0001607062-22-000030.txt : 20220125 0001607062-22-000030.hdr.sgml : 20220125 20220125095019 ACCESSION NUMBER: 0001607062-22-000030 CONFORMED SUBMISSION TYPE: 3 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20210405 FILED AS OF DATE: 20220125 DATE AS OF CHANGE: 20220125 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: RICCIO MICHAEL GERARD CENTRAL INDEX KEY: 0001905542 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 001-39480 FILM NUMBER: 22551331 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 3 1 ownership.xml X0206 3 2021-04-05 0 0001811109 Applied UV, Inc. AUVI 0001905542 RICCIO MICHAEL GERARD 150 N. MACQUESTEN PARKWAY MOUNT VERNON NY 10550 0 1 0 0 Chief Financial Officer COMMON STOCK 50000 D Stock Option (right to buy) 6.53 2021-10-05 2031-09-28 Common Stock 23100 D Stock Option (right to buy) 6.53 2021-10-31 2031-09-28 Common Stock 44942 D Stock Option (right to buy) 6.53 2023-09-30 2031-09-28 Common Stock 1958 D Stock Option (right to buy) 2.70 2022-01-01 2032-01-01 Common Stock 70000 D The restricted stock vests quarterly over a 3-year period commencing on 1/1/22. The 44,942 options are divided into increments of 1,954 options vested monthly, at the end of each month, beginning 10/31/21 through 8/31/23. The 1,958 options vest on 9/28/23. The 70,000 options issued on 1/1/22 vest quarterly over a 3 year period commencing 1/1/22. /s/ Michael Riccio 2022-01-24