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GNLX

GENELUX Corp

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1116
SEC CIK
0001231457
Parsed reports
187

Last 12 months

Inside the activity.

0 purchase rows · 25 sale rows

Disclosed non-derivative P/S rows, by transaction month. Includes amendments and private transactions.
Monthly counts
MonthPurchasesSales
Nov 202504
Dec 202502
Jan 202600
Feb 202600
Mar 202606
Apr 202600
May 202604
Jun 202602
Jul 202601
Aug 202606
Sep 202600
Oct 202600

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Insider transactions

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Purchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”

The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.

Transaction dateOwner / reported roleActivity / securityShares / unitsReported priceReported valueDetails
September 01, 2025 Filed Sep 3, 2025 20:15 UTC
Zindrick ThomasDirector · President and CEO
GrantStock Option (Right to Buy) · Derivative 23,568 Not disclosed Strike: $3.33 Not disclosed
Disclosure

SEC source: 0001641172-25-026398 · ownership.xml · derivative · entry 6

Zindrick Thomas · CIK 0001937573 · Director · President and CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 23,568

Underlying: Common stock · 23,568 shares

Expires 2030-09-23

F2 · price: The transactions reported herein reflect a one-time reduction of the exercise prices of these stock options, effective September 1, 2025, to an exercise price of $3.33 per share, the price of the Issuer's common stock on September 1, 2025. There is no change to the expiration dates or the vesting schedule of the stock options.

F1 · derivative.exercise_date: The shares subject to these options are fully vested.

Read SEC document
September 01, 2025 Filed Sep 3, 2025 20:15 UTC
Zindrick ThomasDirector · President and CEO
Disposition to issuerStock Option (Right to Buy) · Derivative 23,568 Not disclosed Strike: $6.00 Not disclosed
Disclosure

SEC source: 0001641172-25-026398 · ownership.xml · derivative · entry 5

Zindrick Thomas · CIK 0001937573 · Director · President and CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common stock · 23,568 shares

Expires 2030-09-23

F2 · price: The transactions reported herein reflect a one-time reduction of the exercise prices of these stock options, effective September 1, 2025, to an exercise price of $3.33 per share, the price of the Issuer's common stock on September 1, 2025. There is no change to the expiration dates or the vesting schedule of the stock options.

F1 · derivative.exercise_date: The shares subject to these options are fully vested.

Read SEC document
September 01, 2025 Filed Sep 3, 2025 20:15 UTC
Zindrick ThomasDirector · President and CEO
GrantStock Option (Right to Buy) · Derivative 157,372 Not disclosed Strike: $3.33 Not disclosed
Disclosure

SEC source: 0001641172-25-026398 · ownership.xml · derivative · entry 4

Zindrick Thomas · CIK 0001937573 · Director · President and CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 157,372

Underlying: Common stock · 157,372 shares

Expires 2030-03-22

F2 · price: The transactions reported herein reflect a one-time reduction of the exercise prices of these stock options, effective September 1, 2025, to an exercise price of $3.33 per share, the price of the Issuer's common stock on September 1, 2025. There is no change to the expiration dates or the vesting schedule of the stock options.

F1 · derivative.exercise_date: The shares subject to these options are fully vested.

Read SEC document
September 01, 2025 Filed Sep 3, 2025 20:15 UTC
Zindrick ThomasDirector · President and CEO
Disposition to issuerStock Option (Right to Buy) · Derivative 157,372 Not disclosed Strike: $6.00 Not disclosed
Disclosure

SEC source: 0001641172-25-026398 · ownership.xml · derivative · entry 3

Zindrick Thomas · CIK 0001937573 · Director · President and CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common stock · 157,372 shares

Expires 2030-03-22

F2 · price: The transactions reported herein reflect a one-time reduction of the exercise prices of these stock options, effective September 1, 2025, to an exercise price of $3.33 per share, the price of the Issuer's common stock on September 1, 2025. There is no change to the expiration dates or the vesting schedule of the stock options.

F1 · derivative.exercise_date: The shares subject to these options are fully vested.

