Current Report Filing (8-k)
23 April 2022 - 06:57AM
Edgar (US Regulatory)
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2022-04-18
2022-04-18
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2022-04-18
2022-04-18
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2022-04-18
2022-04-18
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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): April 18,
2022
APPLIED
UV, INC.
(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 |
|
10550 |
(Address
of principal executive offices) |
|
(Zip
Code) |
(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:
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
1.01. Entry into a Material Definitive Agreement.
On
April 18, 2022, Applied UV, Inc. (the “Company”) and its wholly-owned subsidiary Munn Works LLC, entered into an amended
and restated employment agreement (the “Employment Agreement”) with Mr. Max Munn, pursuant to which Mr. Munn will continue
to serve as the President of the Company and the Manager and Chief Executive Officer of Munn Works LLC. The Employment Agreement amends
and restates Mr. Munn’s prior employment agreement dated March 4, 2021 (the “Original Agreement”). The Employment Agreement
is effective as of March 1, 2022 and terminates on February 28, 2024 (the “Term”) and will automatically renew for successive
one-year terms unless terminated by the parties as provided under the Employment Agreement. The Employment Agreement amends the terms
of the Original Agreement by providing Mr. Munn with a cash annual base salary of $360,000 and cancels 206,557 of the 309,835 options
granted to Mr. Munn under the Original Agreement. Also, all the Original Agreement terminated on March 4, 2024 while the Employment Agreement
terminates on February 28, 2024. All of the other terms of the Original Agreement remain the same.
The
foregoing summary does not purport to be complete and is qualified in its entirety by the Employment Agreement, a copy of which is attached
hereto as Exhibit 10.2 and is incorporated herein by reference.
Item 9.01.
Financial Statements and Exhibits.
(d)
Exhibits.
SIGNATURES
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.
|
APPLIED
UV, INC. |
|
|
Date:
April 22, 2022 |
By:
/s/ John Andrews |
|
Name:
John Andrews |
|
Title:
Chief Executive Officer |
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