GENELUX Corp
For the period ended Dec 31, 2023. Filed Mar 29, 2024.
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FY2023 · Filed Mar 29, 2024
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Item 9B. Other Information
Trading Arrangements
As disclosed in the table below, during the three months ended December 31, 2023, certain of our directors and officers (as defined in Rule 16a-1(f) under the Exchange Act)adopted plans for trading arrangements intended to satisfy the affirmative defense conditions of Rule 10b5-1(c) of the Exchange Act.
| Name | Position | Date of Adoption | 10b5-1 Trading Arrangement* | Scheduled End Date of Trading Arrangement1 | Total Number of Securities to Be Sold Pursuant to the Arrangement2 |
|---|---|---|---|---|---|
| John Thomas | Director | 11/21/2023 | X | 06/30/2024 | Up to 66,333 shares |
| James Tyree | Director | 12/13/2023 | X | 09/15/2024 | Up to 26,730 shares |
| Sean Ryder | General Counsel & Corporate Secretary | 11/21/2023 | X | 05/21/2024 | Up to 15,000 shares |
| Paul Scigalla | Chief Medical Officer | 12/12/2023 | X | 08/27/2024 | Up to 108,555 shares |
| Thomas Zindrick3 | President & CEO | 12/14/2023 | X | 08/15/2024 | Up to 142,390 shares |
- Contract, instruction or written plan intended to satisfy the affirmative defense conditions of Rule 10b5-1(c) under the Exchange Act.
1 Except as indicated by footnote, each trading arrangement permitted or permits transactions through and including the earlier to occur of (a) the completion of all sales or (b) the date listed in the table.
2 The number of shares to be sold under each trading arrangement represents the maximum actual number of shares issuable. The actual number of shares to be sold under each trading arrangement will depend on the price and the number of shares withheld to satisfy tax obligations of expiring options.
3 The shares subject to this trading arrangement are related to options expiring on August 15, 2024.
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