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SEC Filings
All companies that sell securities in the United States must register with the Securities and Exchange Commission (SEC) and file reports on a regular basis.
These reports include company annual reports (10K, 10Q), news updates (8K), investor presentations (found in 8Ks), insider trades (form 4), ownership reports (13D, and 13G), and reports related to the specific securities sold, such as registration statements and prospectus. This page shows recent SEC filings related to Applied UV, Inc.
SEC Filings (Chronological Order)
Denna sida innehåller en komplett, kronologisk lista över SEC-arkiveringar, exklusive ägande-arkiveringar som vi tillhandahåller på andra ställen.
| May 31, 2024 |
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): May 24, 2024 APPLIED UV, INC. (Exact name of registrant as specified in its charter) Nevada 001-39480 84-4373308 (State or other jurisdiction of Incorporation) (Commission File Number |
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| May 28, 2024 |
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): May 21, 2024 APPLIED UV, INC. (Exact name of registrant as specified in its charter) Nevada 001-39480 84-4373308 (State or other jurisdiction of Incorporation) (Commission File Number |
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| May 28, 2024 |
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): May 21, 2024 APPLIED UV, INC. (Exact name of registrant as specified in its charter) Nevada 001-39480 84-4373308 (State or other jurisdiction of Incorporation) (Commission File Number |
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| May 22, 2024 |
Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing 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): May 16, 2024 APPLIED UV, INC. (Exact name of registrant as specified in its charter) Nevada 001-39480 84-4373308 (State or other jurisdiction of Incorporation) (Commission File Number |
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| May 20, 2024 |
Exhibit 16.1 May 14, 2024 U.S. Securities and Exchange Commission 100 F Street, NE Washington, DC 20549 Ladies and Gentlemen: We have read the statements made by Applied UV, Inc. (the “registrant”) under Item 4.01 of its Form 8-K dated May 14, 2024 and are in agreement with the statements therein concerning Mazars USA LLP. We have no basis to agree or disagree with other statements of the registra |
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| May 20, 2024 |
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): May 14, 2024 APPLIED UV, INC. (Exact name of registrant as specified in its charter) Nevada 001-39480 84-4373308 (State or other jurisdiction of Incorporation) (Commission File Number |
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| May 17, 2024 |
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): May 14, 2024 APPLIED UV, INC. (Exact name of registrant as specified in its charter) Nevada 001-39480 84-4373308 (State or other jurisdiction of Incorporation) (Commission File Number |
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| May 16, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 12b-25 NOTIFICATION OF LATE FILING (Check one): ☐ Form 10-K ☐ Form 20-F ☐ Form 11-K ☒ Form 10-Q ☐ Form 10-D ☐ Form N-CEN ☐ Form N-CSR For Period Ended: March 31, 2024 ☐ Transition Report on Form 10-K ☐ Transition Report on Form 20-F ☐ Transition Report on Form 11-K ☐ Transition Report on Form 10-Q For the Transition Perio |
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| May 9, 2024 |
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 24, 2024 APPLIED UV, INC. (Exact name of registrant as specified in its charter) Nevada 001-39480 84-4373308 (State or other jurisdiction of Incorporation) (Commission File Numb |
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| April 23, 2024 |
Applied UV, Inc. 150 N Macquesten Pkwy Mt Vernon, NY 10550 Applied UV, Inc. 150 N Macquesten Pkwy Mt Vernon, NY 10550 April 23, 2024 VIA EDGAR U.S. Securities and Exchange Commission Division of Corporation Finance 100 F Street, N.E. Washington, D.C. 20549 Re: Applied UV, Inc. Request for Acceleration Registration Statement on Form S-1 File No. 333-278740 Ladies and Gentlemen: Pursuant to Rule 461 promulgated under the Securities Act of 1933, as amended ( |
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| April 23, 2024 |
As filed with the United States Securities and Exchange Commission on April 23, 2024 As filed with the United States Securities and Exchange Commission on April 23, 2024 Registration No. |
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| April 22, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14C INFORMATION Information Statement Pursuant to Section 14(c) of the Securities Exchange Act of 1934 Check the appropriate box: ☐ Preliminary Information Statement ☐ Confidential, for use of the Commission only (as permitted by Rule 14c-5(d)(2)) ☒ Definitive Information Statement APPLIED UV, INC. (Name of Registrant |
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| April 19, 2024 |
Letter from Mazars dated as of April 17, 2024. Exhibit 16.1 April 17, 2024 U.S. Securities and Exchange Commission 100 F Street, NE Washington, DC 20549 Ladies and Gentlemen: We have read the statements made by Applied UV, Inc. (the “registrant”) under Item 4.01 of its Form 8-K dated April 17, 2024 and are in agreement with the statements therein concerning Mazars USA LLP. We have no basis to agree or disagree with other statements of the regi |
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| April 19, 2024 |
Financial Statements and Exhibits, Changes in Registrant's Certifying Accountant 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 17, 2024 APPLIED UV, INC. (Exact name of registrant as specified in its charter) Nevada 001-39480 84-4373308 (State or other jurisdiction of Incorporation) (Commission File Numb |
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| April 16, 2024 |
Exhibit 19.1 APPLIED UV, INC. INSIDER TRADING POLICY Dated: February 10, 2022 Purpose This Insider Trading Policy (the “Policy”) provides guidelines with respect to transactions in the securities of Applied UV, Inc. (the “Company”) and the handling of confidential information about the Company and the companies with which the Company does business. The Company’s Board of Directors has adopted this |
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| April 16, 2024 |
Exhibit 97.1 APPLIED UV, INC. CLAWBACK POLICY Introduction The Board of Directors (“Board”) of Applied UV, Inc., a Delaware corporation (the “Company”), believes that it is in the best interests of the Company and its stockholders to adopt this policy which provides for the recoupment of certain executive compensation in the event of an accounting restatement resulting from material noncompliance |
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| April 16, 2024 |
List of Subsidiaries of the Registrant Exhibit 21.1 Subsidiaries of the Registrant Legal Name of Subsidiary Jurisdiction of Organization Munn Works, LLC New York SteriLuman, Inc. New York PURO Lighting, LLC Colorado LED Supply Co. LLC. Colorado |
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| April 16, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K (Mark One) ☒ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Fiscal Year Ended December 31, 2023 Or ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-39480 APPLIED UV, IN |
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| April 16, 2024 |
Description of Registrant's Securities Exhibit 4.6 DESCRIPTION OF REGISTRANT’S SECURITIES REGISTERED UNDER SECTION 12 OF THE SECURITIES EXCHANGE ACT OF 1934, AS AMENDED The following description sets forth certain material terms and provisions of the common stock and Series A Preferred Shares of Applied UV, Inc., a Nevada corporation which are registered under Section 12(b) of the Securities Exchange Act of 1934, as amended (the “Excha |
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| April 16, 2024 |
As filed with the United States Securities and Exchange Commission on April 16, 2024 As filed with the United States Securities and Exchange Commission on April 16, 2024 Registration No. |
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| April 16, 2024 |
Exhibit 107 Calculation of Filing Fee Tables Form S-1 Applied UV, Inc. (Exact Name of Registrant as Specified in its Charter) Table 1: Newly Registered Securities Table 1: Newly Registered and Carry Forward Securities Security Type Security Class Title Fee Calculation Rule or Carry Forward Rule Amount Registered(1) Proposed Maximum Offering Price Per Share Maximum Aggregate Offering Price Fee Rate |
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| April 16, 2024 |
Exhibit 14.1 Exhibit F CODE OF CONDUCT OF APPLIED UV, INC. Adopted by the Board of Directors on July 9, 2020 I. Covered Persons and Purpose This code of conduct (this “Code”) for Applied UV, Inc., a Delaware Corporation (the “Company”), applies to the Company’s directors, officers, controllers, consultants and employees (collectively, the “Covered Persons”) and shall be publicly available for the |
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| April 12, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14C INFORMATION Information Statement Pursuant to Section 14(c) of the Securities Exchange Act of 1934 Check the appropriate box: ☒ Preliminary Information Statement ☐ Confidential, for use of the Commission only (as permitted by Rule 14c-5(d)(2)) ☐ Definitive Information Statement APPLIED UV, INC. (Name of Registrant |
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| April 5, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K (Amendment No. 1) CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): March 27, 2024 APPLIED UV, INC. (Exact name of registrant as specified in its charter) Nevada 001-39480 84-4373308 (State or other jurisdiction of Incorporation) (Co |
