0001607062-21-000643.txt : 20211222 0001607062-21-000643.hdr.sgml : 20211222 20211222175333 ACCESSION NUMBER: 0001607062-21-000643 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20211221 FILED AS OF DATE: 20211222 DATE AS OF CHANGE: 20211222 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: 211514242 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 2021-12-21 0 0001811109 Applied UV, Inc. AUVI 0001824664 Munn Max 150 N. MACQUESTEN PARKWAY MOUNT VERNON NY 10550 1 1 1 0 President COMMON STOCK 2021-12-21 4 P 0 10000 5.01 A 5020000 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 20,000 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 2021-12-22