0001607062-22-000103.txt : 20220214 0001607062-22-000103.hdr.sgml : 20220214 20220214152006 ACCESSION NUMBER: 0001607062-22-000103 CONFORMED SUBMISSION TYPE: 5 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20211231 FILED AS OF DATE: 20220214 DATE AS OF CHANGE: 20220214 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Munn Max CENTRAL INDEX KEY: 0001824664 FILING VALUES: FORM TYPE: 5 SEC ACT: 1934 Act SEC FILE NUMBER: 001-39480 FILM NUMBER: 22630379 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 5 1 ownership.xml X0306 5 2021-12-31 0 0 1 0001811109 Applied UV, Inc. AUVI 0001824664 Munn Max 150 N. MACQUESTEN PARKWAY MOUNT VERNON NY 10550 1 1 0 0 Acting Chief Executive Officer Non-Qualified Stock Option (Right to Buy) 7.80 2021-03-04 4 P 0 L 240983 0 A 2021-04-30 2031-03-04 Common Stock 240983 309835 D The Form 4 filed on December 22, 2021 reported 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. The 240,983 options reported on this Form 5 were not previously reported in a form 4 filing. Non-qualified stock options vest monthly (1/36th of the total number per month) through March 31, 2024. /s/ Max Munn 2022-02-14