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| April 2, 2024 |
Exhibit 1.1 March 27, 2024 PERSONAL AND CONFIDENTIAL Mr. Max Munn, Chief Executive Officer Applied UV, Inc. 150 N. Macquesten Parkway Mount Vernon, NY Re: AUVI | Registered Direct and PIPE Offering | Placement Agent Agreement Dear Mr. Munn: The purpose of this placement agent agreement (“Agreement”) is to outline our agreement pursuant to which Aegis Capital Corp. (“Aegis”) will act as the placeme |
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| April 2, 2024 |
Applied UV, Inc. Announces Closing of $2.76 Million Registered Direct and Private Placement Exhibit 99.2 Applied UV, Inc. Announces Closing of $2.76 Million Registered Direct and Private Placement NEW YORK, NY - (NewMediaWire) - April 1, 2024 - Applied UV, Inc. (NASDAQ: AUVI) (the “Company”), a leader in smart building technology solutions, today announced the closing of its previously announced registered direct offering and concurrent private placement with institutional investors. The |
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| April 2, 2024 |
Exhibit 4.2 NEITHER THIS SECURITY NOR THE SECURITIES FOR WHICH THIS SECURITY IS EXERCISABLE HAVE BEEN REGISTERED WITH THE SECURITIES AND EXCHANGE COMMISSION OR THE SECURITIES COMMISSION OF ANY STATE IN RELIANCE UPON AN EXEMPTION FROM REGISTRATION UNDER THE SECURITIES ACT OF 1933, AS AMENDED (THE “SECURITIES ACT”), AND, ACCORDINGLY, MAY NOT BE OFFERED OR SOLD EXCEPT PURSUANT TO AN EFFECTIVE REGISTR |
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| April 2, 2024 |
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): March 27, 2024 APPLIED UV, INC. (Exact name of registrant as specified in its charter) Nevada 001-39480 84-4373308 (State or other jurisdiction of Incorporation) (Commission File Numb |
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| April 2, 2024 |
Exhibit 10.1 SECURITIES PURCHASE AGREEMENT This Securities Purchase Agreement (this “Agreement”) is dated as of March 27, 2024, between Applied UV, Inc., a Nevada corporation (the “Company”), and each purchaser identified on the signature pages hereto (including their respective successors and assigns, each a “Purchaser” and collectively, the “Purchasers”). WHEREAS, subject to the terms and condit |
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| April 2, 2024 |
Exhibit 99.1 Applied UV, Inc. Announces Pricing of $2.76 Million Registered Direct and Private Placement Priced at the Market Under Nasdaq Rules NEW YORK, NY - (NewMediaWire) - March 27, 2024 - Applied UV, Inc. (NASDAQ: AUVI; AUVIP) (“Applied UV” or the “Company”), a leader in smart building technology solutions, today announced that it has entered into definitive agreements with institutional inv |
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| April 2, 2024 |
Exhibit 10.2 REGISTRATION RIGHTS AGREEMENT This Registration Rights Agreement (this “Agreement”) is made and entered into as of March 27, 2024, between Applied UV, Inc., a Nevada corporation (the “Company”), and each of the several purchasers signatory hereto (each such purchaser, a “Purchaser” and, collectively, the “Purchasers”). This Agreement is made pursuant to the Securities Purchase Agreeme |
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| April 2, 2024 |
Exhibit 10.3 SERIES A/B WARRANT AMENDMENT APPLIED UV, INC. THIS AMENDMENT (this “Amendment”), dated as of March 27, 2024, to those certain (i) Series A Warrants to Purchase Common Stock, issued by Applied UV, Inc. (the “Company”) on November 16, 2023 (the “Series A Warrants”) and Series B Warrants to Purchase Common Stock issued by the Company on November 16, 2023 (the “Series B Warrants” and toge |
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| April 2, 2024 |
Exhibit 4.1 PRE-FUNDED WARRANT TO PURCHASE COMMON STOCK APPLIED UV, INC. Warrant Shares: Initial Exercise Date: March 27, 2024 Issue Date: April 1, 2024 THIS PRE-FUNDED WARRANT TO PURCHASE COMMON STOCK (the “Warrant”) certifies that, for value received, or its assigns (the “Holder”) is entitled, upon the terms and subject to the limitations on exercise and the conditions hereinafter set forth, at |
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| April 1, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 12b-25 NOTIFICATION OF LATE FILING (Check one): ☒ Form 10-K ☐ Form 20-F ☐ Form 11-K ☐ Form 10-Q ☐ Form 10-D ☐ Form N-CEN ☐ Form N-CSR For Period Ended: December 31, 2023 ☐ Transition Report on Form 10-K ☐ Transition Report on Form 20-F ☐ Transition Report on Form 11-K ☐ Transition Report on Form 10-Q For the Transition Pe |
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| March 29, 2024 |
Filed Pursuant to Rule 424(b)(5) Registration No. 333-266015 PROSPECTUS SUPPLEMENT (To Prospectus dated July 1, 2022) 538,000 Shares of Common Stock Pre-Funded Warrants to Purchase 1,188,875 Shares of Common Stock Applied UV, Inc. We are offering 538,000 shares of our common stock, par value $0.0001 per share, directly to certain institutional investors pursuant to this prospectus supplement and t |
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| March 15, 2024 |
Exhibit 10.1 Business Loan and Security Agreement February 6th, 2024 This Business Loan and Security Agreement Supplement is part of (and incorporated by reference into) the Business Loan and Security Agreement. Borrower should keep this important legal document for Borrower’s records. Borrower: APPLIED UV, INC, a Delaware corporation. STERILUMEN INC MUNN WORKS LLC Lender: CEDAR ADVANCE LLC, a Del |
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| March 15, 2024 |
Exhibit 10.2 Business Loan and Security Agreement March 10th, 2024 This Business Loan and Security Agreement Supplement is part of (and incorporated by reference into) the Business Loan and Security Agreement. Borrower should keep this important legal document for Borrower’s records. Borrower: APPLIED UV, INC, a Delaware corporation. STERILUMEN INC MUNN WORKS LLC Lender: CEDAR ADVANCE LLC, a Delaw |
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| March 15, 2024 |
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): March 10, 2024 APPLIED UV, INC. (Exact name of registrant as specified in its charter) Nevada 001-39480 84-4373308 (State or other jurisdiction of Incorporation) (Commission File Numb |
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| February 15, 2024 |
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): February 14, 2024 APPLIED UV, INC. (Exact name of registrant as specified in its charter) Nevada 001-39480 84-4373308 (State or other jurisdiction of Incorporation) (Commission File N |
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| December 26, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14C Information Statement Pursuant to Section 14(c) of the Securities Exchange Act of 1934 Check the appropriate box: ☐ Preliminary Information Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14c-5(d)(2)) ☒ Definitive Information Statement APPLIED UV, INC. (Name of Registrant as Specifie |
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| December 18, 2023 |
Applied UV Announces 1-for-25 Reverse Stock Split Applied UV Announces 1-for-25 Reverse Stock Split NEW YORK, NY, Dec. 08, 2023 (GLOBE NEWSWIRE) - via NewMediaWire – Applied UV, Inc. (“Applied UV” or the “Company”) (Nasdaq: AUVI), a leader in global food security, air quality, and specialty building solutions, today announced that it will effect a 1-for-25 reverse stock split (“Reverse Stock Split”) of its issued and outstanding common stock, par |
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| December 18, 2023 |
Certificate of Change Pursuant to NRS 78.209 Certificate of Change Pursuant to NRS 78.209 |
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| December 18, 2023 |
Filed in the Office of Secretary of State State Of Nevada Business Number E34550042023-0 Filing Number 20233686633 Filed On 12/11/2023 11:29:00 AM Number of Pages 1 DocuSign Envelope ID: 49061987-8707-499B-B5AB-6E7E2481772B FRANCISCO V. |
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| December 18, 2023 |
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 12, 2023 APPLIED UV, INC. (Exact name of registrant as specified in its charter) Delaware 001-39480 84-4373308 (State or other jurisdiction of Incorporation) (Commission File |
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| December 15, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14C Information Statement Pursuant to Section 14(c) of the Securities Exchange Act of 1934 Check the appropriate box: ☒ Preliminary Information Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14c-5(d)(2)) ☐ Definitive Information Statement APPLIED UV, INC. (Name of Registrant as Specifie |
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| November 17, 2023 |
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) November 14, 2023 APPLIED UV, INC. (Exact name of registrant as specified in its charter) Delaware 001-39480 84-4373308 (State or other jurisdiction of Incorporation) (Commission File |
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| November 17, 2023 |
PRE-FUNDED WARRANT TO PURCHASE COMMON STOCK APPLIED UV, INC. Warrant Shares: [●] Initial Exercise Date: November 16, 2023 Issue Date: November 16, 2023 THIS PRE-FUNDED WARRANT TO PURCHASE COMMON STOCK (the “Warrant”) certifies that, for value received, [●] or its assigns (the “Holder”) is entitled, upon the terms and subject to the limitations on exercise and the conditions hereinafter set forth, |
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| November 17, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2023 ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number 001-39480 APPLIED UV, INC. (Ex |
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| November 17, 2023 |