Read SEC document
September 01, 2025 Filed Sep 3, 2025 20:15 UTC
Zindrick ThomasDirector · President and CEO
GrantStock Option (Right to Buy) · Derivative 925,000 Not disclosed Strike: $3.33 Not disclosed
Disclosure

SEC source: 0001641172-25-026398 · ownership.xml · derivative · entry 2

Zindrick Thomas · CIK 0001937573 · Director · President and CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 925,000

Underlying: Common stock · 925,000 shares

Expires 2027-09-18

F2 · price: The transactions reported herein reflect a one-time reduction of the exercise prices of these stock options, effective September 1, 2025, to an exercise price of $3.33 per share, the price of the Issuer's common stock on September 1, 2025. There is no change to the expiration dates or the vesting schedule of the stock options.

F1 · derivative.exercise_date: The shares subject to these options are fully vested.

Read SEC document
September 01, 2025 Filed Sep 3, 2025 20:15 UTC
Zindrick ThomasDirector · President and CEO
Disposition to issuerStock Option (Right to Buy) · Derivative 925,000 Not disclosed Strike: $6.00 Not disclosed
Disclosure

SEC source: 0001641172-25-026398 · ownership.xml · derivative · entry 1

Zindrick Thomas · CIK 0001937573 · Director · President and CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common stock · 925,000 shares

Expires 2027-09-18

F2 · price: The transactions reported herein reflect a one-time reduction of the exercise prices of these stock options, effective September 1, 2025, to an exercise price of $3.33 per share, the price of the Issuer's common stock on September 1, 2025. There is no change to the expiration dates or the vesting schedule of the stock options.

F1 · derivative.exercise_date: The shares subject to these options are fully vested.

Read SEC document
September 01, 2025 Filed Sep 3, 2025 20:15 UTC
Smalling RalphHead of Regulatory
GrantStock Option (Right to Buy) · Derivative 8,333 Not disclosed Strike: $3.33 Not disclosed
Disclosure

SEC source: 0001641172-25-026396 · ownership.xml · derivative · entry 3

Smalling Ralph · CIK 0001983288 · Head of Regulatory

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 8,333

Underlying: Common stock · 8,333 shares

Expires 2030-09-23

F3 · price: The transactions reported herein reflect a one-time reduction of the exercise price of the stock option, effective September 1, 2025, to an exercise price of $3.33 per share, the price of the Issuer's common stock on September 1, 2025. There is no change to the expiration date or the vesting schedule of the stock option.

F2 · derivative.exercise_date: The shares subject to the option vest as follows: 25% on the first anniversary of the date of grant, and the remaining shares shall vest in 36 equal monthly installments thereafter.

Read SEC document
September 01, 2025 Filed Sep 3, 2025 20:15 UTC
Smalling RalphHead of Regulatory
Disposition to issuerStock Option (Right to Buy) · Derivative 8,333 Not disclosed Strike: $6.00 Not disclosed
Disclosure

SEC source: 0001641172-25-026396 · ownership.xml · derivative · entry 2

Smalling Ralph · CIK 0001983288 · Head of Regulatory

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common stock · 8,333 shares

Expires 2030-09-23

F3 · price: The transactions reported herein reflect a one-time reduction of the exercise price of the stock option, effective September 1, 2025, to an exercise price of $3.33 per share, the price of the Issuer's common stock on September 1, 2025. There is no change to the expiration date or the vesting schedule of the stock option.

F2 · derivative.exercise_date: The shares subject to the option vest as follows: 25% on the first anniversary of the date of grant, and the remaining shares shall vest in 36 equal monthly installments thereafter.

Read SEC document
September 01, 2025 Filed Sep 3, 2025 20:15 UTC
Smalling RalphHead of Regulatory
GrantCommon Stock 10,000 $0.00 $0.00
Disclosure

SEC source: 0001641172-25-026396 · ownership.xml · nonDerivative · entry 1

Smalling Ralph · CIK 0001983288 · Head of Regulatory

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 70,990

F1 · kind: Represents restricted stock units ("RSUs") granted pursuant to the Issuer's 2022 Equity Incentive Plan. Each RSU represents the contingent right to receive one share of common Stock upon vesting. The RSUs will vest 25% on the first anniversary of the grant date, and the remaining shares will vest in 12 equal quarterly (every 3 months) installments thereafter.

