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Nasdaq · USD

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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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
December 18, 2024 Filed Dec 21, 2024 01:49 UTC
Smalling RalphHead of Regulatory
GrantStock Option (right to buy) · Derivative 21,100 $0.00 Strike: $2.29 $0.00
Disclosure

SEC source: 0001415889-24-030007 · form4-12212024_011212.xml · derivative · entry 2

Smalling Ralph · CIK 0001983288 · Head of Regulatory

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 21,100

Underlying: Common Stock · 21,100 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.

Read SEC document
December 18, 2024 Filed Dec 21, 2024 01:49 UTC
Smalling RalphHead of Regulatory
GrantCommon Stock 15,525 $0.00 $0.00
Disclosure

SEC source: 0001415889-24-030007 · form4-12212024_011212.xml · nonDerivative · entry 1

Smalling Ralph · CIK 0001983288 · Head of Regulatory

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 31,847

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.

Read SEC document
December 18, 2024 Filed Dec 21, 2024 01:48 UTC
Ryder SeanGeneral Counsel
GrantStock Option (right to buy) · Derivative 30,000 $0.00 Strike: $2.29 $0.00
Disclosure

SEC source: 0001415889-24-030006 · form4-12212024_011207.xml · derivative · entry 2

Ryder Sean · CIK 0001937485 · General Counsel

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 30,000

Underlying: Common Stock · 30,000 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.

Read SEC document
December 18, 2024 Filed Dec 21, 2024 01:48 UTC
Ryder SeanGeneral Counsel
GrantCommon Stock 22,000 $0.00 $0.00
Disclosure

SEC source: 0001415889-24-030006 · form4-12212024_011207.xml · nonDerivative · entry 1

Ryder Sean · CIK 0001937485 · General Counsel

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 41,388

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.

Read SEC document
December 18, 2024 Filed Dec 21, 2024 01:46 UTC
Yu YongVP, Clinical Trial Operations
GrantStock Option (right to buy) · Derivative 39,000 $0.00 Strike: $2.29 $0.00
Disclosure

SEC source: 0001415889-24-030005 · form4-12212024_011230.xml · derivative · entry 2

Yu Yong · CIK 0001937482 · VP, Clinical Trial Operations

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.

Read SEC document
December 18, 2024 Filed Dec 21, 2024 01:46 UTC
Yu YongVP, Clinical Trial Operations
GrantCommon Stock 29,000 $0.00 $0.00
Disclosure

SEC source: 0001415889-24-030005 · form4-12212024_011230.xml · nonDerivative · entry 1

Yu Yong · CIK 0001937482 · VP, Clinical Trial Operations

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 39,869

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.

Read SEC document
December 18, 2024 Filed Dec 21, 2024 01:44 UTC
Zak Lourie S.Chief Financial Officer
GrantStock Option (right to buy) · Derivative 56,525 $0.00 Strike: $2.29 $0.00
Disclosure

SEC source: 0001415889-24-030003 · form4-12212024_011241.xml · derivative · entry 2

Zak Lourie S. · CIK 0001991207 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 56,525

Underlying: Common Stock · 56,525 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.

Read SEC document
December 18, 2024 Filed Dec 21, 2024 01:44 UTC
Zak Lourie S.Chief Financial Officer
GrantCommon Stock 41,650 $0.00 $0.00
Disclosure

SEC source: 0001415889-24-030003 · form4-12212024_011241.xml · nonDerivative · entry 1

Zak Lourie S. · CIK 0001991207 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 82,452

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.

Read SEC document
December 18, 2024 Filed Dec 21, 2024 01:43 UTC
Zindrick ThomasDirector · President and CEO
GrantStock Option (right to buy) · Derivative 183,000 $0.00 Strike: $2.29 $0.00
Disclosure

SEC source: 0001415889-24-030002 · form4-12212024_011219.xml · derivative · entry 2

Zindrick Thomas · CIK 0001937573 · Director · President and CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 183,000

Underlying: Common Stock · 183,000 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.

