Tax-related share sale by Genelux (GNLX) Head of Regulatory

Rhea-AI Filing Summary

GENELUX Corp executive Ralph Smalling, Head of Regulatory, reported an open-market sale of 192 shares of common stock at $2.93 per share on June 3, 2026. According to the footnote, these shares were sold solely to cover estimated taxes owed upon the vesting of restricted stock units. After this tax-related sale, Smalling directly held 67,611 shares of GENELUX common stock.

Insider Trade Summary

Net Seller: 192 shares ($563)

Net Sell 1 txn

Insider Smalling Ralph

Role Head of Regulatory

Sold 192 shs ($562.56)

Type	Security	Shares	Price	Value
Sale	Common Stock	192	$2.93	$562.56

Holdings After Transaction: Common Stock — 67,611 shares (Direct, null)

Footnotes (1)

1. [object Object]

Key Figures

Shares sold: 192 shares Sale price: $2.93 per share Shares held after transaction: 67,611 shares +2 more

5 metrics

Shares sold 192 shares Open-market sale on June 3, 2026

Sale price $2.93 per share Price for GENELUX common stock in the reported sale

Shares held after transaction 67,611 shares Direct holdings of Ralph Smalling following the sale

Transaction type Open-market sale Form 4 code S, described as sale in open or private transaction

Reason for sale Cover estimated taxes Footnote: taxes from vesting of restricted stock units

Key Terms

restricted stock units, open-market sale, Form 4, Head of Regulatory

4 terms

restricted stock units financial

"in connection with the vesting of restricted stock units."

Restricted stock units are a type of company reward where employees are promised shares of stock, but they only fully own these shares after meeting certain conditions, like staying with the company for a set time. They matter because they can become valuable assets and are often used to motivate employees to help the company succeed.

open-market sale financial

"transaction_action: "open-market sale""

An open-market sale is when a shareholder sells existing shares directly on a public exchange to any willing buyer, rather than through a private deal. Think of it like putting goods on a busy market stall where price is set by supply and demand; for investors it matters because such sales increase available supply, can put short-term downward pressure on the stock price, and signal changes in liquidity or investor confidence.

Form 4 regulatory

"INSIDER FILING DATA (Form 4):"

Form 4 is a official document that company insiders, such as executives or major shareholders, file with regulators whenever they buy or sell company shares. It provides transparency about how those with inside knowledge are trading, helping investors see if insiders are confident in the company's prospects or may be selling for personal reasons. This information can influence investor decisions by revealing insiders' perspectives on the company's value.

Head of Regulatory financial

"officer_title": "Head of Regulatory""

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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^*

Smalling Ralph

(Last) (First) (Middle)

C/O GENELUX CORPORATION

2625 TOWNSGATE ROAD, SUITE 230

(Street)

WESTLAKE VILLAGE CALIFORNIA 91361

(City) (State) (Zip)

UNITED STATES

(Country)

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)
	Head of Regulatory

2a. Foreign Trading Symbol

3. Date of Earliest Transaction (Month/Day/Year)
06/03/2026

6. Individual or Joint/Group Filing (Check Applicable Line)

X	Form filed by One Reporting Person
	Form filed by More than One Reporting Person

4. If Amendment, Date of Original Filed (Month/Day/Year)

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	06/03/2026		S(1)		192	D	$2.93	67,611	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.

	/s/ Thomas Zindrick, J.D., Attorney-in-Fact	06/04/2026
	** 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.
* Form 4: SEC 1474 (03-26)

FAQ

What did GENELUX (GNLX) executive Ralph Smalling report in this Form 4?

Ralph Smalling reported selling 192 shares of GENELUX common stock at $2.93 per share. The filing states the sale was to cover estimated taxes related to restricted stock unit vesting and not a discretionary portfolio trade.

How many GENELUX (GNLX) shares does Ralph Smalling hold after this transaction?

After the transaction, Ralph Smalling directly holds 67,611 GENELUX common shares. This shows the tax-related sale involved a small portion of his overall position, with the vast majority of his holdings remaining unchanged after the RSU-related event.

Was the GENELUX (GNLX) Form 4 sale part of routine tax withholding?

Yes. The footnote explains the 192 shares were sold to cover estimated taxes tied to vesting restricted stock units. Such transactions are typically administrative, reflecting tax obligations rather than a change in the insider’s view of the company’s prospects.

What price per share was reported in the GENELUX (GNLX) Form 4 sale?

The reported sale price was $2.93 per GENELUX common share. This price applies to all 192 shares sold in the transaction that occurred on June 3, 2026, in connection with the vesting of restricted stock units.

Does this GENELUX (GNLX) insider sale indicate a major change in ownership?

No. Only 192 shares were sold, while 67,611 shares remain directly held by Ralph Smalling. The filing frames the sale as tax-related to RSU vesting, so it represents a small, routine adjustment rather than a significant ownership reduction.