Max Munn - Dec 16, 2021 Form 4 Insider Report for Applied UV, Inc. (AUVI)

Role
President, Director, 10%+ Owner
Signature
/s/ Max Munn
Stock symbol
AUVI
Transactions as of
Dec 16, 2021
Transactions value $
$41,500
Form type
4
Date filed
12/20/2021, 11:38 AM
Previous filing
Jun 4, 2021
Next filing
Dec 22, 2021

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction AUVI COMMON STOCK Purchase $41.5K +10K +0.2% $4.15 5.01M Dec 16, 2021 Direct F1
holding AUVI Super Voting Preferred Stock 2K Dec 16, 2021 Note F2

Derivative Securities (e.g., puts, calls, warrants, options, convertible securities)

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Underlying Class Amount Exercise Price Ownership Footnotes
holding AUVI Warrant (Right to buy) 80K Dec 16, 2021 Common Stock 80K Direct F3
holding AUVI Non-Qualified Stock Option (Right to buy) 500 Dec 16, 2021 Common Stock 500 Direct F4
holding AUVI Non-Qualified Stock Option 500 Dec 16, 2021 Common Stock 500 Direct F5
holding AUVI Non-Qualified Stock Option (Right to buy) 68.9K Dec 16, 2021 Common Stock 68.9K Direct F6
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 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.
F2 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.
F3 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.
F4 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.
F5 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.
F6 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.