Genelux CSO sells 9,683 shares for tax obligations

GENELUX’s Chief Scientific Officer sold shares mainly to cover tax obligations from RSU vesting, and continues to hold a substantial direct stake.

Rhea-AI Filing Summary

GENELUX Corp (GNLX) reported that Chief Scientific Officer Yong Yu sold 9,683 shares of common stock on August 31, 2026 at a weighted average price of $2.7531 per share in an open-market or private transaction. According to the company’s disclosure, these shares were sold to cover estimated taxes arising from the vesting of restricted stock units. After this tax-related sale, Yu directly holds 258,688 shares of GENELUX common stock. No Rule 10b5-1 trading plan is reported for this transaction.

Insider Trade Summary

Net Seller: 9,683 shares

Net Sell 1 txn

Insider Yu Yong

Role Chief Scientific Officer

Sold 9,683 shs ($27K)

Type	Security	Shares	Price	Value
Sale	Common Stock F1, F2	9,683	$2.7531	$27K

Holdings After Transaction: Common Stock — 258,688 shares (Direct)

Footnotes (2)

1. F1. 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. F2. The weighted average sale price for the transaction reported was $2.7531, and the range of prices were between $2.70 and $2.78. 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

Key Figures

Shares sold: 9,683 shares Weighted average sale price: $2.7531 per share Sale price range: $2.70–$2.78 per share +1 more

4 metrics

Shares sold 9,683 shares Common stock sold by Yong Yu on August 31, 2026

Weighted average sale price $2.7531 per share Average price for the August 31, 2026 sale transaction

Sale price range $2.70–$2.78 per share Range of prices for individual trades within the reported sale

Shares held after transaction 258,688 shares Direct GENELUX common stock holdings of Yong Yu after the sale

Key Terms

restricted stock units, weighted average sale price, open market or private transaction, Rule 10b5-1 trading plan

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.

weighted average sale price financial

"The weighted average sale price for the transaction reported was $2.7531"

open market or private transaction financial

"Sale in open market or private transaction"

Rule 10b5-1 trading plan regulatory

"No Rule 10b5-1 trading plan is reported for this transaction"

A Rule 10b5-1 trading plan is a pre-arranged schedule that allows company insiders to buy or sell stock at specific times, even if they have inside information. It helps prevent accusations of unfair trading by making these transactions look planned and transparent, rather than sneaky or illegal.

FAQ

AI-generated questions and answers. How Rhea-AI works. Not financial advice.

What insider transaction did GENELUX (GNLX) disclose for Yong Yu?

GENELUX disclosed that Chief Scientific Officer Yong Yu sold 9,683 shares of common stock on August 31, 2026 in an open-market or private transaction, primarily to cover estimated taxes related to the vesting of restricted stock units.

At what price were the GNLX shares sold in this Form 4 filing?

The filing reports a weighted average sale price of $2.7531 per share, with individual trade prices ranging between $2.70 and $2.78. Full trade-level pricing details are available from the issuer, SEC staff, or any GENELUX security holder upon request.

Why did GENELUX’s Chief Scientific Officer sell 9,683 GNLX shares?

The shares were sold to cover estimated taxes owed by Yong Yu in connection with the vesting of restricted stock units. This indicates the transaction is linked to equity compensation and associated tax obligations rather than a discretionary liquidation of holdings.

How many GENELUX (GNLX) shares does Yong Yu hold after this transaction?

Following the August 31, 2026 sale, Yong Yu directly holds 258,688 shares of GENELUX common stock. This post-transaction holding reflects his remaining direct equity stake after disposing of 9,683 shares for tax-related purposes.

Was the GNLX insider sale made under a Rule 10b5-1 trading plan?

No. The filing indicates that the Rule 10b5-1 checkbox is not marked, and there is no footnote stating that the sale was made under a Rule 10b5-1 trading plan, so the transaction is not identified as pre-arranged under such a plan.

AI-generated analysis. How Rhea-AI works. Not financial advice.

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Available on EDGAR 09/02/2026 - 07:05 PM EDT Accepted by SEC EDGAR 09/02/2026 - 07:05 PM EDT Learn about SEC filing dates

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^*

Yu Yong

(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)
	Chief Scientific Officer

2a. Foreign Trading Symbol

3. Date of Earliest Transaction (Month/Day/Year)
08/31/2026

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	08/31/2026		S(1)		9,683	D	$2.7531(2)	258,688	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 weighted average sale price for the transaction reported was $2.7531, and the range of prices were between $2.70 and $2.78. 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

	/s/ Thomas Zindrick, Attorney-in-Fact	09/02/2026
	** 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)