4//SEC Filing
Munn Max 4
Accession 0001607062-21-000628
CIK 0001811109other
Filed
Dec 19, 7:00 PM ET
Accepted
Dec 20, 12:38 PM ET
Size
11.9 KB
Accession
0001607062-21-000628
Insider Transaction Report
Form 4
Applied UV, Inc.AUVI
Munn Max
DirectorPresident10% Owner
Transactions
- Purchase
COMMON STOCK
2021-12-16$4.15/sh+10,000$41,500→ 5,010,000 total
Holdings
- 2,000(indirect: Note)
Super Voting Preferred Stock
- 500
Non-Qualified Stock Option
Exp: 2030-07-01→ Common Stock (500 underlying) - 68,852
Non-Qualified Stock Option (Right to buy)
→ Common Stock (68,852 underlying) - 500
Non-Qualified Stock Option (Right to buy)
Exp: 2030-04-01→ Common Stock (500 underlying) - 80,000
Warrant (Right to buy)
From: 2020-02-18Exp: 2025-02-18→ Common Stock (80,000 underlying)
Footnotes (6)
- [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.
Documents
Issuer
Applied UV, Inc.
CIK 0001811109
Entity typeother
Related Parties
1- filerCIK 0001824664
Filing Metadata
- Form type
- 4
- Filed
- Dec 19, 7:00 PM ET
- Accepted
- Dec 20, 12:38 PM ET
- Size
- 11.9 KB