Read SEC document
December 18, 2024 Filed Dec 21, 2024 01:43 UTC
Zindrick ThomasDirector · President and CEO
GrantCommon Stock 134,500 $0.00 $0.00
Disclosure

SEC source: 0001415889-24-030002 · form4-12212024_011219.xml · nonDerivative · entry 1

Zindrick Thomas · CIK 0001937573 · Director · President and CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 171,872

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.

Read SEC document
December 16, 2024 Filed Dec 18, 2024 21:35 UTC
Cappello JosephVP, Pharmaceutical Development
SaleCommon Stock 6,300 $2.34 $14,742.00
Disclosure

SEC source: 0001415889-24-029742 · form4-12182024_041204.xml · nonDerivative · entry 1

Cappello Joseph · CIK 0001939198 · VP, Pharmaceutical Development

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 14,653

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.

Read SEC document
December 16, 2024 Filed Dec 18, 2024 21:35 UTC
Zak Lourie S.Chief Financial Officer
SaleCommon Stock 2,103 $2.34 $4,921.02
Disclosure

SEC source: 0001415889-24-029744 · form4-12182024_041208.xml · nonDerivative · entry 1

Zak Lourie S. · CIK 0001991207 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 40,802

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: Includes 4,477 shares acquired under the Issuer's Employee Stock Purchase Plan on November 15, 2024.

Read SEC document
December 16, 2024 Filed Dec 18, 2024 21:35 UTC
Zindrick ThomasDirector · President and CEO
SaleCommon Stock 14,315 $2.34 $33,497.10
Disclosure

SEC source: 0001415889-24-029745 · form4-12182024_041209.xml · nonDerivative · entry 1

Zindrick Thomas · CIK 0001937573 · Director · President and CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 37,372

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: Includes 1,480 shares acquired under the Issuer's Employee Stock Purchase Plan on November 15, 2024.

Read SEC document
December 16, 2024 Filed Dec 18, 2024 21:35 UTC
Smalling RalphHead of Regulatory
SaleCommon Stock 2,510 $2.34 $5,873.40
Disclosure

SEC source: 0001415889-24-029743 · form4-12182024_041205.xml · nonDerivative · entry 1

Smalling Ralph · CIK 0001983288 · Head of Regulatory

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 16,322

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: Includes 688 shares acquired under the Issuer's Employee Stock Purchase Plan on November 15, 2024.

Read SEC document
October 18, 2024 Filed Oct 21, 2024 21:05 UTC
Scigalla PaulChief Medical Officer
GrantStock Option (right to buy) · Derivative 16,666 $0.00 Strike: $6.00 $0.00
Disclosure

SEC source: 0001415889-24-025460 · form4-10212024_051002.xml · derivative · entry 2

Scigalla Paul · CIK 0001937586 · Chief Medical Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 16,666

Underlying: Common Stock · 16,666 shares

Expires 2034-10-17

F2 · derivative.exercise_date: 100% of the shares subject to the Option shall vest on December 31, 2024.

Read SEC document
October 18, 2024 Filed Oct 21, 2024 21:05 UTC
Scigalla PaulChief Medical Officer
GrantStock Option (right to buy) · Derivative 16,666 $0.00 Strike: $6.00 $0.00
Disclosure

SEC source: 0001415889-24-025460 · form4-10212024_051002.xml · derivative · entry 1

Scigalla Paul · CIK 0001937586 · Chief Medical Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 16,666

Underlying: Common Stock · 16,666 shares

Expires 2034-10-17

F1 · derivative.exercise_date: Immediately exercisable.

Read SEC document
September 13, 2024 Filed Sep 13, 2024 22:22 UTC
Szalay Aladar10% owner
SaleCommon Stock 33,080 $2.57 $84,946.13
Disclosure

SEC source: 0001415889-24-023393 · form4-09132024_100915.xml · nonDerivative · entry 2

Szalay Aladar · CIK 0001937513 · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · By Trust

Disclosed balance after: 599,821

F3 · price: The "Amount" and "Price" reported in this Column 4 reflect the aggregate number and weighted-average price, respectively, of shares sold. These shares were sold in multiple transactions at prices ranging from $2.35 to $2.80, inclusive. The reporting person undertakes to provide to the issuer, any security holder of the issuer, or the SEC staff, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth herein.

