GENELUX Corp — Regulatory Filings 2024

Mar 29, 2024

S-8 1 forms-8.htm

As filed with the Securities and Exchange Commission on March 29, 2024

Registration No. 333-

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UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

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FORM S-8

REGISTRATION STATEMENT

UNDER

THE SECURITIES ACT OF 1933

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Genelux Corporation

(Exact name of registrant as specified in its charter)

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Delaware	77-0583529
(State
or other jurisdiction of incorporation
or organization)	(I.R.S.
Employer Identification
No.)
2625
Townsgate Road, Suite 230 Westlake
Village, California 91361	91361
(Address
of Principal Executive Offices)	(Zip
Code)

2022 Equity Incentive Plan

2022 Employee Stock Purchase Plan

(Full titles of the plans)

Thomas Zindrick, J.D.

President and Chief Executive Officer

Genelux Corporation

2625 Townsgate Road, Suite 230

Westlake Village, California 91361

(805) 267-9889

(Name, address, including zip code, and telephone number, including area code, of agent for service)

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Copies to:

Jason L. Kent

Christine S. Kim

Cooley LLP

10265 Science Center Drive

San Diego, California 92121

(858) 550-6000

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Indicate by check mark whether the registrant is a large accelerated filer, an accelerated filer, a non-accelerated filer, smaller reporting company, or an emerging growth company. See the definitions of “large accelerated filer,” “accelerated filer,” “smaller reporting company,” and “emerging growth company” in Rule 12b-2 of the Exchange Act.

| Large Accelerated filer | ☐ | Accelerated filer | ☐ | | --- | --- | --- | --- | | Non-accelerated filer | ☒ | Smaller reporting company | ☒ | | | | Emerging growth company | ☒ |

If an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 7(a)(2)(B) of the Securities Act. ☐

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EXPLANATORY NOTE

This Registration Statement on Form S-8 is being filed by Genelux Corporation (the “ Registrant ”) for the purpose of registering (i) an additional 1,339,449 shares of Registrant’s Common Stock, par value $0.0001 per share (“ Common Stock ”), under the Registrant’s 2022 Equity Incentive Plan (the “ 2022 Plan ”) pursuant to the provisions of the 2022 Plan providing for an automatic increase in the number of shares of Common Stock reserved and available for issuance under the 2022 Plan and (ii) 267,890 additional shares of Common Stock under the Registrant’s 2022 Employee Stock Purchase Plan (the “ 2022 ESPP ”) pursuant to the provisions of the 2022 ESPP providing for an automatic increase in the number of shares of Common Stock reserved and available for issuance under the 2022 ESPP.

PART II

ITEM 3. INCORPORATION OF DOCUMENTS BY REFERENCE.

The following documents filed by the registrant with the Securities and Exchange Commission (SEC) are incorporated by reference into this registration statement:

● the contents of the Registration Statement on Form S-8 previously filed with the Commission on January 26, 2023;

● the registrant’s Annual Report on Form 10-K for the year ended December 31, 2023, filed with the SEC on March 29, 2024; and

● the description of the registrant’s common stock contained in the registrant’s registration statement on Form 8-A , filed with the SEC on January 23, 2023, including any amendments or reports filed for the purpose of updating such description.

All reports and other documents filed by the registrant pursuant to Section 13(a), 13(c), 14 or 15(d) of the Securities Exchange Act of 1934, as amended, other than Current Reports furnished under Item 2.02 or Item 7.01 of exhibits furnished on such form that relate to such items and other portions of documents that are furnished but not filed or are otherwise not incorporated into registration statements pursuant to the applicable rules promulgated by the SEC, after the date of this registration statement and prior to the filing of a post-effective amendment which indicates that all securities offered hereby have been sold or which deregisters all securities then remaining unsold, shall be deemed to be incorporated by reference herein and to be a part of this registration statement from the date of filing such reports and documents. Any statement contained in a document incorporated or deemed to be incorporated herein by reference shall be deemed to be modified or superseded for purposes of this registration statement to the extent that a statement herein or in any other subsequently filed document which also is or is deemed to be incorporated by reference herein modifies or supersedes that statement. Any such statement so modified or superseded shall not constitute a part of this registration statement, except as so modified or superseded.

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Item 8. Exhibits.

The exhibits to this Registration Statement are listed below:

