactions: What Each Field Means →
SEC Form 4
FORM 4 UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940
OMB APPROVAL
OMB Number: 3235-0287
Estimated average burden
hours per response: 0.5
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
Check this box to indicate that a transaction was made pursuant to a contract, instruction or written plan for the purchase or sale of equity securities of the issuer that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c). See Instruction 10.
1. Name and Address of Reporting Person*
Zindrick Thomas
(Last) (First) (Middle)
C/O GENELUX CORPORATION
2625 TOWNSGATE ROAD, SUITE 230
(Street)
WESTLAKE VILLAGE CA 91361
(City) (State) (Zip)
2. Issuer Name and Ticker or Trading Symbol
GENELUX Corp [ GNLX ] 		5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
Director 10% Owner
X Officer (give title below) Other (specify below)
President and CEO
3. Date of Earliest Transaction (Month/Day/Year)
08/21/2025
4. If Amendment, Date of Original Filed (Month/Day/Year)
 6. Individual or Joint/Group Filing (Check Applicable Line)
X Form filed by One Reporting Person
Form filed by More than One Reporting Person
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1. Title of Security (Instr. 3) 2. Transaction Date (Month/Day/Year) 2A. Deemed Execution Date, if any (Month/Day/Year) 3. Transaction Code (Instr. 8) 4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5) 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 7. Nature of Indirect Beneficial Ownership (Instr. 4)
Code V Amount (A) or (D) Price
Common Stock 08/21/2025 S(1) 12,673 D $3.3267 542,940(2) D
Common Stock 11/17/2025 S(1) 4,509 D $5.3694 538,431(2) D
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 3) 2. Conversion or Exercise Price of Derivative Security 3. Transaction Date (Month/Day/Year) 3A. Deemed Execution Date, if any (Month/Day/Year) 4. Transaction Code (Instr. 8) 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) 6. Date Exercisable and Expiration Date (Month/Day/Year) 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) 8. Price of Derivative Security (Instr. 5) 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) 10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 11. Nature of Indirect Beneficial Ownership (Instr. 4)
Code V (A) (D) Date Exercisable Expiration Date Title Amount or Number of Shares
Explanation of Responses:
1. Represents shares sold by the Reporting Person to cover estimated taxes to be paid by the Reporting Person in connection with the vesting of restricted stock units.
2. The total shown in Column 5 takes into account the transactions reported on Form 4 filed on August 29, 2025, and 1,452 shares acquired under the Issuer's Employee Stock Purchase Plan on November 14, 2025.
/s/ Thomas Zindrick 12/11/2025
** Signature of Reporting Person Date
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 4 (b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number.

Source: View Original Filing on SEC EDGAR

FAQ

What insider transactions did Genelux (GNLX) report for its CEO?

The filing reports that Genelux Corporation president and CEO Thomas Zindrick sold common stock in two transactions, both coded as sales, with details shown in Table I of the non-derivative securities section.

How many Genelux (GNLX) shares did CEO Thomas Zindrick sell and at what prices?

On August 21, 2025, he sold 12,673 shares of common stock at an average price of $3.3267 per share. On November 17, 2025, he sold another 4,509 shares at an average price of $5.3694 per share.

Why were the Genelux (GNLX) shares sold by the CEO?

According to the explanation of responses, the reported share sales represent shares sold by the reporting person to cover estimated taxes to be paid in connection with the vesting of restricted stock units.

How many Genelux (GNLX) shares does the CEO beneficially own after these transactions?

Following the reported sales, the filing states that Thomas Zindrick beneficially owned 538,431 shares of Genelux common stock directly.

Are derivative securities transactions reported for Genelux (GNLX) in this filing?

The section titled Table II for derivative securities is presented, but it does not list any specific derivative security transactions for the reporting person.

What other share changes are included in the CEO's total ownership of Genelux (GNLX)?

The footnotes state that the total beneficial ownership shown takes into account transactions reported on a filing dated August 29, 2025 and 1,452 shares acquired under the Issuer's Employee Stock Purchase Plan on November 14, 2025.