F2 · ownership.nature: Shares held by The Szalay 2010 Retained Annuity Trust.

Read SEC document
September 12, 2024 Filed Sep 13, 2024 22:22 UTC
Szalay Aladar10% owner
SaleCommon Stock 31,777 $2.73 $86,732.14
Disclosure

SEC source: 0001415889-24-023393 · form4-09132024_100915.xml · nonDerivative · entry 1

Szalay Aladar · CIK 0001937513 · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · By Trust

Disclosed balance after: 632,901

F1 · price: The "Amount" and "Price" reported in this Column 4 reflect the aggregate number and weighted-average price, respectively, of shares sold. These shares were sold in multiple transactions at prices ranging from $2.65 to $2.85, inclusive. The reporting person undertakes to provide to the issuer, any security holder of the issuer, or the SEC staff, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth herein.

F2 · ownership.nature: Shares held by The Szalay 2010 Retained Annuity Trust.

Read SEC document
September 11, 2024 Filed Sep 11, 2024 22:23 UTC
Szalay Aladar10% owner
SaleCommon Stock 31,376 $2.62 $82,227.08
Disclosure

SEC source: 0001415889-24-023254 · form4-09112024_100950.xml · nonDerivative · entry 3

Szalay Aladar · CIK 0001937513 · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · By Trust

Disclosed balance after: 664,678

F4 · price: The "Amount" and "Price" reported in this Column 4 reflect the aggregate number and weighted-average price, respectively, of shares sold. These shares were sold in multiple transactions at prices ranging from $2.60 to $2.68, inclusive. The reporting person undertakes to provide to the issuer, any security holder of the issuer, or the SEC staff, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth herein.

F2 · ownership.nature: Shares held by The Szalay 2010 Retained Annuity Trust.

Read SEC document
September 11, 2024 Filed Sep 13, 2024 00:40 UTC SaleCommon Stock 1,730 $2.60 $4,498.87
Disclosure

SEC source: 0001415889-24-023335 · form4-09132024_120946.xml · nonDerivative · entry 1

Tyree James L · CIK 0001324991 · Director

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 47,521

F1 · kind: The sale reported in this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on December 13, 2023.

F2 · price: The weighted average sale price for the transaction reported was $2.6005, and the range of prices were between $2.50 and $2.68. 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

Read SEC document
September 10, 2024 Filed Sep 11, 2024 22:23 UTC
Szalay Aladar10% owner
SaleCommon Stock 20,384 $2.51 $51,182.19
Disclosure

SEC source: 0001415889-24-023254 · form4-09112024_100950.xml · nonDerivative · entry 2

Szalay Aladar · CIK 0001937513 · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · By Trust

Disclosed balance after: 696,054

F3 · price: The "Amount" and "Price" reported in this Column 4 reflect the aggregate number and weighted-average price, respectively, of shares sold. These shares were sold in multiple transactions at prices ranging from $2.50 to $2.56, inclusive. The reporting person undertakes to provide to the issuer, any security holder of the issuer, or the SEC staff, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth herein.

F2 · ownership.nature: Shares held by The Szalay 2010 Retained Annuity Trust.

Read SEC document
September 09, 2024 Filed Sep 11, 2024 22:23 UTC
Szalay Aladar10% owner
SaleCommon Stock 23,383 $2.70 $63,199.57
Disclosure

SEC source: 0001415889-24-023254 · form4-09112024_100950.xml · nonDerivative · entry 1

Szalay Aladar · CIK 0001937513 · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · By Trust

Disclosed balance after: 716,438

F1 · price: The "Amount" and "Price" reported in this Column 4 reflect the aggregate number and weighted-average price, respectively, of shares sold. These shares were sold in multiple transactions at prices ranging from $2.65 to $2.77, inclusive. The reporting person undertakes to provide to the issuer, any security holder of the issuer, or the SEC staff, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth herein.

F2 · ownership.nature: Shares held by The Szalay 2010 Retained Annuity Trust.

