Form 4 for GNLX GENELUX Corp

Accepted 2023-01-30 00:00:00 ET · period of report 2023-01-30 · accession 0001209191-23-005478 · 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
D	2023-01-30	2023-01-30	GNLX	Thomas John	Dir	C - Cnv Deriv	—	+470.0K	470.0K	New	—
D	2023-01-30	2023-01-30	GNLX	Thomas John	Dir	C - Cnv Deriv	—	-1.41M	0	-100%	—

Purchase Sale Sale after option exercise All abbreviations

#	Table	Security	Date	Code	A/D	Shares	Price	Owned after	Own	Exercise / expiry	Underlying	Footnotes
1	Common	Common Stock	2023-01-30	C	A	470,000	—	470,000	D	—	—	(F1) Each share of Series A Preferred Stock automatically converted into shares of Common Stock at a conversion ratio of 1 share of Common Stock for each 3 shares of Preferred Stock upon the closing of the Issuer's initial public offering. The Series A Preferred Stock had no expiration date.
2	Derivative	Series A Preferred Stock	2023-01-30	C	D	1,410,000	—	0	D	— · — to —	470,000 Common Stock	(F1) Each share of Series A Preferred Stock automatically converted into shares of Common Stock at a conversion ratio of 1 share of Common Stock for each 3 shares of Preferred Stock upon the closing of the Issuer's initial public offering. The Series A Preferred Stock had no expiration date.