MICHAEL RICCIO - 05 Apr 2021 Form 3 Insider Report for Applied UV, Inc. (AUVI)

Role
Chief Financial Officer
Signature
/s/ Michael Riccio
Issuer symbol
AUVI
Transactions as of
05 Apr 2021
Net transactions value
$0
Form type
3
Filing time
25 Jan 2022, 08:50:19 UTC
SEC
View on sec.gov

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
holding AUVI COMMON STOCK 50,000 05 Apr 2021 Direct F1

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 Stock Option (right to buy) 05 Apr 2021 Common Stock 23,100 $6.53 Direct
holding AUVI Stock Option (right to buy) 05 Apr 2021 Common Stock 44,942 $6.53 Direct F2
holding AUVI Stock Option (right to buy) 05 Apr 2021 Common Stock 1,958 $6.53 Direct F3
holding AUVI Stock Option (right to buy) 05 Apr 2021 Common Stock 70,000 $2.70 Direct F4
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 The restricted stock vests quarterly over a 3-year period commencing on 1/1/22.
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.
F3 The 1,958 options vest on 9/28/23.
F4 The 70,000 options issued on 1/1/22 vest quarterly over a 3 year period commencing 1/1/22.