Form 8-K - Current report
03 2월 2024 - 6:39AM
Edgar (US Regulatory)
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0001231457
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2024-02-02
2024-02-02
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UNITED
STATES
SECURITIES
AND EXCHANGE COMMISSION
Washington,
D.C. 20549
FORM
8-K
CURRENT
REPORT
Pursuant
to Section 13 or 15(d)
of
the Securities Exchange Act of 1934
Date
of Report (Date of earliest event reported): February 2, 2024
Genelux
Corporation
(Exact
name of registrant as specified in its charter)
Delaware |
|
001-41599 |
|
77-0583529 |
(State
or other jurisdiction
of
incorporation) |
|
(Commission
File
Number) |
|
(I.R.S.
Employer
Identification
No.) |
2625
Townsgate Road, Suite 230
Westlake
Village, California |
|
91361 |
(Address
of principal executive offices) |
|
(Zip
Code) |
Registrant’s
telephone number, including area code: (805) 267-9889
Not
Applicable
(Former
name or former address, if changed since last report.)
Check
the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under
any of the following provisions:
☐ |
Written
communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425) |
|
|
☐ |
Soliciting
material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12) |
|
|
☐ |
Pre-commencement
communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b)) |
|
|
☐ |
Pre-commencement
communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c)) |
Securities
registered pursuant to Section 12(b) of the Act:
Title
of each class |
|
Trading
Symbol(s) |
|
Name
of each exchange on which registered |
Common
stock, par value $0.001 per share |
|
GNLX |
|
The
Nasdaq Stock Market LLC |
Indicate
by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of 1933 (§ 230.405
of this chapter) or Rule 12b-2 of the Securities Exchange Act of 1934 (§ 240.12b-2 of this chapter).
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 13(a) of the Exchange Act.
Item
2.02 Results of Operations and Financial Condition.
The
information set forth below in Item 8.01 is incorporated by reference herein.
Item
8.01 Other Events.
The
Company estimates that its cash, cash equivalents and short-term investments as of December 31, 2023 were approximately $23.2 million.
The
Company has not yet completed its quarter-end or year-end financial close process for the quarter and year ended December 31, 2023. This
estimate of the Company’s cash, cash equivalents and short-term investments as of December 31, 2023 is preliminary, has not been
audited and is subject to change upon completion of the Company’s financial statement closing procedures. Additional information
and disclosure would be required for a more complete understanding of the Company’s financial position and results of operations
as of December 31, 2023. The Company’s independent registered public accounting firm has not audited, reviewed or performed any
procedures with respect to this preliminary result and, accordingly, does not express an opinion or any other form of assurance about
it.
The
information contained in this Item 8.01 is being furnished and shall not be deemed to be “filed” for purposes of Section
18 of the Securities and Exchange Act of 1934, as amended (the “Exchange Act”), or otherwise subject to the liabilities of
that section, nor shall it be deemed to be incorporated by reference into any filing by the Company under the Securities Act of 1933,
as amended, or the Exchange Act, except as expressly set forth by specific reference in such filing to this Current Report on Form 8-K.
Forward-Looking
Statements
Certain
statements contained in this report are forward-looking statements that involve a number of risks and uncertainties. Such forward-looking
statements include, without limitation, statements about the Company’s preliminary estimates of cash, cash equivalents and short-term
investments as of December 31, 2023. Words such as “anticipates,” “expect,” “may,” “potential”
and similar expressions are intended to identify forward-looking statements, though not all forward-looking statements necessarily contain
these identifying words. For such statements, the Company claims the protection of the Private Securities Litigation Reform Act of 1995.
Actual events or results may differ materially from the Company’s expectations. Factors that could cause actual results to differ
materially from the forward-looking statements include, but are not limited to, risks related to preliminary financial results, including
the risks that the preliminary financial results reported herein reflect information available to the Company only at this time and may
differ from actual results, including in connection with the Company’s completion of end-of-period reporting procedures and related
activities, including the audit by the Company’s independent registered public accounting firm, risks associated with market conditions,
risks and uncertainties associated with the Company’s business and finances in general, risks associated with geopolitical and
macroeconomic conditions, risks associated with preclinical and clinical development, and regulatory risks. Additional factors that could
cause actual results to differ materially from those stated or implied by the Company’s forward-looking statements are disclosed
in the Company’s filings with the SEC, including in the section captioned “Risk Factors” in the Company’s most
recent quarterly report on Form 10-Q and subsequent filings thereafter. These forward-looking statements represent the Company’s
judgment as of the time of this report. The Company disclaims any intent or obligation to update these forward-looking statements, other
than as may be required under applicable law.
SIGNATURES
Pursuant
to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by
the undersigned hereunto duly authorized.
|
Genelux
Corporation |
|
|
|
Date:
February 2, 2024 |
By: |
/s/
Thomas Zindrick, J.D. |
|
|
Thomas
Zindrick, J.D. |
|
|
President
and Chief Executive Officer |
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