Michael Gerard Riccio - 05 Apr 2021 Form 3 Insider Report for Applied UV, Inc.

Reporting relationship: Chief Financial Officer
Issuer ticker: N/A
Reported as of: 05 Apr 2021
Net transaction value: $0
SEC form: 3
Accepted by SEC: 25 Jan 2022, 08:50:19 UTC
Source filing: View source filing
Reporting owner signature: /s/ Michael Riccio

Key filing fact

Michael Gerard Riccio filed Form 3 for Applied UV, Inc. on 25 Jan 2022.

Key facts

This page summarizes Michael Gerard Riccio's Form 3 filing for Applied UV, Inc..
0 reported transactions and 4 derivative rows are listed below.
Accepted by SEC: 25 Jan 2022, 08:50.

Change

No earlier filing in this sequence is available for direct comparison.
Current net transaction value: $0.

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

Official SEC source

Ownership activity is grounded in SEC Form 3 disclosures.

View source filing

Reported non-derivative transactions

Shares, units, or other non-derivative securities reported in this filing.

AUVI holding

COMMON STOCK

No transaction description listed

Transaction value
Shares
Change %
Price
Shares after: 50,000
Date: 05 Apr 2021
Ownership: Direct
Footnotes: F1

Reported derivative securities

Options, warrants, convertible securities, or similar derivative positions disclosed in the filing.

AUVI holding Derivative

Stock Option (right to buy)

No transaction description listed

Transaction value
Shares
Change %
Price
Shares after
Date: 05 Apr 2021
Ownership: Direct
Underlying class: Common Stock
Underlying amount: 23,100
Exercise price: $6.53

AUVI holding Derivative

Stock Option (right to buy)

No transaction description listed

Transaction value
Shares
Change %
Price
Shares after
Date: 05 Apr 2021
Ownership: Direct
Underlying class: Common Stock
Underlying amount: 44,942
Exercise price: $6.53
Footnotes: F2

AUVI holding Derivative

Stock Option (right to buy)

No transaction description listed

Transaction value
Shares
Change %
Price
Shares after
Date: 05 Apr 2021
Ownership: Direct
Underlying class: Common Stock
Underlying amount: 1,958
Exercise price: $6.53
Footnotes: F3

AUVI holding Derivative

Stock Option (right to buy)

No transaction description listed

Transaction value
Shares
Change %
Price
Shares after
Date: 05 Apr 2021
Ownership: Direct
Underlying class: Common Stock
Underlying amount: 70,000
Exercise price: $2.70
Footnotes: F4

^* marks a reported price that did not pass the local price check.

Additional SEC filing notes

Filing notes and footnotes

Explanation of responses 4 footnotes

Footnote F1

The restricted stock vests quarterly over a 3-year period commencing on 1/1/22.

Footnote F2

The 44,942 options are divided into increments of 1,954 options vested monthly, at the end of each month, beginning 10/31/21 through 8/31/23.

Footnote F3

The 1,958 options vest on 9/28/23.

Footnote F4

The 70,000 options issued on 1/1/22 vest quarterly over a 3 year period commencing 1/1/22.

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