Applied UV Announces Closing of $6.4 Million Upsized Underwritten Public Offering Applied UV Announces Closing of $6.4 Million Upsized Underwritten Public Offering MOUNT VERNON, NY - (NewMediaWire) - November 16, 2023 - Applied UV, Inc. (Nasdaq: AUVI; AUVIP) (“Applied UV” or the “Company”), a global leading provider of advanced food security and air and surface disinfection technology, today announced the closing of a underwritten public offering with gross proceeds to the Comp |
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| November 17, 2023 |
SERIES A WARRANT TO PURCHASE COMMON STOCK APPLIED UV, INC. Warrant Shares: [●] Initial Exercise Date: November 16, 2023 Issue Date: November 16, 2023 THIS SERIES A WARRANT TO PURCHASE COMMON STOCK (the “Warrant”) certifies that, for value received, [●] or its assigns (the “Holder”) is entitled, upon the terms and subject to the limitations on exercise and the conditions hereinafter set forth, at a |
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| November 17, 2023 |
Applied UV Announces Pricing of $6.4 Million Upsized Underwritten Public Offering Applied UV Announces Pricing of $6.4 Million Upsized Underwritten Public Offering MOUNT VERNON, NY, Nov. 14, 2023 (GLOBE NEWSWIRE) - via NewMediaWire - Applied UV, Inc. (Nasdaq: AUVI; AUVIP) (“Applied UV” or the “Company”), a global leading provider of advanced food security and air and surface disinfection technology, today announced the pricing of a firm commitment underwritten public offering w |
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| November 17, 2023 |
Underwriting Agreement November 14, 2023 Aegis Capital Corp. 1345 Avenue of the Americas, 27th Floor New York, NY 10105 Ladies and Gentlemen: The undersigned, Applied UV, Inc., a Nevada corporation (the “Company”), hereby confirms its agreement (this “Agreement”) with Aegis Capital Corp. (hereinafter referred to as “you” (including its correlatives) or the “Underwriter”) as follows: 1. Purchase an |
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| November 17, 2023 |
SERIES B WARRANT TO PURCHASE COMMON STOCK APPLIED UV, INC. Warrant Shares: [●] Initial Exercise Date: November 16, 2023 Issue Date: November 16, 2023 THIS SERIES B WARRANT TO PURCHASE COMMON STOCK (the “Warrant”) certifies that, for value received, [●] or its assigns (the “Holder”) is entitled, upon the terms and subject to the limitations on exercise and the conditions hereinafter set forth, at a |
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| November 16, 2023 |
Filed Pursuant to Rule 424(b)(4) Registration No. 333-274879 Registration No. 333-275557 PROSPECTUS 2,300,000 Units, Each Unit Consisting of One Share of Common Stock, One-tenth of a Series A Warrant to Purchase One Share of Common Stock and One-tenth of a Series B Warrant to Purchase One Share of Common Stock 40,366,666 Units, Each Unit Consisting of One Pre-Funded Warrant to Purchase One Share o |
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| November 14, 2023 |
As filed with the United States Securities and Exchange Commission on November 14, 2023 As filed with the United States Securities and Exchange Commission on November 14, 2023 Registration No. |
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| November 14, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 12b-25 NOTIFICATION OF LATE FILING (Check one): ☐ Form 10-K ☐ Form 20-F ☐ Form 11-K ☒ Form 10-Q ☐ Form N-SAR ☐ Form N-CSR For Period Ended: September 30, 2023 ☐ Transition Report on Form 10-K ☐ Transition Report on Form 20-F ☐ Transition Report on Form 11-K ☐ Transition Report on Form 10-Q ☐ Transition Report on Form N-SAR For the Transition Period Ended: n/a Nothing in this form shall be construed to imply that the Commission has verified any information contained herein. |
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| November 14, 2023 |
Exhibit 107 Calculation of Filing Fee Tables Form S-1 Applied UV, Inc. (Exact Name of Registrant as Specified in its Charter) Table 1: Newly Registered Securities Table 1: Newly Registered and Carry Forward Securities Security Type Security Class Title Fee Calculation Rule or Carry Forward Rule Amount Registered(1) Proposed Maximum Offering Price Per Unit(2) Maximum Aggregate Offering Price(1) Fee |
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| November 9, 2023 |
SERIES A WARRANT TO PURCHASE COMMON STOCK APPLIED UV, INC. Warrant Shares: [●] Initial Exercise Date: November [●], 2023 Issue Date: November [●], 2023 THIS SERIES A WARRANT TO PURCHASE COMMON STOCK (the “Warrant”) certifies that, for value received, [●] or its assigns (the “Holder”) is entitled, upon the terms and subject to the limitations on exercise and the conditions hereinafter set forth, at |
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| November 9, 2023 |
Exhibit 107 Calculation of Filing Fee Tables Form S-1 Applied UV, Inc. (Exact Name of Registrant as Specified in its Charter) Table 1: Newly Registered Securities Table 1: Newly Registered and Carry Forward Securities Security Type Security Class Title Fee Calculation Rule or Carry Forward Rule Amount Registered(1) Proposed Maximum Offering Price Per Unit(2) Maximum Aggregate Offering Price(1) Fee |
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| November 9, 2023 |
As filed with the United States Securities and Exchange Commission on November 9, 2023 As filed with the United States Securities and Exchange Commission on November 9, 2023 Registration No. |
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| November 9, 2023 |
PRE-FUNDED WARRANT TO PURCHASE COMMON STOCK APPLIED UV, INC. Warrant Shares: [●] Initial Exercise Date: November [●], 2023 Issue Date: November [●], 2023 THIS PRE-FUNDED WARRANT TO PURCHASE COMMON STOCK (the “Warrant”) certifies that, for value received, [●] or its assigns (the “Holder”) is entitled, upon the terms and subject to the limitations on exercise and the conditions hereinafter set forth |
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| November 9, 2023 |
Form of Underwriting Agreement. Underwriting Agreement November [●], 2023 Aegis Capital Corp. 1345 Avenue of the Americas, 27th Floor New York, NY 10105 Ladies and Gentlemen: The undersigned, Applied UV, Inc., a Nevada corporation (the “Company”), hereby confirms its agreement (this “Agreement”) with Aegis Capital Corp. (hereinafter referred to as “you” (including its correlatives) or the “Underwriter”) as follows: 1. Purchase a |
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| November 9, 2023 |
SERIES B WARRANT TO PURCHASE COMMON STOCK APPLIED UV, INC. Warrant Shares: [●] Initial Exercise Date: November [●], 2023 Issue Date: November [●], 2023 THIS SERIES B WARRANT TO PURCHASE COMMON STOCK (the “Warrant”) certifies that, for value received, [●] or its assigns (the “Holder”) is entitled, upon the terms and subject to the limitations on exercise and the conditions hereinafter set forth, at |
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| November 8, 2023 |
SERIES A WARRANT TO PURCHASE COMMON STOCK APPLIED UV, INC. Warrant Shares: [●] Initial Exercise Date: November [●], 2023 CUSIP: [●] Issue Date: November [●], 2023 THIS SERIES A WARRANT TO PURCHASE COMMON STOCK (the “Warrant”) certifies that, for value received, [●] or its assigns (the “Holder”) is entitled, upon the terms and subject to the limitations on exercise and the conditions hereinafter se |
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| November 8, 2023 |
SERIES B WARRANT TO PURCHASE COMMON STOCK APPLIED UV, INC. Warrant Shares: [●] Initial Exercise Date: November [●], 2023 CUSIP: [●] Issue Date: November [●], 2023 THIS SERIES B WARRANT TO PURCHASE COMMON STOCK (the “Warrant”) certifies that, for value received, [●] or its assigns (the “Holder”) is entitled, upon the terms and subject to the limitations on exercise and the conditions hereinafter se |
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| November 8, 2023 |
Form of Underwriting Agreement. Underwriting Agreement November [●], 2023 Aegis Capital Corp. 1345 Avenue of the Americas, 27th Floor New York, NY 10105 Ladies and Gentlemen: The undersigned, Applied UV, Inc., a Nevada corporation (the “Company”), hereby confirms its agreement (this “Agreement”) with Aegis Capital Corp. (hereinafter referred to as “you” (including its correlatives) or the “Underwriter”) as follows: 1. Purchase a |
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| November 8, 2023 |
Form of Warrant Agent Agreement PRE-FUNDED WARRANT TO PURCHASE COMMON STOCK APPLIED UV, INC. Warrant Shares: [●] Initial Exercise Date: November [●], 2023 Issue Date: November [●], 2023 THIS PRE-FUNDED WARRANT TO PURCHASE COMMON STOCK (the “Warrant”) certifies that, for value received, [●] or its assigns (the “Holder”) is entitled, upon the terms and subject to the limitations on exercise and the conditions hereinafter set forth |
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| November 8, 2023 |
As filed with the United States Securities and Exchange Commission on November 8, 2023 As filed with the United States Securities and Exchange Commission on November 8, 2023 Registration No. |
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| November 8, 2023 |
Exhibit 107 Calculation of Filing Fee Tables Form S-1 Applied UV, Inc. (Exact Name of Registrant as Specified in its Charter) Table 1: Newly Registered Securities Table 1: Newly Registered and Carry Forward Securities Security Type Security Class Title Fee Calculation Rule or Carry Forward Rule Amount Registered(1) Proposed Maximum Offering Price Per Unit(2) Maximum Aggregate Offering Price(1) Fee |
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| November 1, 2023 |
Business Entity - Filing Acknowledgement 10/26/2023 Work Order Item Number: W2023102501990-3242451 Filing Number: 20233583046 Filing Type: Articles of Merger Filing Date/Time: 10/25/2023 2:42:00 PM Filing Page(s): 4 Indexed Entity Information: Entity ID: E34550042023-0 Entity Name: Applied UV, Inc. |
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| November 1, 2023 |