Read SEC document
September 03, 2024 Filed Sep 6, 2024 21:08 UTC
Szalay Aladar10% owner
SaleCommon Stock 42,818 $2.09 $89,613.79
Disclosure

SEC source: 0001415889-24-023023 · form4-09062024_090948.xml · nonDerivative · entry 1

Szalay Aladar · CIK 0001937513 · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · By Trust

Disclosed balance after: 739,821

F1 · price: The "Amount" and "Price" reported in this Column 4 reflect the aggregate number and weighted-average price, respectively, of shares sold. These shares were sold in multiple transactions at prices ranging from $2.05 to $2.17, inclusive. The reporting person undertakes to provide to the issuer, any security holder of the issuer, or the SEC staff, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth herein.

F2 · ownership.nature: Shares held by The Szalay 2010 Retained Annuity Trust.

Read SEC document
August 30, 2024 Filed Aug 30, 2024 23:58 UTC
Szalay Aladar10% owner
SaleCommon Stock 142,589 $2.17 $309,845.90
Disclosure

SEC source: 0001415889-24-022655 · form4-08302024_110838.xml · nonDerivative · entry 3

Szalay Aladar · CIK 0001937513 · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · By Trust

Disclosed balance after: 782,639

F4 · price: The "Amount" and "Price" reported in this Column 4 reflect the aggregate number and weighted-average price, respectively, of shares sold. These shares were sold in multiple transactions at prices ranging from $2.10 to $2.27, inclusive. The reporting person undertakes to provide to the issuer, any security holder of the issuer, or the SEC staff, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth herein.

F2 · ownership.nature: Shares held by The Szalay 2010 Retained Annuity Trust.

Read SEC document
August 29, 2024 Filed Aug 30, 2024 23:58 UTC
Szalay Aladar10% owner
SaleCommon Stock 107,045 $1.98 $211,959.80
Disclosure

SEC source: 0001415889-24-022655 · form4-08302024_110838.xml · nonDerivative · entry 2

Szalay Aladar · CIK 0001937513 · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · By Trust

Disclosed balance after: 925,228

F3 · price: The "Amount" and "Price" reported in this Column 4 reflect the aggregate number and weighted-average price, respectively, of shares sold. These shares were sold in multiple transactions at prices ranging from $1.96 to $2.045, inclusive. The reporting person undertakes to provide to the issuer, any security holder of the issuer, or the SEC staff, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth herein.

F2 · ownership.nature: Shares held by The Szalay 2010 Retained Annuity Trust.

Read SEC document
August 28, 2024 Filed Aug 30, 2024 23:58 UTC
Szalay Aladar10% owner
SaleCommon Stock 15,918 $2.05 $32,604.84
Disclosure

SEC source: 0001415889-24-022655 · form4-08302024_110838.xml · nonDerivative · entry 1

Szalay Aladar · CIK 0001937513 · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · By Trust

Disclosed balance after: 1,032,273

F1 · price: The "Amount" and "Price" reported in this Column 4 reflect the aggregate number and weighted-average price, respectively, of shares sold. These shares were sold in multiple transactions at prices ranging from $2.00 to $2.105, inclusive. The reporting person undertakes to provide to the issuer, any security holder of the issuer, or the SEC staff, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth herein.

F2 · ownership.nature: Shares held by The Szalay 2010 Retained Annuity Trust.

Read SEC document
August 27, 2024 Filed Aug 27, 2024 23:23 UTC
Szalay Aladar10% owner
SaleCommon Stock 51,630 $2.11 $108,861.86
Disclosure

SEC source: 0001415889-24-022359 · form4-08272024_110835.xml · nonDerivative · entry 2

Szalay Aladar · CIK 0001937513 · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · By Trust

Disclosed balance after: 1,048,191

F3 · price: The "Amount" and "Price" reported in this Column 4 reflect the aggregate number and weighted-average price, respectively, of shares sold. These shares were sold in multiple transactions at prices ranging from $2.10 to $2.22, inclusive. The reporting person undertakes to provide to the issuer, any security holder of the issuer, or the SEC staff, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth herein.

F2 · ownership.nature: Shares held by The Szalay 2010 Retained Annuity Trust.

