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Washington, D.C. 20549


Form 8-K



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



(Exact name of registrant as specified in its charter)


Delaware   001-39480   84-4373308
(State or other jurisdiction of   (Commission   (IRS Employer
incorporation)   File Number)   Identification No.)


150 N. Macquesten Parkway

Mount Vernon, NY

(Address of principal executive offices)   (Zip Code)


(914) 665-6100

(Registrant’s telephone number, including area code)



(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:


Title of each class   Trading Symbol(s)   Name of each exchange
on which registered
Common Stock, par value $0.0001 per share   AUVI   The Nasdaq Stock Market LLC
10.5% Series A Cumulative Perpetual Preferred Stock, par value $0.0001 per share   AUVIP   The Nasdaq Stock Market LLC


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.


Exhibit Number Description
99.1 Press Release






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.



Date: December 27, 2021 By: /s/ Max Munn
  Name: Max Munn
  Title: Interim Chief Executive Officer, President






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