0001607062-21-000628.txt : 20211220
0001607062-21-000628.hdr.sgml : 20211220
20211220123843
ACCESSION NUMBER: 0001607062-21-000628
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20211216
FILED AS OF DATE: 20211220
DATE AS OF CHANGE: 20211220
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Munn Max
CENTRAL INDEX KEY: 0001824664
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-39480
FILM NUMBER: 211504400
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: 1231
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
4
1
ownership.xml
X0306
4
2021-12-16
0
0001811109
Applied UV, Inc.
AUVI
0001824664
Munn Max
150 N. MACQUESTEN PARKWAY
MOUNT VERNON
NY
10550
1
1
1
0
President
COMMON STOCK
2021-12-16
4
P
0
10000
4.15
A
5010000
D
Super Voting Preferred Stock
2000
I
Note
Warrant (Right to buy)
2020-02-18
2025-02-18
Common Stock
80000
80000
D
Non-Qualified Stock Option (Right to buy)
2030-04-01
Common Stock
500
500
D
Non-Qualified Stock Option
2030-07-01
Common Stock
500
500
D
Non-Qualified Stock Option (Right to buy)
Common Stock
68852
68852
D
5,000,000 shares are held by Max Munn indirectly through The Munn Family 2020 Irrevocable Trust in which his spouse is Trustee., and 10,000 shares are held directly by Mr. Munn.
Held in the name of The Munn Family 2020 Irrevocable Trust, for which the spouse of Max Munn is the trustee. Each share of Series X Super Voting 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.
The exercise price is equal to the greater of (x) $5.00 per share and (y) the market value of common stock on February 18, 2020.
The 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 (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.
The exercise price is equal to the greater of (x) $5.00 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.
Includes 68,852 vested shares underlying an option granted to Mr. Munn pursuant to his employment agreement which have an exercise price equal to the closing price of the Company's common stock on the Effective Date and which vest at the rate of 1/36th per month, commencing on April 1, 2021.
/s/ Max Munn
2021-12-20