Max Munn - Dec 31, 2021 Form 5 Insider Report for Applied UV, Inc. (AUVI)

Role
Acting Chief Executive Officer, Director
Signature
/s/ Max Munn
Stock symbol
AUVI
Transactions as of
Dec 31, 2021
Transactions value $
$0
Form type
5
Date filed
2/14/2022, 02:20 PM
Previous filing
Dec 22, 2021

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
transaction AUVI Non-Qualified Stock Option (Right to Buy) Purchase $0 +241K +350% $0.00 310K Mar 4, 2021 Common Stock 241K $7.80 Direct F1, F2
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 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.
F2 Non-qualified stock options vest monthly (1/36th of the total number per month) through March 31, 2024.