Welcome to our dedicated page for Genelux SEC filings (Ticker: GNLX), a comprehensive resource for investors and traders seeking official regulatory documents including 10-K annual reports, 10-Q quarterly earnings, 8-K material events, and insider trading forms.
Genelux Corporation filings document the regulatory record for a clinical-stage oncology issuer developing Olvi-Vec and related immuno-oncology programs. Its disclosures include proxy statements for director elections, auditor ratification and annual meeting governance, as well as Form 8-K reports covering material agreements, Regulation FD presentations, equity financing arrangements and capital-structure updates.
The filing record also covers shelf registration and prospectus supplement activity for common stock offerings, use-of-proceeds disclosures for research and development and clinical trial expenses, and compensation matters such as outstanding option exercise-price reductions under equity incentive plans.
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.
GNLX reported a Form 144 filing disclosing a 10b5-1 sale of common stock. The filing shows Johnny Thomas sold 10,000 shares on 03/02/2026 under a 10b5-1 plan with Morgan Stanley Smith Barney LLC listed as the broker; proceeds shown were $28,957.00.
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 Corporation is a late clinical-stage biopharmaceutical company developing oncolytic viral immunotherapies and remains pre‑revenue, reporting a net loss of $8.9 million for the quarter ended March 31, 2026, compared with $7.5 million a year earlier.
Operating expenses rose to $9.2 million, driven mainly by higher research and development spending as the company advances its Olvi‑Vec program, including a Phase 3 trial. Cash, cash equivalents, restricted cash and marketable securities totaled $26.3 million, bolstered by a January 2026 equity offering that raised $18.5 million.
The company’s auditors and management highlight substantial doubt about its ability to continue as a going concern, as Genelux has an accumulated deficit of $292.5 million and expects continued losses. Management currently expects existing funds to support planned operations into the first quarter of 2027.
Genelux Corporation is asking stockholders to vote at its 2026 virtual annual meeting on electing one Class I director and ratifying its independent auditor. The meeting will be held online on June 16, 2026 at 8:00 a.m. Pacific Time, with April 17, 2026 as the record date.
Stockholders will vote on re-electing John Smither to the Board to serve until the 2029 annual meeting and on ratifying Weinberg & Company, P.A. as auditor for the fiscal year ending December 31, 2026. The Board is currently five members, four of whom are classified as independent under Nasdaq rules.
The company reports 44,842,243 common shares outstanding as of the record date, requiring 22,421,122 shares for a quorum. The proxy also details governance practices, committee structures, executive roles and 2025 compensation, including a $613,000 base salary and $4.3 million total compensation for the CEO.