Read SEC document
August 23, 2024 Filed Aug 27, 2024 23:23 UTC
Szalay Aladar10% owner
SaleCommon Stock 40,000 $2.29 $91,416.00
Disclosure

SEC source: 0001415889-24-022359 · form4-08272024_110835.xml · nonDerivative · entry 1

Szalay Aladar · CIK 0001937513 · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · By Trust

Disclosed balance after: 1,099,821

F1 · price: The "Amount" and "Price" reported in this Column 4 reflect the aggregate number and weighted-average price, respectively, of shares sold. These shares were sold in multiple transactions at prices ranging from $2.23 to $2.36, inclusive. The reporting person undertakes to provide to the issuer, any security holder of the issuer, or the SEC staff, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth herein.

F2 · ownership.nature: Shares held by The Szalay 2010 Retained Annuity Trust.

Read SEC document
August 01, 2024 Filed Aug 5, 2024 22:37 UTC GrantStock Option Right to Buy) · Derivative 50,469 $0.00 Strike: $1.54 $0.00
Disclosure

SEC source: 0001415889-24-020781 · form4-08052024_100857.xml · derivative · entry 2

Tyree James L · CIK 0001324991 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 50,469

Underlying: Common Stock · 50,469 shares

Expires 2034-07-31

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 01, 2024 Filed Aug 5, 2024 22:37 UTC GrantCommon Stock 39,541 $0.00 $0.00
Disclosure

SEC source: 0001415889-24-020781 · form4-08052024_100857.xml · nonDerivative · entry 1

Tyree James L · CIK 0001324991 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 49,251

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 01, 2024 Filed Aug 5, 2024 22:36 UTC GrantStock Option Right to Buy) · Derivative 50,469 $0.00 Strike: $1.54 $0.00
Disclosure

SEC source: 0001415889-24-020780 · form4-08052024_100824.xml · derivative · entry 2

Mirabelli Mary · CIK 0001937525 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 50,469

Underlying: Common Stock · 50,469 shares

Expires 2034-07-31

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 01, 2024 Filed Aug 5, 2024 22:36 UTC GrantCommon Stock 39,541 $0.00 $0.00
Disclosure

SEC source: 0001415889-24-020780 · form4-08052024_100824.xml · nonDerivative · entry 1

Mirabelli Mary · CIK 0001937525 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 52,001

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 01, 2024 Filed Aug 5, 2024 22:35 UTC
Thomas JohnDirector
GrantStock Option Right to Buy) · Derivative 50,469 $0.00 Strike: $1.54 $0.00
Disclosure

SEC source: 0001415889-24-020779 · form4-08052024_100850.xml · derivative · entry 2

Thomas John · CIK 0001939103 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 50,469

Underlying: Common Stock · 50,469 shares

Expires 2034-07-31

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 01, 2024 Filed Aug 5, 2024 22:35 UTC
Thomas JohnDirector
GrantCommon Stock 39,541 $0.00 $0.00
Disclosure

SEC source: 0001415889-24-020779 · form4-08052024_100850.xml · nonDerivative · entry 1

Thomas John · CIK 0001939103 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 505,501

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 01, 2024 Filed Aug 5, 2024 22:34 UTC GrantStock Option Right to Buy) · Derivative 50,469 $0.00 Strike: $1.54 $0.00
Disclosure

SEC source: 0001415889-24-020778 · form4-08052024_100852.xml · derivative · entry 2

Smither John W · CIK 0001559583 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 50,469

Underlying: Common Stock · 50,469 shares

Expires 2034-07-31

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.

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August 01, 2024 Filed Aug 5, 2024 22:34 UTC GrantCommon Stock 39,541 $0.00 $0.00
Disclosure

SEC source: 0001415889-24-020778 · form4-08052024_100852.xml · nonDerivative · entry 1

Smither John W · CIK 0001559583 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 52,711

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.

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August 01, 2024 Filed Dec 31, 2024 18:20 UTC Amendment
Thomas JohnDirector
GrantStock Option Right to Buy) · Derivative 50,469 $0.00 Strike: $1.96 $0.00
Disclosure

SEC source: 0001415889-24-030277 · form4a-12312024_011207.xml · derivative · entry 1

Thomas John · CIK 0001939103 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 50,469

Underlying: Common Stock · 50,469 shares

Expires 2034-07-31

F1 · 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.

