Key facts
- This page summarizes Max Munn's Form 4 filing for Applied UV, Inc..
- 1 reported transaction and 4 derivative rows are listed below.
- Accepted by SEC: 22 Dec 2021, 16:53.
Max Munn - 21 Dec 2021 Form 4 Insider Report for Applied UV, Inc.
- Reporting relationship
- President, Director, 10%+ Owner
- Issuer ticker
- N/A
- Reported as of
- 21 Dec 2021
- Net transaction value
- +$50,100
- SEC form
- 4
- Accepted by SEC
- 22 Dec 2021, 16:53:33 UTC
- Prior SEC filing
- 20 Dec 2021
- Next SEC filing
- 14 Feb 2022
- Source filing
- View source filing
- Reporting owner signature
- /s/ Max Munn
Source evidence
Original filing metadata and source links for verification.
5 source fields
Reporting owner
1 detail
Key filing fact
Max Munn filed Form 4 for Applied UV, Inc. on 22 Dec 2021.
Change
- Previous filing in this sequence was filed on 20 Dec 2021.
- Current net transaction value: +$50,100.
Research use
- This tells you what this filing adds before you inspect full transaction and derivative tables.
- You can trace every row back to the original SEC filing document.
Evidence
Filed on Form 4
View source filing
Ownership activity is grounded in SEC Form 4 disclosures.
Reported non-derivative transactions
Shares, units, or other non-derivative securities reported in this filing.
AUVI
transaction
COMMON STOCK
Purchase
- Transaction value
- $50,100
- Shares
- +10,000
- Change %
- +0.2%
- Price
- $5.01
- Shares after
- 5,020,000
- Date
- 21 Dec 2021
- Ownership
- Direct
- Footnotes
- F1
AUVI
holding
Super Voting Preferred Stock
No transaction description listed
- Transaction value
- Shares
- Change %
- Price
- Shares after
- 2,000
- Date
- 21 Dec 2021
- Ownership
- Note
- Footnotes
- F2
Reported derivative securities
Options, warrants, convertible securities, or similar derivative positions disclosed in the filing.
AUVI
holding
Derivative
Warrant (Right to buy)
No transaction description listed
- Transaction value
- Shares
- Change %
- Price
- Shares after
- 80,000
- Date
- 21 Dec 2021
- Ownership
- Direct
- Underlying class
- Common Stock
- Underlying amount
- 80,000
- Exercise price
- Footnotes
- F3
AUVI
holding
Derivative
Non-Qualified Stock Option (Right to buy)
No transaction description listed
- Transaction value
- Shares
- Change %
- Price
- Shares after
- 500
- Date
- 21 Dec 2021
- Ownership
- Direct
- Underlying class
- Common Stock
- Underlying amount
- 500
- Exercise price
- Footnotes
- F4
AUVI
holding
Derivative
Non-Qualified Stock Option
No transaction description listed
- Transaction value
- Shares
- Change %
- Price
- Shares after
- 500
- Date
- 21 Dec 2021
- Ownership
- Direct
- Underlying class
- Common Stock
- Underlying amount
- 500
- Exercise price
- Footnotes
- F5
AUVI
holding
Derivative
Non-Qualified Stock Option (Right to buy)
No transaction description listed
- Transaction value
- Shares
- Change %
- Price
- Shares after
- 68,852
- Date
- 21 Dec 2021
- Ownership
- Direct
- Underlying class
- Common Stock
- Underlying amount
- 68,852
- Exercise price
- Footnotes
- F6
* marks a reported price that did not pass the local price check.
Additional SEC filing notes
Filing notes and footnotes
Explanation of responses 6 footnotes
Footnote 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 20,000 shares are held directly by Mr. Munn.
Footnote 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.
Footnote 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.
Footnote 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.
Footnote 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.
Footnote 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.