John Thomas - 25 Jan 2023 Form 3 Insider Report for GENELUX CORP (GNLX)

Role
Director
Signature
/s/ Sean Ryder, J.D., Attorney-in-Fact
Issuer symbol
GNLX
Transactions as of
25 Jan 2023
Net transactions value
$0
Form type
3
Filing time
25 Jan 2023, 18:28:40 UTC
Next filing
30 Jan 2023
SEC
View on sec.gov

Derivative Securities (e.g., puts, calls, warrants, options, convertible securities)

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Underlying Class Amount Exercise Price Ownership Footnotes
holding GNLX Series A Preferred Stock 25 Jan 2023 Common Stock 470,000 Direct F1
holding GNLX Stock Option (right to buy) 25 Jan 2023 Common Stock 5,000 $9.00 Direct F2
holding GNLX Stock Option (right to buy) 25 Jan 2023 Common Stock 10,000 $9.00 Direct F2
holding GNLX Stock Option (right to buy) 25 Jan 2023 Common Stock 5,000 $9.00 Direct F2
holding GNLX Stock Option (right to buy) 25 Jan 2023 Common Stock 5,000 $10.50 Direct F2
holding GNLX Stock Option (right to buy) 25 Jan 2023 Common Stock 9,916 $10.50 Direct F2
holding GNLX Stock Option (right to buy) 25 Jan 2023 Common Stock 9,916 $10.50 Direct F2
holding GNLX Stock Option (right to buy) 25 Jan 2023 Common Stock 10,908 $10.50 Direct F2
holding GNLX Stock Option (right to buy) 25 Jan 2023 Common Stock 25,000 $10.50 Direct F2
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 The Series A Preferred Stock will automatically convert into shares of Common Stock at a conversion ratio of 1 share of Common Stock for each 3 shares of Preferred Stock immediately upon the closing of the Issuer's initial public offering. The Preferred Stock has no expiration date.
F2 Immediately exercisable.