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August 01, 2024 Filed Dec 31, 2024 18:20 UTC Amendment GrantStock Option Right to Buy) · Derivative 50,469 $0.00 Strike: $1.96 $0.00
Disclosure

SEC source: 0001415889-24-030276 · form4a-12312024_011205.xml · derivative · entry 1

Mirabelli Mary · CIK 0001937525 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 50,469

Underlying: Common Stock · 50,469 shares

Expires 2034-07-31

F1 · 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.

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August 01, 2024 Filed Dec 31, 2024 18:20 UTC Amendment GrantStock Option Right to Buy) · Derivative 50,469 $0.00 Strike: $1.96 $0.00
Disclosure

SEC source: 0001415889-24-030275 · form4a-12312024_011203.xml · derivative · entry 1

Smither John W · CIK 0001559583 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 50,469

Underlying: Common Stock · 50,469 shares

Expires 2034-07-31

F1 · 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.

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August 01, 2024 Filed Dec 31, 2024 18:20 UTC Amendment GrantStock Option Right to Buy) · Derivative 50,469 $0.00 Strike: $1.96 $0.00
Disclosure

SEC source: 0001415889-24-030274 · form4a-12312024_011201.xml · derivative · entry 1

Tyree James L · CIK 0001324991 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 50,469

Underlying: Common Stock · 50,469 shares

Expires 2034-07-31

F1 · 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.

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June 24, 2024 Filed Jul 8, 2024 20:30 UTC
Yu YongVP, Clinical Trial Operations
SaleCommon Stock 6,849 $2.12 $14,519.88
Disclosure

SEC source: 0001415889-24-019343 · form4-07082024_040709.xml · nonDerivative · entry 3

Yu Yong · CIK 0001937482 · VP, Clinical Trial Operations

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 10,869

F3 · 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 RSUs.

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June 24, 2024 Filed Jul 8, 2024 20:30 UTC
Ryder SeanGeneral Counsel
SaleCommon Stock 5,496 $2.12 $11,651.52
Disclosure

SEC source: 0001415889-24-019342 · form4-07082024_040707.xml · nonDerivative · entry 3

Ryder Sean · CIK 0001937485 · General Counsel

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 19,388

F3 · 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 the RSUs.

F4 · balance_after: Includes 2,106 shares acquired under the Issuer's Employee Stock Purchase Plan on May 16, 2024.

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June 24, 2024 Filed Jul 8, 2024 20:30 UTC
Jewett CarolineHead of Quality
SaleCommon Stock 4,961 $2.12 $10,517.32
Disclosure

SEC source: 0001415889-24-019341 · form4-07082024_040703.xml · nonDerivative · entry 3

Jewett Caroline · CIK 0001983187 · Head of Quality

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 16,174

F3 · 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 the RSUs.

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May 29, 2024 Filed Jun 8, 2024 01:45 UTC PurchaseCommon Stock Warrant (Right to Buy) · Derivative 6,250 Not disclosed Strike: $5.25 Not disclosed
Disclosure

SEC source: 0001415889-24-016110 · form4-06072024_090616.xml · derivative · entry 2

Tyree James L · CIK 0001324991 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 6,250

Underlying: Common Stock · 6,250 shares

Expires 2029-05-29

F1 · kind: The Reporting Person's purchase reported herein was matchable under Section 16(b) of the Securities Exchange Act of 1934 with the Reporting Person's sale of common stock on December 13, 2023. The Reporting Person has agreed to pay to the Issuer the profit realized in connection with the short-swing transaction, less transaction costs.

F2 · price: The reported securities consist of shares of common stock sold together with accompanying warrants to purchase common stock. The combined price of each share of common stock offered together with one warrant was $4.00.

