0001104659-20-109774.txt : 20200929 0001104659-20-109774.hdr.sgml : 20200929 20200929151458 ACCESSION NUMBER: 0001104659-20-109774 CONFORMED SUBMISSION TYPE: 3 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20200828 FILED AS OF DATE: 20200929 DATE AS OF CHANGE: 20200929 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: KANTER JOEL S CENTRAL INDEX KEY: 0001008231 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 001-39480 FILM NUMBER: 201208620 MAIL ADDRESS: STREET 1: C/O WINDY CITY, INC. STREET 2: 8000 TOWERS CRESCENT DR, STE 1300 CITY: VIENNA STATE: VA ZIP: 22182 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: Applied UV, Inc. CENTRAL INDEX KEY: 0001811109 STANDARD INDUSTRIAL CLASSIFICATION: ELECTRIC LIGHTING & WIRING EQUIPMENT [3640] IRS NUMBER: 844373308 STATE OF INCORPORATION: DE FISCAL YEAR END: 0219 BUSINESS ADDRESS: STREET 1: 150 N. MACQUESTEN PKWY CITY: MOUNT VERNON STATE: NY ZIP: 10550 BUSINESS PHONE: 9292073751 MAIL ADDRESS: STREET 1: 150 N. MACQUESTEN PKWY CITY: MOUNT VERNON STATE: NY ZIP: 10550 3 1 tm2031711d8_3.xml OWNERSHIP DOCUMENT X0206 3 2020-08-28 0 0001811109 Applied UV, Inc. AUVI 0001008231 KANTER JOEL S C/O APPLIED UV, INC. 510 N. MACQUESTEN PARKWAY MOUNT VERNON NY 10550 1 0 0 0 Common Stock 17500 D Non-Qualified Stock Option (Right to Buy) 2030-07-01 Common Stock 500 D Vest on January 1, 2021. An exercise price is equal to the greater of (x) $2.50 per share and (y) the market value of common stock on July 1, 2020 (the "Effective Date of Grant"). Options for the purchase of 125 shares of common stock shall vest quarterly for a period of one year, beginning on the last day of the quarter following the Effective Date of Grant. /s/ Joel S. Kanter 2020-09-29