0001104659-20-109775.txt : 20200929
0001104659-20-109775.hdr.sgml : 20200929
20200929151528
ACCESSION NUMBER: 0001104659-20-109775
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: Munn Max
CENTRAL INDEX KEY: 0001824664
FILING VALUES:
FORM TYPE: 3
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-39480
FILM NUMBER: 201208621
MAIL ADDRESS:
STREET 1: 150 N. MACQUESTEN PARKWAY
CITY: MOUNT VERNON
STATE: NY
ZIP: 10550
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
tm2031711d10_3.xml
OWNERSHIP DOCUMENT
X0206
3
2020-08-28
0
0001811109
Applied UV, Inc.
AUVI
0001824664
Munn Max
C/O APPLIED UV, INC.
510 N. MACQUESTEN PARKWAY
MOUNT VERNON
NY
10550
1
1
1
0
President
Common Stock
5000000
I
See Footnote
Series A Preferred Stock
2000
I
See Footnote
Warrant (Right to Buy)
2020-04-01
2025-04-01
Common Stock
80000
D
Non-Qualified Stock Option (Right to Buy)
2030-04-01
Common Stock
500
D
Non-Qualified Stock Option (Right to Buy)
2030-07-01
Common Stock
500
D
Includes 5,000,000 shares which are held in the name of The Munn Family 2020 Irrevocable Trust, for which the spouse of Max Munn is the trustee.
Held in the name of The Munn Family 2020 Irrevocable Trust, for which for which the spouse of Max Munn is the trustee. Each share of Series A Preferred Stock is entitled to 1,000 votes (2,000,000 votes in aggregate) and votes with the Company's common stock as a single class.
An exercise price is equal to the greater of (x) $5.00 per share and (y) the market value of common stock on April 1, 2020.
An exercise price is equal to the greater of (x) $2.50 per share and (y) the market value of common stock on April 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.
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/ Max Munn
2020-09-29