Every Form 4 that Genelux Corporation (GNLX) has filed with the SEC in the last 12 months is listed below, newest first, and each one links through to the document itself with the summary and the scores our analysis gives it.
A Form 4 covers the transactions officers, directors and large holders report, so if you follow GNLX and want that one kind of document rather than the whole filing history, this is the page to keep. The company's other filings, of every form, are on the full GNLX filings page.
GENELUX Corp (GNLX) reported that Chief Technical Officer Joseph Cappello sold 10,257 shares of common stock on August 31, 2026 at a weighted average price of $2.7408 per share, with prices ranging from $2.70 to $2.78. The shares were sold to cover estimated taxes arising from the vesting of restricted stock units, and he held 318,480 shares directly afterward. No Rule 10b5-1 trading plan is reported for this transaction.
GENELUX Corp (GNLX) reported that President and CEO Thomas Zindrick sold 34,463 shares of common stock on August 31, 2026 at a weighted average price of $2.6666 per share, in transactions with prices between $2.59 and $2.81. The company states these shares were sold to cover the reporting person's estimated taxes related to the vesting of restricted stock units. Following the sale, Zindrick directly holds 1,226,427 shares of GENELUX common stock, and no Rule 10b5-1 trading plan is reported for this transaction.
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.
GENELUX Corp Chief Scientific Officer Yong Yu reported selling 653 shares of common stock on August 4, 2026, at a weighted average price of $2.9434 per share, in a sale described as open-market or private. A footnote states the shares were sold to cover estimated taxes from the vesting of restricted stock units, and Yu held 268,371 shares afterward.
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.
Zindrick Thomas, President and CEO of Genelux Corp, reported selling 3,023 shares of Common Stock on August 4, 2026. The shares were sold at a weighted average price of $2.9459 per share, in a range between $2.905 and $2.97, to cover estimated taxes related to the vesting of restricted stock units. After these tax-related sales, he directly holds 1,260,890 shares of Genelux common stock.
GENELUX Corp director John W. Smither reported selling 12,000 shares of common stock in an open-market transaction. The shares were sold at a weighted average price of $2.9082 per share to cover estimated taxes related to the vesting of restricted stock units. After this tax-related sale, Smither directly holds 91,403 shares of GENELUX common stock.
Pulisic Matthew reported acquisition or exercise transactions in this Form 4 filing.
GENELUX Corp Chief Financial Officer Matthew Pulisic reported an equity compensation grant of 278,906 shares of Common Stock in the form of restricted stock units (RSUs). The RSUs were granted under the company’s 2022 Equity Incentive Plan at no cash purchase price.
Each RSU represents the right to receive one share of common stock upon vesting. According to the award terms, 25% of the RSUs will vest on the first anniversary of the grant date, with the remaining RSUs vesting in 12 equal quarterly installments thereafter. Following this grant, Pulisic’s directly held common stock reported in this filing totals 278,906 shares.
Groen Eric reported acquisition or exercise transactions in this Form 4 filing.
GENELUX Corp granted General Counsel Eric Groen 233,957 restricted stock units (RSUs) of common stock as equity compensation. The RSUs were awarded at no cash cost to Groen and represent a contingent right to receive shares upon vesting.
The grant was made under the company’s 2022 Equity Incentive Plan. 25% of the RSUs will vest on the first anniversary of the grant date, with the remaining units vesting in 12 equal quarterly installments over the following three years, subject to the vesting conditions.
Cappello Joseph reported acquisition or exercise transactions in this Form 4 filing.
GENELUX Corp Chief Technical Officer Joseph Cappello received a grant of 174,841 restricted stock units (RSUs). These RSUs were awarded at no purchase price under the company’s 2022 Equity Incentive Plan and increase his directly owned common stock and RSU holdings to 329,390 shares.
The award vests over time, with 25% of the RSUs vesting on the first anniversary of the grant date. The remaining 75% will vest in 12 equal quarterly installments, aligning Cappello’s compensation with longer-term company performance and continued service.
GENELUX Corp director James L. Tyree reported equity awards from the company. He received 28,409 shares of common stock in the form of restricted stock units, which each convert into one share of common stock when they vest. After this grant, he directly holds 96,483 shares of common stock.
Tyree was also granted stock options for 31,566 shares of common stock at an exercise price of $3.03 per share, expiring on June 15, 2036. Both the RSUs and the options vest on the earlier of the one-year anniversary of the June 16, 2026 grant date or the company’s next annual meeting of stockholders.
GENELUX Corp reported that President and CEO Thomas Zindrick received a grant of 730,601 restricted stock units (RSUs) of common stock as equity compensation. The award was made at no cash cost per share under the company’s 2022 Equity Incentive Plan.
Each RSU represents the right to receive one share of common stock upon vesting. The RSUs vest 25% on the first anniversary of the grant date, with the remaining units vesting in 12 equal quarterly installments thereafter. Following this grant, Zindrick directly holds 1,263,913 shares of common stock, which includes 1,261 shares acquired through the Employee Stock Purchase Plan on May 15, 2026.
GENELUX Corp director Thomas John reported new equity awards rather than open-market trades. He received 28,409 shares of common stock in the form of restricted stock units, each representing one share upon vesting. He was also granted stock options for 31,566 shares at an exercise price of $3.03 per share, expiring on June 15, 2036. Both the RSUs and the options will vest on the earlier of one year from the June 16, 2026 grant date or the company’s next annual stockholder meeting. Following these awards, John directly holds 501,193 shares of GENELUX common stock.
GENELUX Corp director Mary Mirabelli reported equity awards that increase her stake in the company. She received 28,409 shares of common stock in the form of restricted stock units granted under the 2022 Equity Incentive Plan, bringing her direct holdings to 102,693 common shares.