Delaware The First State I, JEFFREY W. BULLOCK, SECRETARY OF STATE OF THE STATE OF DELAWARE, DO HEREBY CERTIFY THE ATTACHED IS A TRUE AND CORRECT COPY OF THE CERTIFICATE OF MERGER, WHICH MERGES: "APPLIED UV, INC.", A DELAWARE CORPORATION, WITH AND INTO "APPLIED UV, INC." UNDER THE NAME OF “APPLIED UV, INC.”, A CORPORATION ORGANIZED AND EXISTING UNDER THE LAWS OF THE STATE OF NEVADA, AS RECEIVED AN |
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| November 1, 2023 |
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) October 25, 2023 APPLIED UV, INC. (Exact name of registrant as specified in its charter) Delaware 001-39480 84-4373308 (State or other jurisdiction of Incorporation) (Commission File N |
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| October 27, 2023 |
Form of Underwriting Agreement. Underwriting Agreement October [●], 2023 Aegis Capital Corp. 1345 Avenue of the Americas, 27th Floor New York, NY 10105 Ladies and Gentlemen: The undersigned, Applied UV, Inc., a Nevada corporation (the “Company”), hereby confirms its agreement (this “Agreement”) with Aegis Capital Corp. (hereinafter referred to as “you” (including its correlatives) or the “Underwriter”) as follows: 1. Purchase an |
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| October 27, 2023 |
Applied UV, Inc. 2023 Equity Incentive Plan APPLIED UV, INC. 2023 EQUITY INCENTIVE PLAN 1. Purposes of the Plan. The purposes of the Plan are: • to attract and retain the best available personnel for positions of substantial responsibility; • to provide additional incentive to Employees, Directors, and Consultants; and • to promote the success of the Company’s business. The Plan permits the grant of Incentive Stock Options, Nonstatutory Sto |
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| October 27, 2023 |
Certificate of Designation, Preferences and Rights of Series X Preferred Stock. CERTIFICATE OF DESIGNATION OF SERIES X VOTING PREFERRED STOCK, SETTING FORTH THE POWERS, PREFERENCES, RIGHTS, QUALIFICATIONS, LIMITATIONS AND RESTRICTIONS OF SUCH SERIES OF PREFERRED STOCK Pursuant to the Nevada Revised Statutes, as amended, Applied UV, Inc. |
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| October 27, 2023 |
Exhibit 107 Calculation of Filing Fee Tables Form S-1 Applied UV, Inc. (Exact Name of Registrant as Specified in its Charter) Table 1: Newly Registered Securities Table 1: Newly Registered and Carry Forward Securities Security Type Security Class Title Fee Calculation Rule or Carry Forward Rule Amount Registered(1) Proposed Maximum Offering Price Per Unit(2) Maximum Aggregate Offering Price(1) Fee |
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| October 27, 2023 |
PRE-FUNDED WARRANT TO PURCHASE COMMON STOCK APPLIED UV, INC. Warrant Shares: [●] Initial Exercise Date: October [●], 2023 Issue Date: October [●], 2023 THIS PRE-FUNDED WARRANT TO PURCHASE COMMON STOCK (the “Warrant”) certifies that, for value received, [●] or its assigns (the “Holder”) is entitled, upon the terms and subject to the limitations on exercise and the conditions hereinafter set forth, |
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| October 27, 2023 |
Form of Warrant Agent Agreement WARRANT AGENT AGREEMENT THIS WARRANT AGENT AGREEMENT (this “Agreement”) is entered into and made effective as of [*], 2023, by and between APPLIED UV, INC. |
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| October 27, 2023 |
APPLIED UV, INC. CERTIFICATE OF DESIGNATIONS, RIGHTS AND PREFERENCES OF 10.5% SERIES A CUMULATIVE PERPETUAL PREFERRED STOCK 1. Designation and Amount. The shares of such series of Preferred Stock shall be designated as “10.5% Series A Cumulative Perpetual Preferred Stock” and the number of shares constituting such series shall be 1,250,000 shares. Each share of Series A Preferred Stock shall be id |
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| October 27, 2023 |
APPLIED UV, INC. CERTIFICATE OF DESIGNATIONS, RIGHTS, AND PREFERENCES OF 2% SERIES B CUMULATIVE PERPETUAL PREFERRED STOCK Applied UV, Inc., a Nevada corporation (the “Corporation”), hereby certifies that the following resolution was adopted by the Board of Directors of the Corporation (the “Board of Directors”) pursuant to the authority of the Board of Directors. WHEREAS, the Articles of Incorpora |
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| October 27, 2023 |
APPLIED UV, INC. CERTIFICATE OF DESIGNATIONS, RIGHTS, AND PREFERENCES OF 5% SERIES C CUMULATIVE PERPETUAL PREFERRED STOCK Applied UV, Inc., a Nevada corporation (the “Corporation”), hereby certifies that the following resolution was adopted by the Board of Directors of the Corporation (the “Board of Directors”) pursuant to the authority of the Board of Directors. WHEREAS, the Articles of Incorpora |
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| October 27, 2023 |
As filed with the United States Securities and Exchange Commission on October 27, 2023 As filed with the United States Securities and Exchange Commission on October 27, 2023 Registration No. |
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| October 27, 2023 |
Articles of Incorporation of the Registrant. ARTICLES OF INCORPORATION OF APPLIED UV, INC. ARTICLE I The name of this corporation is Applied UV, Inc. (the “Corporation”). ARTICLE II The address of the registered office of the Corporation in the State of Nevada is 701 South Carson Street, Suite 200, Carson City, NV 89701. The registered agent of the corporation in the State of Nevada at such address is Vcorp Agent Services, Inc. ARTICLE III T |
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| October 27, 2023 |
BYLAWS OF Applied UV, INC. (A Nevada Corporation) ARTICLE I OFFICES Section 1. Registered Office. The registered office of the Corporation in the State of Nevada is 701 South Carson Street, Suite 200, Carson City, NV 89701 or in such other location as the Board of Directors may from time to time determine or the business of the corporation may require. Section 2. Other Offices. The corporation sha |
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| October 27, 2023 |
WARRANT TO PURCHASE COMMON STOCK APPLIED UV, INC. Warrant Shares: [●] Initial Exercise Date: October [●], 2023 CUSIP: [●] Issue Date: October [●], 2023 THIS WARRANT TO PURCHASE COMMON STOCK (the “Warrant”) certifies that, for value received, [●] or its assigns (the “Holder”) is entitled, upon the terms and subject to the limitations on exercise and the conditions hereinafter set forth, at any time |
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| October 27, 2023 |
AGREEMENT AND PLAN OF MERGER THIS AGREEMENT AND PLAN OF MERGER (this “Agreement”) is entered into and made effective as of September 1, 2023, by and between APPLIED UV, INC. |
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| October 5, 2023 |
Exhibit 107 Calculation of Filing Fee Tables Form S-1 Applied UV, Inc. (Exact Name of Registrant as Specified in its Charter) Table 1: Newly Registered Securities Table 1: Newly Registered and Carry Forward Securities Security Type Security Class Title Fee Calculation Rule or Carry Forward Rule Amount Registered(1) Proposed Maximum Offering Price Per Unit(2) Maximum Aggregate Offering Price(1) Fee |
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| October 5, 2023 |
As filed with the United States Securities and Exchange Commission on October 5, 2023 As filed with the United States Securities and Exchange Commission on October 5, 2023 Registration No. |
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| October 2, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14C Information Statement Pursuant to Section 14(c) of the Securities Exchange Act of 1934 Check the appropriate box: ☐ Preliminary Information Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14c-5(d)(2)) ☒ Definitive Information Statement APPLIED UV, INC. (Name of Registrant as Specifie |
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| September 26, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14C Information Statement Pursuant to Section 14(c) of the Securities Exchange Act of 1934 Check the appropriate box: ☒ Preliminary Information Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14c-5(d)(2)) ☐ Definitive Information Statement APPLIED UV, INC. (Name of Registrant as Specifie |
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| September 25, 2023 |
September 26, 2023 Via EDGAR U.S. Securities and Exchange Commission Division of Corporation Finance Office of Manufacturing 100 F Street, N.E. Washington, D.C. 20549 Attn: Mr. Gregory Herbers / Ms. Erin Purnell Re: Applied UV, Inc. Information Statement on Form PRE 14C Filed August 28, 2023 File No. 001-39480 Dear Mr. Herbers and Ms. Purnell: On behalf of Applied UV, Inc. (the “Company”), we have |
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| August 28, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14C Information Statement Pursuant to Section 14(c) of the Securities Exchange Act of 1934 Check the appropriate box: ☒ Preliminary Information Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14c-5(d)(2)) ☐ Definitive Information Statement APPLIED UV, INC. (Name of Registrant as Specifie |
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| August 28, 2023 |
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) August 23, 2023 APPLIED UV, INC. (Exact name of registrant as specified in its charter) Delaware 001-39480 84-4373308 (State or other jurisdiction of Incorporation) (Commission File Nu |
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| August 21, 2023 |
US03828V4023 / APPLIED UV INC / Streeterville Capital LLC - NONE Passive Investment SC 13G 1 doc1.htm NONE UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. n/a )* Applied UV, Inc. (Name of Issuer) Common stock, $0.0001 par value (Title of Class of Securities) 03828V402 (CUSIP Number) August 21, 2023 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to desig |
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| August 18, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2023 ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number 001-39480 APPLIED UV, INC. (Exact n |
