Current Report Filing (8-k)
28 December 2021 - 10:04PM
Edgar (US Regulatory)
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2021-12-22
2021-12-22
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AUVI:Sec10.5SeriesCumulativePerpetualPreferredStockParValue0.0001PerShareMember
2021-12-22
2021-12-22
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UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
Form 8-K
CURRENT REPORT
Pursuant to Section 13 or 15(d)
of The Securities Exchange Act of 1934
Date of Report (Date of earliest event
reported) December 22, 2021
APPLIED UV, INC.
(Exact name of registrant as specified
in its charter)
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Delaware
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001-39480
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84-4373308
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(State or other jurisdiction of
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(Commission
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(IRS Employer
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incorporation)
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File Number)
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Identification No.)
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150 N. Macquesten Parkway
Mount Vernon, NY
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10550
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(Address of principal executive offices)
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(Zip Code)
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(914) 665-6100
(Registrant’s telephone number, including area
code)
N/A
(Former name or former address, if changed since last
report)
Check the appropriate box below if
the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions:
☐
Written communications pursuant to Rule 425 under the Securities Act (17 CFR
230.425)
☐
Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17
CFR 240.14a-12)
☐
Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange
Act (17 CFR 240.14d-2(b))
☐
Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange
Act (17 CFR 240.13e-4(c))
Securities registered pursuant to
Section 12(b) of the Act:
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Title of each class
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Trading Symbol(s)
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Name of each exchange
on which registered
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Common Stock, par value $0.0001 per share
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AUVI
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The Nasdaq Stock Market LLC
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10.5% Series A Cumulative Perpetual Preferred Stock, par value $0.0001 per share
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AUVIP
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The Nasdaq Stock Market LLC
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Indicate by check mark whether the
registrant is an emerging growth company as defined in Rule 405 of the Securities Act of 1933 (§230.405 of this chapter) or Rule
12b-2 of the Securities Exchange Act of 1934 (§240.12b-2 of this chapter).
Emerging
growth company ☒
If
an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying
with any new or revised financial accounting standards provided pursuant to Section 13(a) of the Exchange Act.
Item 5.02. Departure of Directors or Certain Officers;
Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers.
Resignation of Principal Executive Officer,
Principal Operating Officer or Director
On December 23, 2021, James Alecxih, the Chief Executive
Officer and a Director of the Board of Directors (the “Board”) of Applied UV, Inc. (the “Company”) resigned effective
immediately. Mr. Alecxih’s resignation is not the result of any disagreement with the Company on any matter relating to the
Company’s operations, policies or practices. Max Munn, the President of the Company, was named interim Chief Executive Officer until
a replacement for Mr. Alecxih is appointed.
On December 22, 2021, the Company terminated for cause
James L. Doyle III, as Chief Operations Officer of the Company. John J. Hayman III a Senior Vice President of the Company was named Interim
Chief Operations Officer until a replacement for Mr. Doyle is appointed.
Item 9.01 Financial Statements
and Exhibits.
(d) Exhibits.
SIGNATURE
Pursuant to the requirements of the
Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly
authorized.
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APPLIED UV, INC.
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Date: December 27, 2021
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By: /s/ Max Munn
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Name: Max Munn
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Title: Interim Chief Executive Officer, President
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