Filing Details
- Accession Number:
- 0001607062-21-000628
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2021-12-20 12:38:43
- Reporting Period:
- 2021-12-16
- Accepted Time:
- 2021-12-20 12:38:43
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1811109 | Applied Uv Inc. | AUVI | Electric Lighting & Wiring Equipment (3640) | 844373308 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1824664 | Max Munn | 150 N. Macquesten Parkway Mount Vernon NY 10550 | President | Yes | Yes | Yes | No |
Reported Non-Derivative Transactions
| Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|---|---|---|---|---|---|
| Common Stock | Acquisiton | 2021-12-16 | 10,000 | $4.15 | 5,010,000 | No | 4 | P | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | P | Direct |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Super Voting Preferred Stock | 2,000 | Indirect | Note |
Reported Derivative Holdings
| Sec. Name | Sec. Type | Price | Date | Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|---|---|---|---|
| Common Stock | Warrant (Right to buy) | $0.00 | 2020-02-18 | 2025-02-18 | 80,000 | 80,000 | Direct |
| Common Stock | Non-Qualified Stock Option (Right to buy) | $0.00 | 2030-04-01 | 500 | 500 | Direct | |
| Common Stock | Non-Qualified Stock Option | $0.00 | 2030-07-01 | 500 | 500 | Direct | |
| Common Stock | Non-Qualified Stock Option (Right to buy) | $0.00 | 68,852 | 68,852 | Direct |
| Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|
| 2025-02-18 | 80,000 | 80,000 | Direct |
| 2030-04-01 | 500 | 500 | Direct |
| 2030-07-01 | 500 | 500 | Direct |
| 68,852 | 68,852 | Direct |
Footnotes
- 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.
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