Initial Statement of Beneficial Ownership (3)
26 January 2022 - 01:51AM
Edgar (US Regulatory)
FORM 3
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES
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3235-0104
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
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RICCIO MICHAEL GERARD |
2. Date of Event Requiring Statement (MM/DD/YYYY)
4/5/2021
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3. Issuer Name and Ticker or Trading Symbol
Applied UV, Inc. [AUVI]
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(Last)
(First)
(Middle)
150 N. MACQUESTEN PARKWAY |
4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
_____ Director _____ 10% Owner ___X___ Officer (give title below) _____ Other (specify below) Chief Financial Officer / |
(Street)
MOUNT VERNON, NY 10550
(City)
(State)
(Zip)
| 5. If Amendment, Date Original Filed(MM/DD/YYYY)
| 6. Individual or Joint/Group Filing(Check Applicable Line)
_X_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Beneficially Owned
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1.Title of Security (Instr. 4) | 2. Amount of Securities Beneficially Owned (Instr. 4) | 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 4. Nature of Indirect Beneficial Ownership (Instr. 5) |
COMMON STOCK | 50000 (1) | D | |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security (Instr. 4) | 2. Date Exercisable and Expiration Date (MM/DD/YYYY) | 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) | 4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 5) | 6. Nature of Indirect Beneficial Ownership (Instr. 5) |
Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Stock Option (right to buy) | 10/5/2021 | 9/28/2031 | Common Stock | 23100 | $6.53 | D | |
Stock Option (right to buy) | 10/31/2021 | 9/28/2031 | Common Stock | 44942 (2) | $6.53 | D | |
Stock Option (right to buy) | 9/30/2023 | 9/28/2031 | Common Stock | 1958 (3) | $6.53 | D | |
Stock Option (right to buy) | 1/1/2022 | 1/1/2032 | Common Stock | 70000 (4) | $2.70 | D | |
Explanation of Responses: |
(1) | The restricted stock vests quarterly over a 3-year period commencing on 1/1/22. |
(2) | 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. |
(3) | The 1,958 options vest on 9/28/23. |
(4) | The 70,000 options issued on 1/1/22 vest quarterly over a 3 year period commencing 1/1/22. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
RICCIO MICHAEL GERARD 150 N. MACQUESTEN PARKWAY MOUNT VERNON, NY 10550 |
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| Chief Financial Officer |
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Signatures
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/s/ Michael Riccio | | 1/24/2022 |
**Signature of Reporting Person | Date |
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