Exhibit Number	Description
4.1	Amended
and Restated Certificate of Incorporation of the Registrant (incorporated by reference to Exhibit 3.1 to the Registrant’s Current
Report on Form 8-K (File No. 001-41599), filed with the SEC on January 30, 2023).
4.2	Amended
and Restated Bylaws of the Registrant (incorporated by reference to Exhibit 3.2 to the Registrant’s Current Report on Form
8-K (File No. 001-41599), filed with the SEC on January 30, 2023).
4.3	Form
of Common Stock Certificate (incorporated herein by reference to Exhibit 4.1 to the Registrant’s Registration Statement on
Form S-1, as amended (File No. 333-265828), filed with the Commission on August 29, 2022).
4.4	Investors’
Rights Agreement, by and among the Registrant and AbbVie, Inc. and Aladar Szalay, Ph.D., dated January 2010 (incorporated herein
by reference to Exhibit 4.2 to the Registrant’s Registration Statement on Form S-1, as amended (File No. 333-265828), filed
with the Commission on June 24, 2022).
4.5	Form
of Warrant to Purchase Common Stock issued to WDC Fund I, dated September 2020 (incorporated herein by reference to Exhibit 4.3 to
the Registrant’s Registration Statement on Form S-1, as amended (File No. 333-265828), filed with the Commission on June 24,
2022).
4.6	Form
of Umbrella Agreement Regarding Family Investments (incorporated herein by reference to Exhibit 4.5 to the Registrant’s Registration
Statement on Form S-1, as amended (File No. 333-265828), filed with the Commission on June 24, 2022).
4.7	Form
of Convertible Note Purchase Agreement under the Umbrella Agreement (incorporated herein by reference to Exhibit 4.6 to the Registrant’s
Registration Statement on Form S-1, as amended (File No. 333-265828), filed with the Commission on June 24, 2022).
4.8	Form
of Representative’s Warrant (incorporated herein by reference to Exhibit 4.7 to the Registrant’s Registration Statement
on Form S-1, as amended (File No. 333-265828), filed with the Commission on September 19, 2022).
4.9	Form
of Warrant to Purchase Common Stock (incorporated by reference to Exhibit 4.8 to the Registrant’s Quarterly Report on Form
10-Q (File No. 001-41599), filed with the SEC on May 15, 2023).
4.10	Letter
Agreement Amending the Umbrella Agreements, by and among the Registrant and Existing Noteholders dated April 4, 2023 (incorporated
by reference to Exhibit 4.10 to the Registrant’s Quarterly Report on Form 10-Q (File No. 001-41599), filed with the SEC on
May 15, 2023).
4.11	Form
of Warrant to Purchase Common Stock issued on July 28, 2023 in connection with Converted Convertible Notes Payable (incorporated
by reference to Exhibit 4.3 to the Registrant’s Quarterly Report on Form 10-Q (File No. 001-41599), filed with the SEC on August
14, 2023).
4.12	Form
of Warrant to Purchase Common Stock issued on August 1, 2023 in connection with Converted Convertible Notes Payable (incorporated
by reference to Exhibit 4.4 to the Registrant’s Quarterly Report on Form 10-Q (File No. 001-41599), filed with the SEC on August
14, 2023).
5.1*	Opinion
of Cooley LLP.
23.1*	Consent
of Weinberg & Company, P.A., independent registered public accounting firm.
23.2*	Consent
of Cooley LLP (included in Exhibit 5.1).
24.1*	Power
of Attorney (included on the signature page).
99.1	Genelux
Corporation 2022 Equity Incentive Plan (incorporated herein by reference to Exhibit 10.5 to the Registrant’s Registration Statement
on Form S-1, as amended (File No. 333-265828), filed with the Commission on June 24, 2022).
99.2	Forms
of Grant Notice, Stock Option Agreement and Notice of Exercise under the Genelux Corporation 2022 Equity Incentive Plan (incorporated
herein by reference to Exhibit 10.6 to the Registrant’s Registration Statement on Form S-1, as amended (File No. 333-265828),
filed with the Commission on June 24, 2022).
99.3	Genelux
Corporation, Inc. 2022 Employee Stock Purchase Plan (incorporated herein by reference to
Exhibit 10.7 to the Registrant’s Registration Statement on Form S-1, as amended (File
No. 333-265828), filed with the Commission on June 24, 2022).
107*	Filing
Fee Table.

• Filed herewith

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SIGNATURES

Pursuant to the requirements of the Securities Act of 1933, as amended, the Registrant certifies that it has reasonable grounds to believe that it meets all of the requirements for filing on Form S-8 and has duly caused this Registration Statement to be signed on its behalf by the undersigned, thereunto duly authorized, in Westlake Village, State of California, on March 29, 2024.

| GENELUX

CORPORATION
By:	/s/
Thomas Zindrick, J.D.
	Thomas
Zindrick, J.D.
	President
and Chief Executive Officer

POWER OF ATTORNEY

KNOW ALL PERSONS BY THESE PRESENTS, that each person whose signature appears below hereby constitutes and appoints Thomas Zindrick, J.D and Lourie Zak, and each of them as his or her true and lawful attorneys-in-fact and agents, each with full power of substitution and resubstitution, for him or her and in their name, place and stead, in any and all capacities, to sign any and all amendments (including post-effective amendments) to this registration statement, and to sign any registration statement for the same offering covered by this registration statement that is to be effective on filing pursuant to Rule 462(b) under the Securities Act of 1933, as amended, and all post-effective amendments thereto, and to file the same, with all exhibits thereto and other documents in connection therewith, with the Securities and Exchange Commission, granting unto said attorneys-in-fact and agents full power and authority to do and perform each and every act and thing requisite and necessary to be done in connection therewith, as fully to all intents and purposes as he might or could do in person, hereby ratifying and confirming all that said attorneys-in-fact and agents, or his or her substitute or substitutes, may lawfully do or cause to be done by virtue hereof.

Pursuant to the requirements of the Securities Act of 1933, as amended, this Registration Statement has been signed by the following persons in the capacities and on the dates indicated.

Signature	Title	Date
/s/
Thomas Zindrick, J.D.	President,
Chief Executive Officer and Chairman of the Board	March
29, 2024
Thomas
Zindrick, J.D.	( Principal
Executive Officer )
/s/
Lourie Zak	Chief
Financial Officer	March
29, 2024
Lourie
Zak	( Principal
Financial and Accounting Officer )
/s/
Mary Mirabelli	Director	March
29, 2024
Mary
Mirabelli
/s/
John Smither	Director	March
29, 2024
John
Smither
/s/
James L. Tyree	Director	March
29, 2024
James
L. Tyree
/s/
John Thomas, Ph.D.	Director	March
29, 2024
John
Thomas, Ph.D.

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