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| August 15, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 12b-25 NOTIFICATION OF LATE FILING (Check one): ☐ Form 10-K ☐ Form 20-F ☐ Form 11-K ☒ Form 10-Q ☐ Form N-SAR ☐ Form N-CSR For Period Ended: 06/30/2023 ☐ Transition Report on Form 10-K ☐ Transition Report on Form 20-F ☐ Transition Report on Form 11-K ☐ Transition Report on Form 10-Q ☐ Transition Report on Form N-SAR For the Transition Period Ended: n/a Nothing in this form shall be construed to imply that the Commission has verified any information contained herein. |
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| June 23, 2023 |
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) June 19, 2023 APPLIED UV, INC. (Exact name of registrant as specified in its charter) Delaware 001-39480 84-4373308 (State or other jurisdiction of Incorporation) (Commission File Numb |
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| June 20, 2023 |
Filed Pursuant to Rule 424(b)(4) Registration No. 333-271605 PROSPECTUS Applied UV, Inc. 4,730,000 Shares of Common Stock Pre-funded Warrants to Purchase 270,000 Shares of Common Stock Applied UV, Inc. is offering 4,730,000 shares of its common stock, par value $0.0001 per share, at an offering price of $1.00 per share and 270,000 pre-funded warrants to purchase 270,000 shares of its common stock. |
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| June 14, 2023 |
Applied UV, Inc. 150 N MacQuesten Pkwy Mt Vernon, NY 10550 Applied UV, Inc. 150 N MacQuesten Pkwy Mt Vernon, NY 10550 June 14, 2023 VIA EDGAR U.S. Securities and Exchange Commission Division of Corporation Finance 100 F Street, N.E. Washington, D.C. 20549 Re: Applied UV, Inc. Request for Acceleration Registration Statement on Form S-1 File No. 333-271605 Ladies and Gentlemen: Pursuant to Rule 461 promulgated under the Securities Act of 1933, as amended (t |
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| June 14, 2023 |
June 14, 2023 VIA EDGAR Securities and Exchange Commission Division of Corporation Finance 100 F Street, N. |
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| June 13, 2023 |
PRE-FUNDED COMMON STOCK PURCHASE WARRANT Applied UV, Inc. Warrant Shares: [●] Initial Exercise Date: [●] CUSIP: [●] Issue Date: [●] THIS PRE-FUNDED COMMON STOCK PURCHASE WARRANT (“Warrant”) certifies that, for value received, [●] or its assigns (the “Holder”) is entitled, upon the terms and subject to the limitations on exercise and the conditions hereinafter set forth, at any time until this Warr |
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| June 13, 2023 |
Underwriting Agreement June [●], 2023 Aegis Capital Corp. 1345 Avenue of the Americas, 27th Floor New York, NY 10105 Ladies and Gentlemen: The undersigned, Applied UV, Inc., a Delaware corporation (the “Company”), hereby confirms its agreement (this “Agreement”) with Aegis Capital Corp. (hereinafter referred to as “you” (including its correlatives) or the “Underwriter”) as follows: 1. Purchase and |
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| June 13, 2023 |
Form of Pre-funded Warrant Agent Agreement WARRANT AGENT AGREEMENT THIS WARRANT AGENT AGREEMENT (this “Warrant Agreement”) dated as of June [*], 2023, is between APPLIED UV, INC. |
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| June 13, 2023 |
As filed with the Securities and Exchange Commission on June 13, 2023 As filed with the Securities and Exchange Commission on June 13, 2023 Registration No. |
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| June 9, 2023 |
Exhibit 107 Calculation of Filing Fee Table Form S-1 (Form Type) APPLIED UV, INC. (Exact Name of Registrant as Specified in its Charter) Table 1: Newly Registered and Carry Forward Securities Security Type Security Class Title Fee Calculation or Carry Forward Rule Amount Registered(1) Proposed Maximum Offering Price Per Unit Maximum Aggregate Offering Price Fee Rate Amount of Registration Fee(2)(3 |
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| June 9, 2023 |
As filed with the Securities and Exchange Commission on June 8, 2023 As filed with the Securities and Exchange Commission on June 8, 2023 Registration No. |
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| May 30, 2023 |
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) May 24, 2023 APPLIED UV, INC. (Exact name of registrant as specified in its charter) Delaware 001-39480 84-4373308 (State or other jurisdiction of Incorporation) (Commission File Numbe |
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| May 30, 2023 |
Applied UV Announces Reverse Stock Split Applied UV Announces Reverse Stock Split MOUNT VERNON, N.Y-(BUSINESS WIRE)-Applied UV, Inc. (NasdaqCM: AUVI ) (“Applied UV” or the “Company”), a leading provider of patented, scientifically and clinically proven surface and air pathogen elimination and disinfection technologies (fixed, mobile, and HVAC), LED lighting products and premium hotel furnishings used by clients globally, announced today |
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| May 30, 2023 |
Certificate of Amendment to the Certificate of Incorporation of Applied UV, Inc. STATE OF DELAWARE CERTIFICATE OF AMENDMENT OF CERTIFICATE OF INCORPORATION (Pursuant to Sections 242 of the General Corporation Law of the State of Delaware) Applied UV, Inc. |
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| May 22, 2023 |
SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2023 ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number 001-39480 APPLIED UV, INC. (Exact name of regist |
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| May 15, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 12b-25 NOTIFICATION OF LATE FILING (Check one): ☐ Form 10-K ☐ Form 20-F ☐ Form 11-K ☒ Form 10-Q ☐ Form N-SAR ☐ Form N-CSR For Period Ended: 03/31/2023 ☐ Transition Report on Form 10-K ☐ Transition Report on Form 20-F ☐ Transition Report on Form 11-K ☐ Transition Report on Form 10-Q ☐ Transition Report on Form N-SAR For the Transition Period Ended: n/a Nothing in this form shall be construed to imply that the Commission has verified any information contained herein. |
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| May 3, 2023 |
Exhibit 107 Calculation of Filing Fee Table Form S-1 (Form Type) APPLIED UV, INC. (Exact Name of Registrant as Specified in its Charter) Table 1: Newly Registered and Carry Forward Securities Security Type Security Class Title Fee Calculation or Carry Forward Rule Amount Registered Proposed Maximum Offering Price Per Unit Maximum Aggregate Offering Price(1) Fee Rate Amount of Registration Fee(6) F |
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| May 3, 2023 |
As filed with the Securities and Exchange Commission on May 02, 2021 As filed with the Securities and Exchange Commission on May 02, 2021 Registration No. |
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| April 18, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No.) ☒ Filed by the Registrant ☐ Filed by a Party other than the Registrant Check the appropriate box: ☐ Preliminary Proxy Statement ☐ CONFIDENTIAL, FOR USE OF THE COMMISSION ONLY (AS PERMITTED BY RULE 14a-6(e)(2)) ☒ Defini |
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| April 18, 2023 |
150 N. Macquesten Parkway Mount Vernon, NY 10550 150 N. Macquesten Parkway Mount Vernon, NY 10550 April 2023 Dear Applied UV Inc. Shareholders, I am writing to inform all of our shareholders of the Company’s accomplishments throughout 2022 and provide, to the extent possible, insights into our focus for 2023. We acquired Scientific Air late in 2021 with a mobile disinfection product suite that was client centric to one industry and distributor s |
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| April 14, 2023 |
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 13, 2023 APPLIED UV, INC. (Exact name of registrant as specified in its charter) Delaware 001-39480 84-4373308 (State or other jurisdiction of Incorporation) (Commission File Num |
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| April 10, 2023 |
Applied UV, Inc. Unaudited Pro Forma Condensed Combined Financial Information Applied UV, Inc. Unaudited Pro Forma Condensed Combined Financial Information Description of the Business Combinations Akida Acquisition On February 8, 2021, Applied UV, Inc. (the “Company” or “Applied”) completed an Asset Purchase Agreement (“the Akida Agreement”) with Akida Holdings LLC (“Akida”) and its members, Simba Partners, LLC, JJH Holdings, LLC and Fakhruddin Holdings FZC (collectively, t |
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| April 10, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K/A CURRENT REPORT (Amendment No. 3) PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): January 26, 2023 APPLIED UV, INC. (Exact name of registrant as specified in its charter) Delaware 001-39480 84-4373308 (State or other jurisdiction (Commission (IR |
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| April 6, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No.) ☒ Filed by the Registrant ☐ Filed by a Party other than the Registrant Check the appropriate box: ☒ Preliminary Proxy Statement ☐ CONFIDENTIAL, FOR USE OF THE COMMISSION ONLY (AS PERMITTED BY RULE 14a-6(e)(2)) ☐ Defini |
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| March 31, 2023 |
List of Subsidiaries of the Registrant Subsidiaries of the Registrant Legal Name of Subsidiary Jurisdiction of Organization Munn Works, LLC New York SteriLuman, Inc. New York PURO Lighting, LLC Colorado LED Supply Co. LLC. Colorado |
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| March 31, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K (Mark One) ☒ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Fiscal Year Ended December 31, 2022 Or ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-39480 APPLIED UV, IN |
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| March 9, 2023 |
