Form 4 for GNLX GENELUX Corp
Accepted 2023-01-30 00:00:00 ET · period of report 2023-01-30 · accession 0001209191-23-005477 · SEC index · Original document
Summary rows
Aggregated the way they appear in lists: one row per insider, transaction code and security table.
| X | Filed | Traded | Ticker | Insider | Title | Type | Price | Qty | Owned | ΔOwn | Value |
|---|---|---|---|---|---|---|---|---|---|---|---|
| DMI | 2023-01-30 | 2023-01-30 | GNLX | Woodward Gabe | Dir | C - Cnv Deriv | — | +8,176 | 5,378 | New | — |
| D | 2023-01-30 | 2023-01-30 | GNLX | Woodward Gabe | Dir | C - Cnv Deriv | — | +3,186 | 3,186 | New | — |
| DMI | 2023-01-30 | 2023-01-30 | GNLX | Woodward Gabe | Dir | C - Cnv Deriv | — | -19.0K | 0 | -100% | — |
| D | 2023-01-30 | 2023-01-30 | GNLX | Woodward Gabe | Dir | C - Cnv Deriv | — | -7,000 | 0 | -100% | — |
Purchase Sale Sale after option exercise All abbreviations
Every reported transaction
| # | Table | Security | Date | Code | A/D | Shares | Price | Owned after | Own | Exercise / expiry | Underlying | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|---|
| 1 | Common | Common Stock | 2023-01-30 | C | A | 2,798 | — | 2,798 | I | — | — | (F3) Each share of Series K Preferred Stock automatically converted into shares of Common Stock at a conversion ratio of 1.399411327 shares of Common Stock for each 3 shares of Series K Preferred Stock upon the closing of the Issuer's initial public offering. The Series K Preferred Stock had no expiration date. |
| 2 | Common | Common Stock | 2023-01-30 | C | A | 3,186 | — | 3,186 | D By Trust | — | — | (F2) Each share of Series J Preferred Stock automatically converted into shares of Common Stock at a conversion ratio of 1.36557561 shares of Common Stock for each 3 shares of Series J Preferred Stock upon the closing of the Issuer's initial public offering. The Series J Preferred Stock had no expiration date. (F4) By Gabe Woodward, Trustee of The Gabe and Staci Woodward Family Trust dated June 5, 2009. |
| 3 | Common | Common Stock | 2023-01-30 | C | A | 5,378 | — | 5,378 | I By Olympic Xploration | — | — | (F1) Each share of Series I Preferred Stock automatically converted into shares of Common Stock at a conversion ratio of 1.36557561 shares of Common Stock for each 3 shares of Preferred Stock upon the closing of the Issuer's initial public offering. The Series I Preferred Stock had no expiration date. |
| 4 | Derivative | Series K Preferred Stock | 2023-01-30 | C | D | 6,000 | — | 0 | I | — · — to — | 2,798 Common Stock | (F3) Each share of Series K Preferred Stock automatically converted into shares of Common Stock at a conversion ratio of 1.399411327 shares of Common Stock for each 3 shares of Series K Preferred Stock upon the closing of the Issuer's initial public offering. The Series K Preferred Stock had no expiration date. |
| 5 | Derivative | Series J Preferred Stock | 2023-01-30 | C | D | 7,000 | — | 0 | D By Trust | — · — to — | 3,186 Common Stock | (F2) Each share of Series J Preferred Stock automatically converted into shares of Common Stock at a conversion ratio of 1.36557561 shares of Common Stock for each 3 shares of Series J Preferred Stock upon the closing of the Issuer's initial public offering. The Series J Preferred Stock had no expiration date. (F4) By Gabe Woodward, Trustee of The Gabe and Staci Woodward Family Trust dated June 5, 2009. |
| 6 | Derivative | Series I Preferred Stock | 2023-01-30 | C | D | 13,000 | — | 0 | I By Olympic Xploration | — · — to — | 5,378 Common Stock | (F1) Each share of Series I Preferred Stock automatically converted into shares of Common Stock at a conversion ratio of 1.36557561 shares of Common Stock for each 3 shares of Preferred Stock upon the closing of the Issuer's initial public offering. The Series I Preferred Stock had no expiration date. |