Genelux CTO sells 653 shares to cover RSU taxes

Accepted by SEC EDGAR 08/04/2026 - 08:20 PM EDT Learn about SEC filing dates

Rhea-AI Filing Summary

Genelux Corp reports that its Chief Technical Officer, Joseph Cappello, sold 653 shares of common stock on 2026-08-04 at a weighted average price of $2.9467 per share, within a $2.91 to $2.97 range, to cover estimated taxes from vesting restricted stock units; he now holds 328,737 shares directly.

Insider Trade Summary

Net Seller: 653 shares

Net Sell 1 txn

Insider Cappello Joseph

Role Chief Technical Officer

Sold 653 shs ($2K)

Type	Security	Shares	Price	Value
Sale	Common Stock F1, F2	653	$2.9467	$2K

Holdings After Transaction: Common Stock — 328,737 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 $2.9467, and the range of prices were between $2.91 and $2.97. 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: 653 shares Weighted average sale price: $2.9467 per share Sale price range: $2.91 to $2.97 per share +1 more

4 metrics

Shares sold 653 shares Common stock sold on 2026-08-04 by CTO Joseph Cappello

Weighted average sale price $2.9467 per share Weighted average sale price for the 653-share transaction

Sale price range $2.91 to $2.97 per share Range of prices for shares sold in the reported transaction

Shares owned after transaction 328,737 shares Direct common stock ownership by Joseph Cappello following the sale

Key Terms

restricted stock units, weighted average sale price, vesting

3 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 $2.9467"

vesting financial

"taxes to be paid ... in connection with the vesting of restricted stock units"

Vesting is the process by which you earn full ownership of something, like company stock or a retirement benefit, over time. It’s like earning the right to keep a gift piece by piece the longer you stay with a company, making sure employees stay committed before they receive all the benefits.

FAQ

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

What insider transaction did GENELUX Corp (GNLX) disclose in this Form 4?

GENELUX Corp reported that CTO Joseph Cappello sold 653 shares of common stock on 2026-08-04 at a weighted average price of $2.9467 per share. The sale was executed to cover estimated taxes related to restricted stock unit vesting.

Why did GENELUX (GNLX) CTO Joseph Cappello sell 653 shares?

The 653 shares were sold by Joseph Cappello solely to cover estimated taxes owed in connection with the vesting of restricted stock units. This tax-related sale is described in the filing’s footnote and is not presented as a discretionary portfolio transaction.

What are Joseph Cappello’s GENELUX (GNLX) share holdings after the reported sale?

After selling 653 shares, GENELUX Chief Technical Officer Joseph Cappello directly holds 328,737 shares of common stock. This post-transaction ownership figure is explicitly stated, showing that he retains a substantial continuing equity position in the company.

At what prices were the GENELUX (GNLX) shares sold in the insider trade?

The shares were sold at a weighted average price of $2.9467 per share, with individual sale prices ranging between $2.91 and $2.97. The filing notes that detailed price breakdowns are available to the SEC staff, the issuer, or security holders upon request.

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

The Rule 10b5-1 checkbox in the report is not marked as affirmative, and the footnotes do not reference any trading plan. The transaction is instead described as a sale to cover estimated taxes arising from restricted stock unit vesting.

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

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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^*

Cappello Joseph

(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 Technical Officer

2a. Foreign Trading Symbol

3. Date of Earliest Transaction (Month/Day/Year)
08/04/2026

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	08/04/2026		S(1)		653	D	$2.9467(2)	328,737	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 $2.9467, and the range of prices were between $2.91 and $2.97. 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	08/04/2026
	** 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)