SEC Form 4
Genelux Corporation (GNLX) insider trading
In the 12 months to Nov 6, 2026, 6 GNLX insiders reported open-market sales of $445.3K across 26 filings; no open-market purchases were filed.
Latest filing · Last 12 months · Source: SEC EDGAR · How we count
- Open-market sales
- $445.3K
- 26 filings · 6 insiders
- Open-market purchases
- $0
- 0 filings
- Pre-arranged sales (10b5-1)
- 3 of 26
- $108.8K of $445.3K sold (24%)
Who traded GNLX, and when
- Sale
- Sale, pre-arranged (10b5-1)
GNLX daily close from Nov 6, 2025 to Nov 6, 2026, between $1.82 and $5.98, last $1.96. 26 sale and 0 purchase filings by 6 insiders, marked at their filing dates. Thomas Zindrick, President and CEO: sold $190.4K across 6 filings, first filed Dec 11, 2025, last Nov 5, 2026. John Thomas, Director: sold $108.8K across 3 filings, first filed Dec 2, 2025, last Jun 2, 2026. Yong Yu, SVP, Clinical Development → Chief Scientific Officer: sold $49.9K across 6 filings, first filed Dec 11, 2025, last Nov 5, 2026. Joseph Cappello, Chief Technical Officer: sold $49.8K across 6 filings, first filed Dec 11, 2025, last Nov 5, 2026. John W. Smither, Director: sold $34.9K across 1 filing, first filed Jul 2, 2026, last Jul 2, 2026. Ralph Smalling, Head of Regulatory: sold $11.5K across 4 filings, first filed Dec 9, 2025, last Jun 4, 2026.
Largest mark · tap a row for others
Thomas Zindrick · President and CEO
Sale $91,899
34,463 shares at $2.67 avg
Filed Sep 2, 2026 · traded Aug 31
Close on filing date $2.55
Thomas Zindrick · President and CEO
President and CEO
$190.4K soldJohn Thomas · Director
Director
$108.8K soldYong Yu · SVP, Clinical Development → Chief Scientific Officer
SVP, Clinical Development → Chief Scientific Officer
$49.9K soldJoseph Cappello · Chief Technical Officer
Chief Technical Officer
$49.8K soldJohn W. Smither · Director
Director
$34.9K soldRalph Smalling · Head of Regulatory
Head of Regulatory
$11.5K soldOpen-market trades
26 filings in the last 12 months| Insider | Role | Sold | Bought | Filings | Pre-arranged (10b5-1) | Last filed |
|---|---|---|---|---|---|---|
| Thomas Zindrick | President and CEO | $190.4K | — | 6 | — | |
| John Thomas | Director | $108.8K | — | 3 | 100% of sales | |
| Yong Yu | SVP, Clinical Development → Chief Scientific Officer | $49.9K | — | 6 | — | |
| Joseph Cappello | Chief Technical Officer | $49.8K | — | 6 | — | |
| John W. Smither | Director | $34.9K | — | 1 | — | |
| Ralph Smalling | Head of Regulatory | $11.5K | — | 4 | — |
| Filed | Insider | Type | Shares | Avg price | Value | Held after | Source |
|---|---|---|---|---|---|---|---|
traded | Yong Yu Chief Scientific Officer | Sale | 668 | $2.01 | $1.3K | 258,020 | |
traded | Thomas Zindrick President and CEO | Sale | 3,089 | $2.05 | $6.3K | 1,223,338 | |
traded | Joseph Cappello Chief Technical Officer | Sale | 668 | $2.04 | $1.4K | 317,812 | |
traded | Yong Yu Chief Scientific Officer | Sale | 9,683 | $2.75 | $26.7K | 258,688 | |
traded | Thomas Zindrick President and CEO | Sale | 34,463 | $2.67 | $91.9K | 1,226,427 | |
traded | Joseph Cappello Chief Technical Officer | Sale | 10,257 | $2.74 | $28.1K | 318,480 | |
traded | Thomas Zindrick President and CEO | Sale | 3,023 | $2.95 | $8.9K | 1,260,890 | |
traded | Joseph Cappello Chief Technical Officer | Sale | 653 | $2.95 | $1.9K | 328,737 | |
traded | Yong Yu Chief Scientific Officer | Sale | 653 | $2.94 | $1.9K | 268,371 | |
traded | John W. Smither Director | Sale | 12,000 | $2.91 | $34.9K | 91,403 | |
traded | Ralph Smalling Head of Regulatory | Sale | 192 | $2.93 | $563 | 67,611 | |
traded | John Thomas Director | SalePre-arranged (10b5-1) | 10,000 | $2.98 | $29.8K | 472,784 | |
traded | Ralph Smalling Head of Regulatory | Sale | 270 | $2.98 | $804 | 67,803 | |
traded | Thomas Zindrick President and CEO | Sale | 2,798 | $2.94 | $8.2K | 532,051 | |
traded | Yong Yu Chief Scientific Officer | Sale | 605 | $2.97 | $1.8K | 149,706 | |
traded | Joseph Cappello Chief Technical Officer | Sale | 605 | $2.97 | $1.8K | 154,549 | |
traded | Thomas Zindrick President and CEO | Sale | 3,582 | $2.42 | $8.7K | 534,849 | |
traded | Yong Yu SVP, Clinical Development | Sale | 906 | $2.42 | $2.2K | 144,938 | |
traded | Joseph Cappello Chief Technical Officer | Sale | 906 | $2.42 | $2.2K | 155,154 | |
traded | Ralph Smalling Head of Regulatory | Sale | 585 | $2.46 | $1.4K | 68,073 | |
traded | John Thomas Director | SalePre-arranged (10b5-1) | 10,000 | $2.90 | $29.0K | 482,784 | |
traded | Joseph Cappello Chief Technical Officer | Sale | 3,706 | $3.88 | $14.4K | 156,060 | |
traded | Yong Yu SVP, Clinical Development | Sale | 4,192 | $3.82 | $16.0K | 145,844 | |
traded | Thomas Zindrick President and CEO | Sale | 17,182 | $3.86 | $66.4K | 538,431 | |
traded | Ralph Smalling Head of Regulatory | Sale | 2,332 | $3.75 | $8.7K | 68,658 | |
traded | John Thomas Director | SalePre-arranged (10b5-1) | 10,000 | $5.00 | $50.0K | 492,784 |