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) March 03, 2023 APPLIED UV, INC. (Exact name of registrant as specified in its charter) Delaware 001-39480 84-4373308 (State or other jurisdiction of Incorporation) (Commission File Num |
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| February 28, 2023 |
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) February 27, 2023 APPLIED UV, INC. (Exact name of registrant as specified in its charter) Delaware 001-39480 84-4373308 (State or other jurisdiction of Incorporation) (Commission File |
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| February 13, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K/A CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported) January 26, 2023 APPLIED UV, INC. (Exact name of registrant as specified in its charter) Delaware 001-39480 84-4373308 (State or other jurisdiction of Incorporation) (Commission File |
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| February 13, 2023 |
Puro Lighting, LLC and Affiliate Combined Financial Statements Years Ended December 31, 2021 and 2020 Table of Contents INDEPENDENT AUDITORS’ REPORT 1 COMBINED FINANCIAL STATEMENTS Combined Balance Sheets 2 Combined Statements of Operations 3 Combined Statements of Members’ Equity 4 Combined Statements of Cash Flows 5 Notes to Combined Financial Statements 6 Independent Auditors’ Report To the Mem |
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| February 7, 2023 |
AUVI / Applied UV Inc / Lawrence Andrew Webb - SCHEDULE 13G Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 SCHEDULE 13G UNDER THE SECURITIES EXCHANGE ACT OF 1934 Applied UV, Inc. |
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| February 7, 2023 |
AUVI / Applied UV Inc / STERN BRIAN ANDREW - SCHEDULE 13D Activist Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Schedule 13D Under the Securities Exchange Act of 1934 Applied UV, Inc. (Name of Issuer) Common Stock (Title of Class of Securities) 03828V105 (CUSIP Number) Brian Stern 12340 W Cedar Dr Lakewood, CO 80228 720-531-4152 (Name, Address and Telephone Number of Person Authorized to Receive Notices and Communications) January 26, 2 |
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| February 7, 2023 |
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) February 1, 2023 APPLIED UV, INC. (Exact name of registrant as specified in its charter) Delaware 001-39480 84-4373308 (State or other jurisdiction of Incorporation) (Commission File N |
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| February 2, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K/A CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported) January 26, 2023 APPLIED UV, INC. (Exact name of registrant as specified in its charter) Delaware 001-39480 84-4373308 (State or other jurisdiction of Incorporation) (Commission File |
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| February 2, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K/A CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported) January 25, 2023 APPLIED UV, INC. (Exact name of registrant as specified in its charter) Delaware 001-39480 84-4373308 (State or other jurisdiction of Incorporation) (Commission File |
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| February 1, 2023 |
EX-10.3 8 ex103.htm EXHIBIT 10.3 AMENDMENT TO AGREEMENT AND PLAN OF MERGER AGREEMENT This Amendment (this “Amendment”) dated January 26, 2023 to the Agreement and Plan of Merger (the “PURO Merger Agreement”) dated as of December 19, 2022 by and among Applied UV, Inc., a Delaware corporation, Puro Acquisition Sub I, Inc., a Colorado corporation, Puro Acquisition Sub II, LLC, a Delaware limited liab |
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| February 1, 2023 |
AMENDMENT TO AGREEMENT AND PLAN OF MERGER AGREEMENT This Amendment (this “Amendment”) dated January 26, 2023 to the Agreement and Plan of Merger (the “PURO Merger Agreement”) dated as of December 19, 2022 by and among Applied UV, Inc. |
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| February 1, 2023 |
Applied UV, Inc. Completes Mergers with Puro Lighting, LLC and LED Supply Co. Effectively Doubling Size of the Company Merger is expected to generate combined annualized sales of approximately $45 - $50 million in 2023, strengthening the Company as a global leader in patented UV disinfection solutions MOUNT VERNON, N.Y.-(BUSINESS WIRE)- Applied UV, Inc. (Nasdaq CM: AUVI) (“Applied UV” or the “Comp |
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| February 1, 2023 |
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): January 25, 2023 APPLIED UV, INC. (Exact name of registrant as specified in its charter) Delaware 001-39480 84-4373308 (State or other jurisdiction (Commission (IRS Employer of incorp |
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| February 1, 2023 |
State of Delaware Secretary of State Division of Corporations Delivered 05:30 PM 01/25/2023 FILED 05:30 PM 01/25/2023 SR 20230259980 - FileNumber 7297699 APPLIED UV, INC. |
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| February 1, 2023 |
State of Delaware Secretary of State Division of Corporations Delivered 05:32 PM 01/25/2023 FILED 05:32 PM 01/25/2023 SR 20230260038 - File Number 7297699 APPLIED UV, INC. |
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| January 31, 2023 |
REDEEMABLE PROMISSORY NOTE January 25, 2023 U.S. $2,807,500.00 FOR VALUE RECEIVED, Applied UV, Inc., a Delaware corporation (“Borrower”), promises to pay to Streeterville Capital, LLC, a Utah limited liability company, or its successors or assigns (“Lender”), $2,807,500.00 and any interest, fees, charges, and late fees accrued hereunder on the date that is eighteen (18) months after the Purchase P |
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| January 31, 2023 |
Securities Purchase Agreement This Securities Purchase Agreement (this “Agreement”), dated as of January 25, 2023, is entered into by and between Applied UV, Inc. |
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| January 31, 2023 |
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): January 25, 2023 APPLIED UV, INC. (Exact name of registrant as specified in its charter) Delaware 001-39480 84-4373308 (State or other jurisdiction (Commission (IRS Employer of incorp |
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| January 31, 2023 |
GLOBAL AMENDMENT This Global Amendment (this "Amendment") is entered into as of January 25, 2023 by and between Streeterville Capital, LLC, a Utah limited liability company ("Lender"), and Applied UV, Inc. |
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| January 11, 2023 |
CONVERTIBLE NOTE PURCHASE AND CANCELLATION AGREEMENT THIS CONVERTIBLE NOTE PURCHASE AND CANCELLATION AGREEMENT (this “Agreement”) is dated as of January 5, 2023, by and among PURO LIGHTING, LLC, a Colorado limited liability company (the “Company”), ACUITY BRANDS LIGHTING, INC. |
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| January 11, 2023 |
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): January 5, 2023 APPLIED UV, INC. (Exact name of registrant as specified in its charter) Delaware 001-39480 84-4373308 (State or other jurisdiction (Commission (IRS Employer of incorpo |
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| December 28, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K/A 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 26, 2022 (December 09, 2022) APPLIED UV, INC. (Exact name of registrant as specified in its charter) Delaware 001-39480 84-4373308 (State or other jurisdiction (Commission |
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| December 28, 2022 |
SECOND MODIFICATION TO LOAN AND SECURITY AGREEMENT AND LOAN DOCUMENTS This Second Modification to Loan and Security Agreement and Loan Documents (this Modification) is entered into by and between APPLIED UV, INC. |
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| December 23, 2022 |
Resignation Letter from John Andrews. December 9, 2022 The Board of Directors Applied UV, Inc. 150 North Macquesten Parkway Mount Vernon, NY 10550 U.S.A. Re: Resignation Letter Dear Board of Directors: I hereby resign from all of my positions with Applied UV, Inc. and its affiliates, including but not limited to Board Member and Chief Executive Officer of Applied UV, Inc., effective as of the close of business on the date that is the |
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| December 23, 2022 |
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 19, 2022 APPLIED UV, INC. (Exact name of registrant as specified in its charter) Delaware 001-39480 84-4373308 (State or other jurisdiction (Commission (IRS Employer of incor |
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| December 20, 2022 |
EX-99.1 8 ex991.htm EXHIBIT 99.1 For Immediate Release Disinfection Technology Innovator Applied UV Inc. Announces Two Acquisition Agreements Which Would Effectively Double the Size of the Company The Acquisition of PURO Lighting, LLC and LED Supply Co. Would Expand AUVI’s Capabilities to Sell Its FDA Cleared Disinfection Products and Solutions and Also Would Provide Access To PURO’s Strategic Rel |
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| December 20, 2022 |
AGREEMENT AND PLAN OF MERGER BY AND BETWEEN APPLIED UV, INC., PURO ACQUISITION SUB I, Inc., PURO ACQUISITION sub ii, LLC, PURO LIGHTING, LLC, BRian Stern, Andrew Lawrence AND THE MEMBER REPRESENTATIVE DATED AS OF DECEMBER 19, 2022 Article 1 DEFINITIONS 2 Article 2 THE MERGERS; CLOSING 14 2.1 The Mergers. 14 2.2 Closing and Effective Time 15 2.3 Organizational Documents of the Surviving Entities. 1 |
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| December 20, 2022 |
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 19, 2022 APPLIED UV, INC. (Exact name of registrant as specified in its charter) Delaware 001-39480 84-4373308 (State or other jurisdiction (Commission (IRS Employer of incor |
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| December 20, 2022 |