Read SEC document
September 01, 2025 Filed Sep 3, 2025 20:15 UTC
Yu YongSVP, Clinical Development
GrantStock Option (Right to Buy) · Derivative 65,000 Not disclosed Strike: $3.33 Not disclosed
Disclosure

SEC source: 0001641172-25-026397 · ownership.xml · derivative · entry 4

Yu Yong · CIK 0001937482 · SVP, Clinical Development

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 65,000

Underlying: Common stock · 65,000 shares

Expires 2033-09-10

F2 · price: The transactions reported herein reflect a one-time reduction of the exercise prices of these stock options, effective September 1, 2025, to an exercise price of $3.33 per share, the price of the Issuer's common stock on September 1, 2025. There is no change to the expiration dates or the vesting schedule of the stock options.

F3 · derivative.exercise_date: The shares subject to the option vest as follows: 25% on September 11, 2024, and the remaining shares vest in 36 equal monthly installments thereafter.

Read SEC document
September 01, 2025 Filed Sep 3, 2025 20:15 UTC
Yu YongSVP, Clinical Development
Disposition to issuerStock Option (Right to Buy) · Derivative 65,000 Not disclosed Strike: $22.40 Not disclosed
Disclosure

SEC source: 0001641172-25-026397 · ownership.xml · derivative · entry 3

Yu Yong · CIK 0001937482 · SVP, Clinical Development

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common stock · 65,000 shares

Expires 2033-09-10

F2 · price: The transactions reported herein reflect a one-time reduction of the exercise prices of these stock options, effective September 1, 2025, to an exercise price of $3.33 per share, the price of the Issuer's common stock on September 1, 2025. There is no change to the expiration dates or the vesting schedule of the stock options.

F3 · derivative.exercise_date: The shares subject to the option vest as follows: 25% on September 11, 2024, and the remaining shares vest in 36 equal monthly installments thereafter.

Read SEC document
September 01, 2025 Filed Sep 3, 2025 20:15 UTC
Yu YongSVP, Clinical Development
GrantStock Option (Right to Buy) · Derivative 207,652 Not disclosed Strike: $3.33 Not disclosed
Disclosure

SEC source: 0001641172-25-026397 · ownership.xml · derivative · entry 2

Yu Yong · CIK 0001937482 · SVP, Clinical Development

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 207,652

Underlying: Common stock · 207,652 shares

Expires 2029-09-20

F2 · price: The transactions reported herein reflect a one-time reduction of the exercise prices of these stock options, effective September 1, 2025, to an exercise price of $3.33 per share, the price of the Issuer's common stock on September 1, 2025. There is no change to the expiration dates or the vesting schedule of the stock options.

F1 · derivative.exercise_date: The shares subject to the option are fully vested.

Read SEC document
September 01, 2025 Filed Sep 3, 2025 20:15 UTC
Yu YongSVP, Clinical Development
Disposition to issuerStock Option (Right to Buy) · Derivative 207,652 Not disclosed Strike: $6.00 Not disclosed
Disclosure

SEC source: 0001641172-25-026397 · ownership.xml · derivative · entry 1

Yu Yong · CIK 0001937482 · SVP, Clinical Development

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common stock · 207,652 shares

Expires 2029-09-20

F2 · price: The transactions reported herein reflect a one-time reduction of the exercise prices of these stock options, effective September 1, 2025, to an exercise price of $3.33 per share, the price of the Issuer's common stock on September 1, 2025. There is no change to the expiration dates or the vesting schedule of the stock options.

F1 · derivative.exercise_date: The shares subject to the option are fully vested.

Read SEC document
August 27, 2025 Filed Aug 29, 2025 20:30 UTC
Cappello JosephChief Technical Officer
GrantStock Option (Right to Buy) · Derivative 142,500 $0.00 Strike: $3.64 $0.00
Disclosure

SEC source: 0001641172-25-025999 · ownership.xml · derivative · entry 2

Cappello Joseph · CIK 0001939198 · Chief Technical Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 142,500

Underlying: Common stock · 142,500 shares

Expires 2035-08-26

F2 · derivative.exercise_date: The shares subject to the option will vest 25% on the first anniversary of the date of grant, and the remaining shares shall vest in 36 equal monthly installments thereafter.