GET /stocks/filings/vX/form-4?tickers=GNLX&filing_date.gte=2025-11-06&sort=filing_date.desc&limit=500{
"status": "OK",
"results": [
{
"tickers": [
"GNLX"
],
"issuer_cik": "0001231457",
"owner_cik": "0001937482",
"accession_number": "0001493152-26-050270",
"form_type": "4",
"filing_date": "2026-11-05",
"period_of_report": "2026-11-03",
"issuer_name": "GENELUX Corp",
"issuer_trading_symbol": "GNLX",
"owner_name": "Yu Yong",
"is_director": false,
"is_officer": true,
"is_ten_percent_owner": false,
"is_other": false,
"officer_title": "Chief Scientific Officer",
"security_type": "non_derivative",
"record_type": "transaction",
"security_title": "Common Stock",
"transaction_timeliness": "O",
"aff_10b5_one": false,
"transaction_date": "2026-11-03",
"transaction_code": "S",
"equity_swap_involved": false,
"transaction_shares": 668,
"transaction_price_per_share": 2.0113,
"transaction_acquired_disposed": "D",
"shares_owned_following_transaction": 258020,
"transaction_value": 1343.5484,
"not_subject_to_section_16": false,
"direct_or_indirect": "D",
"footnotes": [
{
"id": "F1",
"description": "Represents shares sold by the Reporting Person to cover estimated taxes to be paid by the Reporting Person in connection with the vesting of restricted stock units."
},
{
"id": "F2",
"description": "The weighted average sale price for the transaction reported was $2.0113, and the range of prices were between $1.9908 and $2.05. 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"
}
]
},
{
"tickers": [
"GNLX"
],
"issuer_cik": "0001231457",
"owner_cik": "0001937573",
"accession_number": "0001493152-26-050271",
"form_type": "4",
"filing_date": "2026-11-05",
"period_of_report": "2026-11-03",
"issuer_name": "GENELUX Corp",
"issuer_trading_symbol": "GNLX",
"owner_name": "Zindrick Thomas",
"is_director": false,
"is_officer": true,
"is_ten_percent_owner": false,
"is_other": false,
"officer_title": "President and CEO",
"security_type": "non_derivative",
"record_type": "transaction",
"security_title": "Common Stock",
"transaction_timeliness": "O",
"aff_10b5_one": false,
"transaction_date": "2026-11-03",
"transaction_code": "S",
"equity_swap_involved": false,
"transaction_shares": 3089,
"transaction_price_per_share": 2.0451,
"transaction_acquired_disposed": "D",
"shares_owned_following_transaction": 1223338,
"transaction_value": 6317.3139,
"not_subject_to_section_16": false,
"direct_or_indirect": "D",
"footnotes": [
{
"id": "F1",
"description": "Represents shares sold by the Reporting Person to cover estimated taxes to be paid by the Reporting Person in connection with the vesting of restricted stock units."
},
{
"id": "F2",
"description": "The weighted average sale price for the transaction reported was $2.0451, and the range of prices were between $2.00 and $2.05. 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"
}
]
}
]
}
// trimmed to 2 resultsThe response includes every Form 4 record; this page keeps open-market purchases and sales on common stock and removes duplicate joint-filer rows.
Other insider activity (not market trades) · 9 records
- Grants and awards9 records
Reported on Form 4 but not purchases or sales in the market, so not counted in the totals above.
How to read this page
- Open-market purchase or sale
- A buy or sell of the company's stock at market price. Grants, option exercises, shares withheld for tax, gifts and employee stock plan purchases are listed separately and not counted.
- Pre-arranged (10b5-1)
- The insider marked the filing as made under a trading plan set up in advance (SEC Rule 10b5-1). The mark covers the whole filing, and an unmarked filing may still be under a plan.
- Role
- The title on each filing. Someone whose title changed shows more than one.
- Filing date
- Insiders have two business days to report a trade. Totals and the chart use the filing date, when the trade became public.
Frequently asked questions
Has the Genelux Corporation's CEO sold stock?
Yes. Thomas Zindrick (CEO) sold 64,137 shares ($190.4K) between Dec 2025 and Nov 2026.
How current is GNLX’s insider data?
These are GNLX Form 4 filings from the last year, refreshed daily. The Massive Form 4 API has the full, continuously updated record.
What counts as an open-market buy or sell?
Only purchases and sales at the market price. Option exercises, grants, gifts, and shares withheld for taxes are reported on Form 4 but are left out of the buy and sell totals.
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This page joins two Massive endpoints: Form 4 filings and daily prices. Ask an agent to watch for new filings:
Using the Massive API (massive.com/docs/llms.txt), check Form 4 filings for GNLX every day with transaction_code=P and tell me when an insider files an open-market purchase, with their role, shares, price and the filing link.
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