She was also granted stock options for 31,566 shares of common stock at an exercise price of $3.03 per share, expiring on June 15, 2036. Both the RSUs and options vest upon the earlier of one year from grant or the next annual meeting of stockholders, making this a compensation-related, non-market acquisition rather than an open-market trade.
Yu Yong reported acquisition or exercise transactions in this Form 4 filing.
GENELUX Corp Chief Scientific Officer Yu Yong received an equity award of 119,318 restricted stock units. These RSUs were granted at no cash cost under the company’s 2022 Equity Incentive Plan, increasing his directly held common stock–equivalent position to 269,024 shares, assuming full vesting.
The award vests over time: 25% will vest on the first anniversary of the grant date, with the remaining RSUs vesting in 12 equal quarterly installments thereafter. This structure is designed to tie a significant portion of the executive’s compensation to the company’s long-term share performance and ongoing service.
GENELUX Corp director John W. Smither reported equity awards consisting of restricted stock units and stock options. He received 28,409 shares of Common Stock as a grant, bringing his directly held Common Stock to 103,403 shares following the award.
Smither was also granted stock options covering 31,566 shares of Common Stock at an exercise price of $3.03 per share, expiring on June 15, 2036. Both the restricted stock units and the options vest upon the earlier of the one-year anniversary of the grant date or the company’s next annual meeting of stockholders.
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.
GENELUX Corp director Thomas John sold 10,000 shares of Common Stock in an open-market transaction. The sale on June 1, 2026 was made at a weighted average price of $2.9801 per share, with individual prices ranging between $2.94 and $3.05. After the sale, he directly owned 472,784 shares. The transaction was carried out pursuant to a Rule 10b5-1 trading plan adopted on June 4, 2025, indicating it was pre-arranged under SEC rules rather than timed discretionarily.
GENELUX Corp Chief Scientific Officer Yu Yong reported a small share sale primarily for tax purposes. On this Form 4, he sold 605 shares of common stock at a weighted average price of $2.9726 per share to cover estimated taxes related to the vesting of restricted stock units. Following this sale, he directly owns 149,706 shares of GENELUX common stock.
GENELUX Corp Chief Technical Officer Joseph Cappello reported a small sale of 605 shares of Common Stock. The shares were sold at a weighted average price of $2.9742 per share, with individual prices ranging between $2.96 and $3.01.
According to the disclosure, this sale was made to cover estimated taxes related to the vesting of restricted stock units, making it a tax-driven, compensation-related transaction rather than a discretionary portfolio decision. After this transaction, Cappello directly holds 154,549 shares of GENELUX Corp common stock.
GENELUX Corp President and CEO Thomas Zindrick reported a small stock sale primarily for tax purposes. He sold 2,798 shares of common stock on May 11, 2026 at a weighted average price of $2.9398 per share to cover estimated taxes tied to vesting of restricted stock units. After this transaction, he directly holds 532,051 shares of GENELUX common stock.
GENELUX Corp Head of Regulatory Ralph Smalling reported an open-market sale of 270 shares of common stock on May 11, 2026 at a weighted average price of $2.9796 per share.
According to the disclosure, these shares were sold to cover estimated taxes arising from the vesting of restricted stock units. After this tax-related sale, Smalling directly holds 67,803 shares of GENELUX common stock.
GENELUX Corp executive Ralph Smalling, Head of Regulatory, reported selling a total of 585 shares of common stock in open-market transactions on March 24 and 25, 2026 at prices of $2.42 and $2.51 per share. According to the disclosure, these sales were made to cover estimated taxes owed in connection with vesting restricted stock units. After these transactions, Smalling directly holds 68,073 shares of GENELUX common stock.
GENELUX Corp Chief Technical Officer sells small share block to cover taxes. Joseph Cappello reported an open-market sale of 906 shares of GENELUX common stock at $2.42 per share on March 24, 2026. According to the disclosure, the shares were sold to cover estimated taxes related to the vesting of restricted stock units. Following this transaction, Cappello directly holds 155,154 shares of GENELUX common stock.
GENELUX Corp senior vice president sells small block of shares for taxes. SVP of Clinical Development Yu Yong sold 906 shares of common stock at $2.42 per share in an open-market transaction to cover estimated taxes from vesting restricted stock units. After this sale, Yu Yong directly holds 144,938 shares.
GENELUX Corp President and CEO Thomas Zindrick reported an open-market sale of 3,582 shares of Common Stock on March 24, 2026 at an average price of $2.42 per share. According to the footnote, the sale was made to cover estimated taxes related to vesting restricted stock units, and he now directly holds 534,849 shares.
GENELUX Corp director Thomas John reported an open-market sale of 10,000 shares of common stock. The transaction occurred on March 2, 2026 at a weighted average price of $2.8957 per share, under a pre-arranged Rule 10b5-1 trading plan adopted on June 4, 2025. Following this sale, he directly holds 482,784 shares.
Genelux Corp’s Chief Medical Officer, Jason Litten, reported a new stock option grant. On 01/02/2026, he received an option to buy 275,000 shares of Genelux common stock at an exercise price of $4.55 per share.
The option vests over time, with 25% of the shares vesting on the first anniversary of the grant date and the remaining shares vesting in 36 equal monthly installments after that. Following this grant, Litten beneficially owns 275,000 stock options directly.
Genelux Corporation senior vice president of clinical development reported two sales of company common stock. On August 21, 2025, the reporting person sold 3,219 shares at $3.3574 per share, and on November 17, 2025, an additional 973 shares were sold at $5.3694 per share.
According to the disclosure, these shares were sold to cover estimated taxes related to the vesting of restricted stock units. After the reported transactions, the officer beneficially owned 145,844 shares of Genelux common stock directly.
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.