Read SEC document
August 27, 2025 Filed Aug 29, 2025 20:30 UTC
Cappello JosephChief Technical Officer
GrantCommon Stock 107,500 $0.00 $0.00
Disclosure

SEC source: 0001641172-25-025999 · ownership.xml · nonDerivative · entry 1

Cappello Joseph · CIK 0001939198 · Chief Technical Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 159,766

F1 · kind: Represents restricted stock units ("RSUs") granted pursuant to the Issuer's 2022 Equity Incentive Plan. Each RSU represents the contingent right to receive one share of common stock upon vesting. The RSUs will vest 25% on the first anniversary of the date of grant, and the remaining shares shall vest in 12 equal quarterly (every 3 months) installments thereafter.

Read SEC document
August 27, 2025 Filed Aug 29, 2025 20:30 UTC
Thomas JohnDirector
GrantStock Option (Right to Buy) · Derivative 28,576 $0.00 Strike: $3.64 $0.00
Disclosure

SEC source: 0001641172-25-026003 · ownership.xml · derivative · entry 2

Thomas John · CIK 0001939103 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 28,576

Underlying: Common stock · 28,576 shares

Expires 2035-08-26

F2 · derivative.exercise_date: The shares subject to the option will vest upon the earlier of (a) the one-year anniversary of the date of grant and (b) the date of the Issuer's next annual meeting of stockholders.

Read SEC document
August 27, 2025 Filed Aug 29, 2025 20:30 UTC
Thomas JohnDirector
GrantCommon Stock 22,283 $0.00 $0.00
Disclosure

SEC source: 0001641172-25-026003 · ownership.xml · nonDerivative · entry 1

Thomas John · CIK 0001939103 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 502,784

F1 · kind: Represents restricted stock units ("RSUs") granted pursuant to the Issuer's 2022 Equity Incentive Plan. Each RSU represents the contingent right to receive one share of common stock upon vesting. The RSUs will vest upon the earlier of (a) the one-year anniversary of the date of grant and (b) the date of the Issuer's next annual meeting of stockholders.

Read SEC document
August 27, 2025 Filed Aug 29, 2025 20:30 UTC
Zindrick ThomasPresident and CEO
GrantStock Option (Right to Buy) · Derivative 478,800 $0.00 Strike: $3.64 $0.00
Disclosure

SEC source: 0001641172-25-026002 · ownership.xml · derivative · entry 2

Zindrick Thomas · CIK 0001937573 · President and CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 478,800

Underlying: Common stock · 478,800 shares

Expires 2035-08-26

F3 · derivative.exercise_date: The shares subject to the option will vest 25% on the first anniversary of the date of grant, and the remaining shares shall vest in 36 equal monthly installments thereafter.

Read SEC document
August 27, 2025 Filed Aug 29, 2025 20:30 UTC
Zindrick ThomasPresident and CEO
GrantCommon Stock 361,200 $0.00 $0.00
Disclosure

SEC source: 0001641172-25-026002 · ownership.xml · nonDerivative · entry 1

Zindrick Thomas · CIK 0001937573 · President and CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 554,161

F1 · kind: Represents restricted stock units ("RSUs") granted pursuant to the Issuer's 2022 Equity Incentive Plan. Each RSU represents the contingent right to receive one share of common stock upon vesting. The RSUs will vest 25% on the first anniversary of the date of grant, and the remaining shares shall vest in 12 equal quarterly (every 3 months) installments thereafter.

F2 · balance_after: Includes 1514 shares of common stock acquired under the Issuer's Employee Stock Purchase Plan.

Read SEC document
August 27, 2025 Filed Aug 29, 2025 20:30 UTC
Smalling RalphHead of Regulatory
GrantStock Option (Right to Buy) · Derivative 34,770 $0.00 Strike: $3.64 $0.00
Disclosure

SEC source: 0001641172-25-026000 · ownership.xml · derivative · entry 2

Smalling Ralph · CIK 0001983288 · Head of Regulatory

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 34,770

Underlying: Common stock · 34,770 shares

Expires 2035-08-26

F2 · derivative.exercise_date: The shares subject to the option will vest 25% on the first anniversary of the date of grant, and the remaining shares shall vest in 36 equal monthly installments thereafter.

Read SEC document
August 27, 2025 Filed Aug 29, 2025 20:30 UTC
Smalling RalphHead of Regulatory
GrantCommon Stock 26,230 $0.00 $0.00
Disclosure

SEC source: 0001641172-25-026000 · ownership.xml · nonDerivative · entry 1

Smalling Ralph · CIK 0001983288 · Head of Regulatory

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 60,990

F1 · kind: Represents restricted stock units ("RSUs") granted pursuant to the Issuer's 2022 Equity Incentive Plan. Each RSU represents the contingent right to receive one share of common stock upon vesting. The RSUs will vest 25% on the first anniversary of the date of grant, and the remaining shares shall vest in 12 equal quarterly (every 3 months) installments thereafter.