AGREEMENT AND PLAN OF MERGER BY AND BETWEEN APPLIED UV, INC., LED SUPPLY ACQUISITION SUB I, Inc., LED SUPPLY ACQUISITION sub ii, LLC, LED SUPPLY Co. LLC, BRian Stern, Andrew Lawrence AND THE MEMBER REPRESENTATIVE DATED AS OF DECEMBER 19, 2022 Article 1 DEFINITIONS 2 Article 2 THE MERGERS; CLOSING 15 2.1 The Mergers. 15 2.2 Closing and Effective Time 16 2.3 Organizational Documents of the Surviving |
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| December 15, 2022 |
LOAN AND SECURITY AGREEMENT This LOAN AND SECURITY AGREEMENT is entered into as of December 9, 2022 by and among PINNACLE BANK, a California corporation (Lender). |
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| December 15, 2022 |
FIRST MODIFICATION TO LOAN AND SECURITY AGREEMENT AND LOAN DOCUMENTS This First Modification to Loan and Security Agreement and Loan Documents (this Modification) is entered into by and between APPLIED UV, INC. |
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| December 15, 2022 |
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 9, 2022 APPLIED UV, INC. (Exact name of registrant as specified in its charter) Delaware 001-39480 84-4373308 (State or other jurisdiction (Commission (IRS Employer of incorp |
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| November 14, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2022 ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number 001-39480 APPLIED UV, INC. (Ex |
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| October 14, 2022 |
Securities Purchase Agreement This Securities Purchase Agreement (this ?Agreement?), dated as of October 7, 2022, is entered into by and between Applied UV, Inc. |
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| October 14, 2022 |
Financial Statements and Exhibits, Entry into a Material Definitive Agreement 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): October 7, 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 incorpo |
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| October 14, 2022 |
REDEEMABLE PROMISSORY NOTE October 7, 2022 U.S. $2,807,500.00 FOR VALUE RECEIVED, Applied UV, Inc., a Delaware corporation (?Borrower?), promises to pay to Streeterville Capital, LLC, a Utah limited liability company, or its successors or assigns (?Lender?), $2,807,500.00 and any interest, fees, charges, and late fees accrued hereunder on the date that is eighteen (18) months after the Purchase Pr |
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| August 22, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q/A Amendment No. 1 ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2022 ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-39480 APPLIE |
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| August 17, 2022 |
Financial Statements and Exhibits, Other Events 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): August 15, 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 incorpo |
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| August 17, 2022 |
Applied UV Files Trademark Infringement Lawsuit Against Aeroclean Technologies Takes Action Against Aeroclean Technologies Seeking $20 Million in damages MOUNT VERNON, N. |
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| August 15, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2022 ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number 001-39480 APPLIED UV, INC. (Exact n |
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| July 18, 2022 |
Financial Statements and Exhibits, Other Events 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) July 12, 2022 APPLIED UV, INC. (Exact name of registrant as specified in its charter) Delaware 001-39480 84-4373308 (State or other jurisdiction of Incorporation) (Commission File Numb |
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| July 14, 2022 |
Unregistered Sales of Equity Securities UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K/A CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported) July 13, 2022 APPLIED UV, INC. (Exact name of registrant as specified in its charter) Delaware 001-39480 84-4373308 (State or other jurisdiction of Incorporation) (Commission File Nu |
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| July 13, 2022 |
Unregistered Sales of Equity Securities 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) July 13, 2022 APPLIED UV, INC. (Exact name of registrant as specified in its charter) Delaware 001-39480 84-4373308 (State or other jurisdiction of Incorporation) (Commission File Numb |
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| July 12, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K/A ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 APPLIED UV, Inc. (Exact name of registrant as specified in its charter) Delaware 84-4373308 (State or Other Jurisdiction of Incorporation or Organization) (I.R.S. Employer Identification No.) 150 N. Macquesten Parkway Mount Vernon, |
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| July 8, 2022 |
Applied UV, Inc. 150 N. Macquesten Parkway Mount Vernon, NY 10550 Applied UV, Inc. 150 N. Macquesten Parkway Mount Vernon, NY 10550 July 8, 2022 VIA EDGAR United States Securities and Exchange Commission Division of Corporation Finance 100 F Street, N.E. Washington, D.C. 20549 Attention: Alex King Re: Applied UV, Inc. Registration Statement on Form S-3 File No. 333-266015 Ladies and Gentlemen: In accordance with Rule 461 under the Securities Act of 1933, as amen |
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| July 8, 2022 |
July 8, 2022 VIA EDGAR Securities and Exchange Commission Division of Corporation Finance 100 F Street, N. |
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| July 8, 2022 |
CORRESP 1 filename1.htm July 8, 2022 VIA EDGAR Securities and Exchange Commission Division of Corporation Finance 100 F Street, N.E. Washington, D.C. 20549 Attention: Alex King Re: Applied UV, Inc. Registration Statement on Form S-3, File No. 333-266015 Acceleration Request Requested Date: July 12, 2022 Requested Time: 4:01 p.m. Eastern Time (US) Ladies and Gentlemen: In connection with the above- |
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| July 1, 2022 |
As filed with the Securities and Exchange Commission on July 1, 2022 As filed with the Securities and Exchange Commission on July 1, 2022 Registration No. |
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| July 1, 2022 |
Equity Distribution Agreement, dated July 1, 2022 between the Registrant and Maxim Group LLC. EX-1.2 5 ex12.htm EXHIBIT 1.2 APPLIED UV, INC. Up to US$9,000,000 of Common Stock EQUITY DISTRIBUTION AGREEMENT July 1, 2022 Maxim Group LLC 300 Park Avenue, 16th Floor New York, New York 10022 Ladies and Gentlemen: Applied UV, Inc., a Delaware corporation (the “Company”), proposes to issue and sell through Maxim Group LLC (the “Agent”), as sales agent, common stock of the Company, par value $0.00 |
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| July 1, 2022 |
Exhibit 107 Filing Fee Table Form S-3 (Form Type) Applied UV, Inc. (Exact Name of Registrant as Specified in its Charter) Table 1: Newly Registered Securities Security Type Amount to be Registered Proposed Maximum Offering Price Proposed Maximum Aggregate Offering Price Amount of Registration Fee Fee Rate Fees to be Paid Unallocated (Universal) Shelf ? Common Stock ? Preferred Stock ? Warrants ? D |
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| May 23, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2022 ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number 001-39480 APPLIED UV, INC. (Exact |
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| May 23, 2022 |
Eugene A. Bauer, M.D. 6416 Cecil Avenue St. Louis, MO 63105 Eugene A. Bauer, M.D. 6416 Cecil Avenue St. Louis, MO 63105 May 17., 2022 Mr. John Andrews Chief Executive Officer Applied UV Dear John: Because of material disagreements with Max Munn, the founder of Applied UV, I find it impossible for me to continue to serve on the Board of Directors. Therefore, I hereby resign my position as a Director of Applied UV - effective immediately. Let me further stat |
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| May 23, 2022 |
Alastair Clemow 695 Lawrenceville Road, Princeton, NJ 08540 Alastair Clemow 695 Lawrenceville Road, Princeton, NJ 08540 Mr. John Andrews Chief Executive Officer Applied UV, Inc. 150 North Macquesten Parkway Mount Vernon, NY 10550 Dear John: This letter is to inform you that, effective immediately, I am resigning my position as Director of Applied UV due to material disagreements with the Company's Founder. I will you all the best for the future. Yours sinc |
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| May 23, 2022 |
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): May 17, 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 incorporat |
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| May 12, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 12b-25 NOTIFICATION OF LATE FILING (Check one): ? Form 10-K ? Form 20-F ? Form 11-K ? Form 10-Q ? Form N-SAR ? Form N-CSR For Period Ended: 3/31/2022 ? Transition Report on Form 10-K ? Transition Report on Form 20-F ? Transition Report on Form 11-K ? Transition Report on Form 10-Q ? Transition Report on Form N-SAR For the Transition Period Ended: n/a Nothing in this form shall be construed to imply that the Commission has verified any information contained herein. |
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| April 22, 2022 |
AMENDED AND RESTATED EMPLOYMENT AGREEMENT AMENDED AND RESTATED AGREEMENT (?Agreement?), dated as of April 18, 2022 and effective as of March 1, 2022 (the ?Effective Date?) by and among Applied UV, Inc. |
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| April 22, 2022 |
Financial Statements and Exhibits, Entry into a Material Definitive Agreement 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 incorpor |
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| April 8, 2022 |