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May 29, 2024 Filed Jun 8, 2024 01:45 UTC PurchaseCommon Stock 6,250 Not disclosed Not disclosed
Disclosure

SEC source: 0001415889-24-016110 · form4-06072024_090616.xml · nonDerivative · entry 1

Tyree James L · CIK 0001324991 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 9,710

F1 · kind: The Reporting Person's purchase reported herein was matchable under Section 16(b) of the Securities Exchange Act of 1934 with the Reporting Person's sale of common stock on December 13, 2023. The Reporting Person has agreed to pay to the Issuer the profit realized in connection with the short-swing transaction, less transaction costs.

F2 · price: The reported securities consist of shares of common stock sold together with accompanying warrants to purchase common stock. The combined price of each share of common stock offered together with one warrant was $4.00.

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May 29, 2024 Filed Jun 8, 2024 01:45 UTC PurchaseCommon Stock Warrant (Right to Buy) · Derivative 6,250 Not disclosed Strike: $5.25 Not disclosed
Disclosure

SEC source: 0001415889-24-016109 · form4-06072024_090615.xml · derivative · entry 2

Smither John W · CIK 0001559583 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 6,250

Underlying: Common Stock · 6,250 shares

Expires 2029-05-29

F1 · price: The reported securities consist of shares of common stock sold together with accompanying warrants to purchase common stock. The combined price of each share of common stock offered together with one warrant was $4.00.

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May 29, 2024 Filed Jun 8, 2024 01:45 UTC PurchaseCommon Stock 6,250 Not disclosed Not disclosed
Disclosure

SEC source: 0001415889-24-016109 · form4-06072024_090615.xml · nonDerivative · entry 1

Smither John W · CIK 0001559583 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 13,170

F1 · price: The reported securities consist of shares of common stock sold together with accompanying warrants to purchase common stock. The combined price of each share of common stock offered together with one warrant was $4.00.

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May 29, 2024 Filed Jun 8, 2024 01:45 UTC
Thomas JohnDirector
PurchaseCommon Stock Warrant (Right to Buy) · Derivative 2,500 Not disclosed Strike: $5.25 Not disclosed
Disclosure

SEC source: 0001415889-24-016108 · form4-06072024_090608.xml · derivative · entry 2

Thomas John · CIK 0001939103 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 2,500

Underlying: Common Stock · 2,500 shares

Expires 2029-05-29

F1 · kind: The Reporting Person's purchase reported herein was matchable under Section 16(b) of the Securities Exchange Act of 1934 with the Reporting Person's sale of common stock on December 13, 2023. The Reporting Person has agreed to pay to the Issuer the profit realized in connection with the short-swing transaction, less transaction costs.

F2 · price: The reported securities consist of shares of common stock sold together with accompanying warrants to purchase common stock. The combined price of each share of common stock offered together with one warrant was $4.00.

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May 29, 2024 Filed Jun 8, 2024 01:45 UTC
Thomas JohnDirector
PurchaseCommon Stock 2,500 Not disclosed Not disclosed
Disclosure

SEC source: 0001415889-24-016108 · form4-06072024_090608.xml · nonDerivative · entry 1

Thomas John · CIK 0001939103 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 465,960

F1 · kind: The Reporting Person's purchase reported herein was matchable under Section 16(b) of the Securities Exchange Act of 1934 with the Reporting Person's sale of common stock on December 13, 2023. The Reporting Person has agreed to pay to the Issuer the profit realized in connection with the short-swing transaction, less transaction costs.

F2 · price: The reported securities consist of shares of common stock sold together with accompanying warrants to purchase common stock. The combined price of each share of common stock offered together with one warrant was $4.00.

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May 29, 2024 Filed Jun 8, 2024 01:45 UTC PurchaseCommon Stock Warrant (Right to Buy) · Derivative 8,000 Not disclosed Strike: $5.25 Not disclosed
Disclosure

SEC source: 0001415889-24-016107 · form4-06072024_090604.xml · derivative · entry 2

Mirabelli Mary · CIK 0001937525 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 8,000

Underlying: Common Stock · 8,000 shares

Expires 2029-05-29

F1 · price: The reported securities consist of shares of common stock sold together with accompanying warrants to purchase common stock. The combined price of each share of common stock offered together with one warrant was $4.00.

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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.