Read SEC document
August 27, 2025 Filed Aug 29, 2025 20:30 UTC GrantStock Option (Right to Buy) · Derivative 28,576 $0.00 Strike: $3.64 $0.00
Disclosure

SEC source: 0001641172-25-026005 · ownership.xml · derivative · entry 2

Smither John W · CIK 0001559583 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 28,576

Underlying: Common stock · 28,576 shares

Expires 2035-08-26

F2 · derivative.exercise_date: The shares subject to the option will vest upon the earlier of (a) the one-year anniversary of the date of grant and (b) the date of the Issuer's next annual meeting of stockholders.

Read SEC document
August 27, 2025 Filed Aug 29, 2025 20:30 UTC GrantCommon Stock 22,283 $0.00 $0.00
Disclosure

SEC source: 0001641172-25-026005 · ownership.xml · nonDerivative · entry 1

Smither John W · CIK 0001559583 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 74,994

F1 · kind: Represents restricted stock units ("RSUs") granted pursuant to the Issuer's 2022 Equity Incentive Plan. Each RSU represents the contingent right to receive one share of common stock upon vesting. The RSUs will vest upon the earlier of (a) the one-year anniversary of the date of grant and (b) the date of the Issuer's next annual meeting of stockholders.

Read SEC document
August 27, 2025 Filed Aug 29, 2025 20:30 UTC
Yu YongSVP, Clinical Development
GrantStock Option (Right to Buy) · Derivative 134,520 $0.00 Strike: $3.64 $0.00
Disclosure

SEC source: 0001641172-25-026001 · ownership.xml · derivative · entry 2

Yu Yong · CIK 0001937482 · SVP, Clinical Development

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 134,520

Underlying: Common stock · 134,520 shares

Expires 2035-08-26

F3 · derivative.exercise_date: The shares subject to the option will vest 25% on the first anniversary of the date of grant, and the remaining shares shall vest in 36 equal monthly installments thereafter.

Read SEC document
August 27, 2025 Filed Aug 29, 2025 20:30 UTC
Yu YongSVP, Clinical Development
GrantCommon Stock 101,480 $0.00 $0.00
Disclosure

SEC source: 0001641172-25-026001 · ownership.xml · nonDerivative · entry 1

Yu Yong · CIK 0001937482 · SVP, Clinical Development

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 150,036

F1 · kind: Represents restricted stock units ("RSUs") granted pursuant to the Issuer's 2022 Equity Incentive Plan. Each RSU represents the contingent right to receive one share of common stock upon vesting. The RSUs will vest 25% on the first anniversary of the date of grant, and the remaining shares shall vest in 12 equal quarterly (every 3 months) installments thereafter.

F2 · balance_after: Includes 916 shares of common stock acquired under the Issuer's Employee Stock Purchase Plan.

Read SEC document
August 27, 2025 Filed Aug 29, 2025 20:30 UTC GrantStock Option (Right to Buy) · Derivative 28,576 $0.00 Strike: $3.64 $0.00
Disclosure

SEC source: 0001641172-25-026006 · ownership.xml · derivative · entry 2

Tyree James L · CIK 0001324991 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 28,576

Underlying: Common stock · 28,576 shares

Expires 2035-08-26

F2 · derivative.exercise_date: The shares subject to the option will vest upon the earlier of (a) the one-year anniversary of the date of grant and (b) the date of the Issuer's next annual meeting of stockholders.

Read SEC document
August 27, 2025 Filed Aug 29, 2025 20:30 UTC GrantCommon Stock 22,283 $0.00 $0.00
Disclosure

SEC source: 0001641172-25-026006 · ownership.xml · nonDerivative · entry 1

Tyree James L · CIK 0001324991 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 68,074

F1 · kind: Represents restricted stock units ("RSUs") granted pursuant to the Issuer's 2022 Equity Incentive Plan. Each RSU represents the contingent right to receive one share of common stock upon vesting. The RSUs will vest upon the earlier of (a) the one-year anniversary of the date of grant and (b) the date of the Issuer's next annual meeting of stockholders.

