Yu Tony's Form 4 filing
GENELUX Corp (GNLX) · filed Oct 11, 2023
- Accession no.
- 0001209191-23-052621
- Filed
- Oct 11, 2023
- Trade date
- Oct 10, 2023
- Filing delay
- 1 day
- Rule 10b5-1 plan
- Not checked
This filing lists 3 non-derivative transactions and 1 derivative transaction. Open-market sales total $114.5K. It was filed 1 day after the trade.
Reporting owners
A Form 4 can have several reporting owners, such as a person and a fund they control. Trade tables show the first one.
| Owner | Relationship to the company |
|---|---|
| Yu TonyCIK 0001937482 | Officer (VP, Clinical Trial Operations) |
Non-derivative securities (Table I)
Acquisitions and disposals of common stock and similar shares, one row per line on the filing.
| Trade date | Security | Transaction | Shares | Price | Value | Shares after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Oct 10, 2023 | Common Stock | MOption exerciseAcquired | +5,200 | $6.00 | +$31,200 | 111,335 | Direct | |
| Oct 10, 2023 | Common Stock | SSaleDisposed | −4,800 | $21.94F2 | −$105,312 | 106,535 | Direct | |
| Oct 10, 2023 | Common Stock | SSaleDisposed | −400 | $22.91F3 | −$9,164 | 106,135 | Direct |
Derivative securities (Table II)
Options, warrants, restricted stock units and similar. Shares are the underlying shares; price and value are for the derivative itself, and the holding after is in derivative units.
| Trade date | Security | Transaction | Underlying shares | Unit price | Value | Held after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Oct 10, 2023 | Common Stock | MOption exerciseDisposed | −5,200 | $0.00 | $0 | 212,853 | Direct |
Footnotes and remarks
Livermore keeps the footnotes that transaction prices refer to, all footnotes of amendments (Form 4/A) and the filing's remarks. Other footnotes, such as how indirect holdings are held or the details of a trading plan, are only in the original on SEC EDGAR.
- F2
The weighted average sale price for the transaction reported was $21.9374, and the range of prices were between $21.54 and $22.40. 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.
Referenced by the price of 1 transaction in Table I.
- F3
The weighted average sale price for the transaction reported was $22.906, and the range of prices were between $22.82 and $22.99. 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.
Referenced by the price of 1 transaction in Table I.