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

Role: President, Director, 10%+ Owner
Signature: /s/ Max Munn
Issuer symbol: AUVI
Transactions as of: 16 Dec 2021
Transactions value $: $41,500
Form type: 4
Filing time: 20 Dec 2021, 11:38:43 UTC
Previous filing: 04 Jun 2021
Next filing: 22 Dec 2021
SEC: View on sec.gov

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	16 Dec 2021	Direct	F1
holding	AUVI	Super Voting Preferred Stock						2K	16 Dec 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	16 Dec 2021	Common Stock	80K		Direct	F3
holding	AUVI	Non-Qualified Stock Option (Right to buy)						500	16 Dec 2021	Common Stock	500		Direct	F4
holding	AUVI	Non-Qualified Stock Option						500	16 Dec 2021	Common Stock	500		Direct	F5
holding	AUVI	Non-Qualified Stock Option (Right to buy)						68.9K	16 Dec 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.