Read SEC document
August 27, 2025 Filed Aug 29, 2025 20:30 UTC GrantStock Option (Right to Buy) · Derivative 28,576 $0.00 Strike: $3.64 $0.00
Disclosure

SEC source: 0001641172-25-026004 · ownership.xml · derivative · entry 2

Mirabelli Mary · CIK 0001937525 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 28,576

Underlying: Common stock · 28,576 shares

Expires 2035-08-26

F2 · derivative.exercise_date: The shares subject to the option will vest upon the earlier of (a) the one-year anniversary of the date of grant and (b) the date of the Issuer's next annual meeting of stockholders.

Read SEC document
August 27, 2025 Filed Aug 29, 2025 20:30 UTC GrantCommon Stock 22,283 $0.00 $0.00
Disclosure

SEC source: 0001641172-25-026004 · ownership.xml · nonDerivative · entry 1

Mirabelli Mary · CIK 0001937525 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 73,284

F1 · kind: Represents restricted stock units ("RSUs") granted pursuant to the Issuer's 2022 Equity Incentive Plan. Each RSU represents the contingent right to receive one share of common stock upon vesting. The RSUs will vest upon the earlier of (a) the one-year anniversary of the date of grant and (b) the date of the Issuer's next annual meeting of stockholders.

Read SEC document
August 21, 2025 Filed Dec 10, 2025 01:00 UTC
Smalling RalphHead of Regulatory
SaleCommon Stock 1,244 $3.36 $4,176.61
Disclosure

SEC source: 0001493152-25-026981 · ownership.xml · nonDerivative · entry 1

Smalling Ralph · CIK 0001983288 · Head of Regulatory

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 69,746

F1 · kind: 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.

F2 · balance_after: The total shown in Column 5 takes into account the transactions reported on Forms 4 filed on August 29, 2025 and September 3, 2025.

Read SEC document
August 21, 2025 Filed Dec 12, 2025 01:49 UTC
Cappello JosephChief Technical Officer
SaleCommon Stock 1,463 $3.36 $4,911.88
Disclosure

SEC source: 0001493152-25-027337 · ownership.xml · nonDerivative · entry 2

Cappello Joseph · CIK 0001939198 · Chief Technical Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 157,033

F1 · kind: 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.

F2 · balance_after: The total shown in Column 5 takes into account the transactions reported on Form 4 filed on August 29, 2025.

Read SEC document
August 21, 2025 Filed Dec 12, 2025 01:49 UTC
Cappello JosephChief Technical Officer
SaleCommon Stock 1,270 $3.33 $4,224.91
Disclosure

SEC source: 0001493152-25-027337 · ownership.xml · nonDerivative · entry 1

Cappello Joseph · CIK 0001939198 · Chief Technical Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 158,496

F1 · kind: 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.

F2 · balance_after: The total shown in Column 5 takes into account the transactions reported on Form 4 filed on August 29, 2025.

Read SEC document
August 21, 2025 Filed Dec 12, 2025 01:50 UTC
Yu YongSVP, Clinical Development
SaleCommon Stock 3,219 $3.36 $10,807.47
Disclosure

SEC source: 0001493152-25-027338 · ownership.xml · nonDerivative · entry 1

Yu Yong · CIK 0001937482 · SVP, Clinical Development

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 146,817

F1 · kind: 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.

F2 · balance_after: The total shown in Column 5 takes into account the transactions reported on Form 4 filed on August 29, 2025.

Read SEC document
August 21, 2025 Filed Dec 12, 2025 01:50 UTC
Zindrick ThomasPresident and CEO
SaleCommon Stock 12,673 $3.33 $42,159.27
Disclosure

SEC source: 0001493152-25-027339 · ownership.xml · nonDerivative · entry 1

Zindrick Thomas · CIK 0001937573 · President and CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 542,940

F1 · kind: 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.

F2 · balance_after: The total shown in Column 5 takes into account the transactions reported on Form 4 filed on August 29, 2025, and 1,452 shares acquired under the Issuer's Employee Stock Purchase Plan on November 14, 2025.

