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