| Due Diligence for Asset Managers |
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| Genelux Corp | |
|---|---|
| Ticker | GNLX |
| CIK # | 0001231457 |
| CUSIP | 36870H103 |
| Sector | Life Sciences - Pharmaceutical Preparations |
| Address | 2625 Townsgate Road, Suite 230, Westlake Village, CA 91361 |
| Source | [EDGAR] |
| Reg D Offering (Form D) | Filed | Raised | Terms |
|---|---|---|---|
| Genelux Corp | 2023-06-29 | 5.5 M | Exemption: 506(b) · Remaining: $12,500,000 · Duration: One year or less · Finder's Fee: $200,000 · Revenue: Decline to Disclose |
| CIK | Filing | 2011 - 2026 |
|---|---|---|
| [0001231457] | 10-K | |
| [0001231457] | 10-Q | |
| [0001231457] | 3 | |
| [0001231457] | 4 | |
| [0001231457] | 8-K | |
| [0001231457] | D | |
| [0001231457] | SC 13G |
| Form 13D/13G Filer | Form 13D/13G Subject | Filed | % Owned |
|---|---|---|---|
| Armistice Capital LLC | Genelux Corp | [2025-11-14] | 0.0 |
| Highbridge Capital Management LLC | Genelux Corp | [2024-10-25] | 6.8 |
| Szalay Aladar | Genelux Corp | [2024-02-02] | 819415.7 |
| Parrott Billy James | Genelux Corp | [2023-06-20] | 8.7 |
| Insider Transaction (Form 3/4/5) | Date | Action | Shares | Price | Value ($) |
|---|---|---|---|---|---|
|
Smalling Ralph
Common Stock
|
2026-03-25 | Sell | 240 | $2.51 | 602 |
|
Smalling Ralph
Common Stock
|
2026-03-24 | Sell | 345 | $2.42 | 835 |
|
Cappello Joseph
Common Stock
|
2026-03-24 | Sell | 906 | $2.42 | 2,193 |
|
Yu Yong
Common Stock
|
2026-03-24 | Sell | 906 | $2.42 | 2,193 |
|
Zindrick Thomas
Common Stock
|
2026-03-24 | Sell | 3,582 | $2.42 | 8,668 |
|
Thomas John
Common Stock
|
2026-03-02 | Sell | 10,000 | $2.90 | 29,000 |
|
Litten Jason
Stock Option (Right to Buy) · derivative
|
2026-01-02 | Grant | 275,000 | $0.00 | |
|
Smalling Ralph
Common Stock
|
2025-12-05 | Sell | 165 | $4.69 | 774 |
|
Thomas John
Common Stock
|
2025-12-01 | Sell | 10,000 | $5.00 | 50,000 |
|
Smalling Ralph
Common Stock
|
2025-11-17 | Sell | 343 | $5.37 | 1,842 |
|
Cappello Joseph
Common Stock
|
2025-11-17 | Sell | 973 | $5.37 | 5,225 |
|
Yu Yong
Common Stock
|
2025-11-17 | Sell | 973 | $5.37 | 5,225 |
|
Zindrick Thomas
Common Stock
|
2025-11-17 | Sell | 4,509 | $5.37 | 24,213 |
|
Smalling Ralph
Common Stock
|
2025-09-03 | Sell | 580 | $3.36 | 1,949 |
|
Stock Option (Right to Buy) · derivative
|
2025-09-01 | Disposed to issuer | 157,372 | ||
|
Stock Option (Right to Buy) · derivative
|
2025-09-01 | Disposed to issuer | 23,568 | ||
|
Stock Option (Right to Buy) · derivative
|
2025-09-01 | Disposed to issuer | 925,000 | ||
|
Stock Option (Right to Buy) · derivative
|
2025-09-01 | Disposed to issuer | 250,000 | ||
|
Stock Option (Right to Buy) · derivative
|
2025-09-01 | Grant | 23,568 | ||
|
Stock Option (Right to Buy) · derivative
|
2025-09-01 | Grant | 157,372 | ||
| showing 20 of 200 most recent transactions | |||||
| 13F Ownership Over Time | Holders | Shares Held |
|---|---|---|
| 2026-03-31 | 72 | 9,314,054 |
| 2025-12-31 | 77 | 9,167,638 |
| 2025-09-30 | 57 | 7,471,436 |
| 2025-06-30 | 61 | 7,304,684 |
| 2025-03-31 | 75 | 7,308,314 |
| 2024-12-31 | 58 | 4,870,849 |
| 2024-09-30 | 57 | 5,228,571 |
| 2024-06-30 | 74 | 7,086,312 |
| 2024-03-31 | 68 | 6,143,669 |
| 2023-12-31 | 62 | 5,851,257 |
| 2023-09-30 | 57 | 4,242,652 |
| 2023-06-30 | 36 | 497,457 |
| Form 13F Holdings | ||||
|---|---|---|---|---|
| Firm | Period | DFND | Voting | Shares |
| Lifesteps Financial Inc | [2026-06-30] | SOLE | 121,965 | 121,965 |
| Steel Peak Wealth Management LLC | [2026-06-30] | SOLE | 0 | 75,895 |
| Falcon Wealth Planning | [2026-06-30] | SOLE | 0 | 63,185 |
| Wealth Enhancement Advisory Services LLC | [2026-06-30] | SOLE | 0 | 41,000 |
| Waystone Advisors LLC | [2026-06-30] | SOLE | 0 | 33,332 |
| KWB Wealth | [2026-06-30] | SOLE | 0 | 23,327 |
| Plancorp LLC | [2026-06-30] | SOLE | 0 | 10,010 | Prev | Page 1 | Next |