Read SEC document
July 01, 2025 Filed Jul 2, 2025 20:16 UTC
Groen EricGeneral Counsel & Secretary
GrantStock Option (Right to Buy) · Derivative 270,000 $0.00 Strike: $2.83 $0.00
Disclosure

SEC source: 0001415889-25-019032 · form4-07022025_080748.xml · derivative · entry 1

Groen Eric · CIK 0001918630 · General Counsel & Secretary

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 270,000

Underlying: Common Stock · 270,000 shares

Expires 2035-06-30

F1 · derivative.exercise_date: 25% of the shares shall vest on July 1, 2026, and the remaining shares shall vest in 36 equal monthly installments thereafter.

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June 06, 2025 Filed Jun 24, 2025 20:10 UTC
Thomas JohnDirector
GiftCommon Stock 25,000 $0.00 $0.00
Disclosure

SEC source: 0001415889-25-018048 · form4-06242025_040601.xml · nonDerivative · entry 1

Thomas John · CIK 0001939103 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 480,501

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May 12, 2025 Filed May 13, 2025 21:05 UTC
Cappello JosephVP, Pharmaceutical Development
SaleCommon Stock 4,737 $2.92 $13,832.04
Disclosure

SEC source: 0001415889-25-012806 · form4-05132025_050531.xml · nonDerivative · entry 1

Cappello Joseph · CIK 0001939198 · VP, Pharmaceutical Development

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 52,266

F1 · kind: 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.

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May 12, 2025 Filed May 13, 2025 21:05 UTC
Ryder SeanGeneral Counsel
SaleCommon Stock 4,475 $2.92 $13,067.00
Disclosure

SEC source: 0001415889-25-012809 · form4-05132025_050537.xml · nonDerivative · entry 1

Ryder Sean · CIK 0001937485 · General Counsel

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 47,621

F1 · kind: 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.

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May 12, 2025 Filed May 13, 2025 21:05 UTC
Zindrick ThomasDirector · President and CEO
SaleCommon Stock 10,764 $2.92 $31,430.88
Disclosure

SEC source: 0001415889-25-012808 · form4-05132025_050535.xml · nonDerivative · entry 1

Zindrick Thomas · CIK 0001937573 · Director · President and CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 191,447

F1 · kind: 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.

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May 12, 2025 Filed May 13, 2025 21:05 UTC
Yu YongVP, Clinical Trial Operations
SaleCommon Stock 5,579 $2.92 $16,290.68
Disclosure

SEC source: 0001415889-25-012807 · form4-05132025_050533.xml · nonDerivative · entry 1

Yu Yong · CIK 0001937482 · VP, Clinical Trial Operations

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 47,640

F1 · kind: 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.

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May 12, 2025 Filed May 13, 2025 21:05 UTC
Smalling RalphHead of Regulatory
SaleCommon Stock 1,259 $2.92 $3,676.28
Disclosure

SEC source: 0001415889-25-012805 · form4-05132025_050529.xml · nonDerivative · entry 1

Smalling Ralph · CIK 0001983288 · Head of Regulatory

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 34,760

F1 · kind: 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.

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March 14, 2025 Filed Apr 17, 2025 20:57 UTC
Cappello JosephVP, Pharmaceutical Development
GrantCommon Stock 13,350 $0.00 $0.00
Disclosure

SEC source: 0001415889-25-010880 · form4-04172025_080429.xml · nonDerivative · entry 1

Cappello Joseph · CIK 0001939198 · VP, Pharmaceutical Development

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 57,003

F1 · kind: Represents restricted stock units ("RSUs") granted pursuant to the Issuer's 2022 Equity Incentive Plan. Each RSU represents the contingent right to receive one share of common stock upon vesting. The RSUs are fully vested as of March 14, 2025.

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March 14, 2025 Filed Apr 17, 2025 20:58 UTC
Smalling RalphHead of Regulatory
GrantCommon Stock 4,172 $0.00 $0.00
Disclosure

SEC source: 0001415889-25-010881 · form4-04172025_080443.xml · nonDerivative · entry 1

Smalling Ralph · CIK 0001983288 · Head of Regulatory

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 36,019

F1 · kind: Represents restricted stock units ("RSUs") granted pursuant to the Issuer's 2022 Equity Incentive Plan. Each RSU represents the contingent right to receive one share of common stock upon vesting. The RSUs are fully vested as of March 14, 2025.

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March 14, 2025 Filed Apr 17, 2025 20:55 UTC
Ryder SeanGeneral Counsel
GrantCommon Stock 10,708 $0.00 $0.00
Disclosure

SEC source: 0001415889-25-010878 · form4-04172025_080416.xml · nonDerivative · entry 1

Ryder Sean · CIK 0001937485 · General Counsel

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 52,096

F1 · kind: Represents restricted stock units ("RSUs") granted pursuant to the Issuer's 2022 Equity Incentive Plan. Each RSU represents the contingent right to receive one share of common stock upon vesting. The RSUs are fully vested as of March 14, 2025.

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March 14, 2025 Filed Apr 17, 2025 20:56 UTC
Yu YongVP, Clinical Trial Operations
GrantCommon Stock 13,350 $0.00 $0.00
Disclosure

SEC source: 0001415889-25-010879 · form4-04172025_080423.xml · nonDerivative · entry 1

Yu Yong · CIK 0001937482 · VP, Clinical Trial Operations

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 53,219

F1 · kind: Represents restricted stock units ("RSUs") granted pursuant to the Issuer's 2022 Equity Incentive Plan. Each RSU represents the contingent right to receive one share of common stock upon vesting. The RSUs are fully vested as of March 14, 2025.

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March 14, 2025 Filed Apr 17, 2025 20:54 UTC
Zindrick ThomasDirector · President and CEO
GrantCommon Stock 30,339 $0.00 $0.00
Disclosure

SEC source: 0001415889-25-010877 · form4-04172025_080409.xml · nonDerivative · entry 1

Zindrick Thomas · CIK 0001937573 · Director · President and CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 202,211

F1 · kind: Represents restricted stock units ("RSUs") granted pursuant to the Issuer's 2022 Equity Incentive Plan. Each RSU represents the contingent right to receive one share of common stock upon vesting. The RSUs are fully vested as of March 14, 2025.

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January 31, 2025 Filed Feb 3, 2025 23:16 UTC
Pulisic MatthewChief Financial Officer
GrantStock Option (right to buy) · Derivative 275,000 $0.00 Strike: $3.95 $0.00
Disclosure

SEC source: 0001415889-25-002798 · form4-02032025_110254.xml · derivative · entry 1

Pulisic Matthew · CIK 0002054836 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 275,000

Underlying: Common Stock · 275,000 shares

Expires 2035-01-30

F1 · derivative.exercise_date: 25% of the shares shall vest on January 30, 2026, and the remaining shares shall vest in 36 equal monthly installments thereafter.

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December 30, 2024 Filed Dec 31, 2024 00:48 UTC SaleCommon Stock 3,460 $2.46 $8,511.60
Disclosure

SEC source: 0001415889-24-030248 · form4-12312024_121226.xml · nonDerivative · entry 1

Tyree James L · CIK 0001324991 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 45,791

F1 · price: The weighted average sale price for the transaction reported was $2.46, and the range of prices were between $2.45 and $2.46. 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.

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December 18, 2024 Filed Dec 21, 2024 01:45 UTC
Cappello JosephVP, Pharmaceutical Development
GrantStock Option (right to buy) · Derivative 39,000 $0.00 Strike: $2.29 $0.00
Disclosure

SEC source: 0001415889-24-030004 · form4-12212024_011239.xml · derivative · entry 2

Cappello Joseph · CIK 0001939198 · VP, Pharmaceutical Development

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 39,000

Underlying: Common Stock · 39,000 shares

Expires 2034-12-17

F2 · derivative.exercise_date: 25% of the shares vest on August 1, 2025, and the remaining shares shall vest in 36 equal monthly installments thereafter.

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December 18, 2024 Filed Dec 21, 2024 01:45 UTC
Cappello JosephVP, Pharmaceutical Development
GrantCommon Stock 29,000 $0.00 $0.00
Disclosure

SEC source: 0001415889-24-030004 · form4-12212024_011239.xml · nonDerivative · entry 1

Cappello Joseph · CIK 0001939198 · VP, Pharmaceutical Development

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 43,653

F1 · kind: Represents restricted stock units ("RSUs") granted pursuant to the Issuer's 2022 Equity Incentive Plan. Each RSU represents the contingent right to receive one share of common stock upon vesting. 25% of the RSUs vest on August 1, 2025, and the remaining RSUs shall vest in 12 equal quarterly installments thereafter.

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Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.