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 6, 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 incorpora |
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| April 8, 2022 |
Employment Agreement by and between Applied UV, Inc. and John F. Andrews dated April 11, 2022 EMPLOYMENT AGREEMENT This Employment Agreement (the "Agreement") dated as April 11, 2022 (the "Effective Day") is between Applied UV, Inc. |
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| April 7, 2022 |
Applied UV Provides Shareholder Letter Applied UV Provides Shareholder Letter Mount Vernon, N.Y. // April 7, 2021 ? Applied UV, Inc. (NasdaqCM: AUVI) (?Applied UV? or the ?Company?), a pathogen elimination technology company that applies the power of narrow-range ultraviolet light (?UVC?) for surface areas and catalytic bioconversion technology for air purification to destroy pathogens safely, thoroughly, and automatically, announces S |
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| April 7, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K (Mark One) ? ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Fiscal Year Ended December 31, 2021 Or ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-39480 APPLIED UV, IN |
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| April 7, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No.) ? Filed by the Registrant ? Filed by a Party other than the Registrant Check the appropriate box: ? Preliminary Proxy Statement ? CONFIDENTIAL, FOR USE OF THE COMMISSION ONLY (AS PERMITTED BY RULE 14a-6(e)(2)) ? Defini |
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| April 1, 2022 |
OMB APPROVAL UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 OMB Number: 3235-0058 Expires: April 30, 2022 Estimated average burden hours per response. 2.50 FORM 12b-25 SEC FILE NUMBER CUSIP NUMBER NOTIFICATION OF LATE FILING (Check one): ? Form 10-K ? Form 20-F ? Form 11-K ? Form 10-Q ? Form 10-D ? Form N-CEN ? Form N-CSR For Period Ended: 12/31/2021 ? Transition Report on |
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| March 31, 2022 |
Guaranty of Sublease dated as of March 29, 2022 made by Applied UV, Inc. in favor of VisionMark, LLC GUARANTY OF SUBLEASE THIS GUARANTY OF SUBLEASE (this ?Guaranty?) is made as of the day of March, 2022, by APPLIED UV, INC. |
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| March 31, 2022 |
ASSET PURCHASE AGREEMENT among VISIONMARK, LLC, THE MEMBERS OF ON VISIONMARK, LLC, MUNNWORKS, LLC, AND SANDY MARKS AND MICHAEL CHIRIAC, SR. |
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| March 31, 2022 |
SUBLEASE AGREEMENT OF SUBLEASE (the ?Sublease?) dated as of the day of March, 2022, between VISIONMARK, LLC, a New York limited liability company (hereinafter called ?Sublandlord?) and MUNNWORKS, LLC, a New York limited liability company (hereinafter called ?Subtenant?) and RANDOLPH ASSOCIATES, a New York partnership (hereinafter called ?Landlord?). |
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| March 31, 2022 |
Entry into a Material Definitive Agreement, Financial Statements and Exhibits 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) March 25, 2022 APPLIED UV, INC. (Exact name of registrant as specified in its charter) Delaware 001-39480 84-4373308 (State or other jurisdiction of incorporation) (Commission File Num |
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| February 23, 2022 |
Other Events, Shareholder Director Nominations 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): February 23, 2022 APPLIED UV, INC. (Exact name of registrant as specified in its charter) Delaware 001-39480 84-4373308 (State or other jurisdiction of Incorporation) (Commission File Number) (IRS |
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| January 18, 2022 |
Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing 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) January 13, 2022 APPLIED UV, INC. (Exact name of registrant as specified in its charter) Delaware 001-39480 84-4373308 (State or other jurisdiction of Incorporation) (Commission File N |
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| January 3, 2022 |
Applied UV Announces Closing of $8.0 Million Underwritten Public Offering Applied UV Announces Closing of $8.0 Million Underwritten Public Offering MOUNT VERNON, NY / ACCESSWIRE / December 31, 2021 / Applied UV, Inc. (NASDAQ:AUVI)(NASDAQ:AUVIP) ("Applied UV" or the "Company"), an industry leader in air and surface pathogen elimination technology, today announced the closing of its previously announced underwritten public offering of 2,666,667 shares of common stock (the |
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| January 3, 2022 |
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 28, 2021 APPLIED UV, INC. (Exact name of registrant as specified in its charter) Delaware 001-39480 84-4373308 (State or other jurisdiction of Incorporation) (Commission File |
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| January 3, 2022 |
Applied UV Announces Pricing of $8.0 Million Underwritten Public Offering Applied UV Announces Pricing of $8.0 Million Underwritten Public Offering MOUNT VERNON, NY / ACCESSWIRE / December 28, 2021 / Applied UV, Inc. (NASDAQ:AUVI)(NASDAQ:AUVIP) ("Applied UV" or the "Company"), an industry leader in air and surface pathogen elimination technology, today announced the pricing of its underwritten public offering of 2,666,667 shares of common stock (the "Common Stock") at a |
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| January 3, 2022 |
EMPLOYMENT AGREEMENT This Employment Agreement (the ?Agreement?) dated as of the 1st day of January, 2022 (the ?Effective Day?) is between Applied UV, Inc. |
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| January 3, 2022 |
Underwriting Agreement dated December 28, 2021. 2,666,667 SHARES OF COMMON STOCK OF APPLIED UV, INC. UNDERWRITING AGREEMENT December 28, 2021 EF Hutton, division of Benchmark Investments, LLC As the Representative of the Several underwriters, if any, named in Schedule I hereto 17 Battery Place, Suite 625 New York, New York 10004 Ladies and Gentlemen: The undersigned, Applied UV, Inc., a company incorporated under the laws of Delaware (collectiv |
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| December 30, 2021 |
Applied UV, Inc. 2,666,667 Shares of Common Stock Filed Pursuant to Rule 424(b)(4) Registration Statement No. 333-261892 PROSPECTUS Applied UV, Inc. 2,666,667 Shares of Common Stock Applied UV, Inc. is offering 2,666,667 shares of its common stock, par value $0.0001 per share at an offering price of $3.00 per share. Upon completion of this offering, the directors and officers of Applied UV, Inc. as a group will beneficially own more than 50% of t |
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| December 28, 2021 |
Applied UV Consolidates Supply Chain, Engineering, New Product Development, Logistics and Manufacturing Consolidation Review Continues to Unlock Further Synergies in Three Recent Acquisitions Max Munn, Founder, President and Director is Appointed Interim CEO MOUNT VERNON, NY / ACCESSWIRE / December 27, 2021 / Applied UV, Inc. |
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| December 28, 2021 |
As filed with the Securities and Exchange Commission on December 28, 2021 As filed with the Securities and Exchange Commission on December 28, 2021 Registration No. |
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| December 28, 2021 |
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) Delaware 001-39480 84-4373308 (State or other jurisdiction of (Commission (IRS Employer incorp |
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| December 27, 2021 |
Applied UV, Inc. 150 N. Macquesten Parkway Mount Vernon, NY 10550 Applied UV, Inc. 150 N. Macquesten Parkway Mount Vernon, NY 10550 December 27, 2021 VIA EDGAR United States Securities and Exchange Commission Division of Corporation Finance 100 F Street, N.E. Washington, D.C. 20549 Attention: Sergio Chinos Re: Applied UV, Inc. Registration Statement on Form S-1, as amended File No. 333-261892 Ladies and Gentlemen: Pursuant to Rules 460 and 461 of the General Rul |
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| December 27, 2021 |
EX-1.1 2 ex11.htm EXHIBIT 1.1 SHARES OF COMMON STOCK OF APPLIED UV, INC. UNDERWRITING AGREEMENT December , 2021 EF Hutton, division of Benchmark Investments, LLC As the Representative of the Several underwriters, if any, named in Schedule I hereto 17 Battery Place, Suite 625 New York, New York 10004 Ladies and Gentlemen: The undersigned, Applied UV, Inc., a company incorporated under the laws of D |
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| December 27, 2021 |
EF Hutton, division of Benchmark Investments, LLC 590 Madison Avenue, 39th Floor New York, NY 10022 EF Hutton, division of Benchmark Investments, LLC 590 Madison Avenue, 39th Floor New York, NY 10022 December 27, 2021 VIA EDGAR United States Securities and Exchange Commission Division of Corporation Finance 100 F Street, N. |
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| December 27, 2021 |
As filed with the Securities and Exchange Commission on December 27, 2021 As filed with the Securities and Exchange Commission on December 27, 2021 Registration No. |
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| December 27, 2021 |
As filed with the Securities and Exchange Commission on December 27, 2021 As filed with the Securities and Exchange Commission on December 27, 2021 Registration No. |
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| December 13, 2021 |
As filed with the Securities and Exchange Commission on December 13, 2021 As filed with the Securities and Exchange Commission on December 13, 2021 Registration No. |
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| December 13, 2021 |
CERTIFICATE OF AMENDMENT OF CERTIFICATE OF DESIGNATIONS, RIGHTS AND PREFERENCES OF 10. |
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| December 13, 2021 |
SHARES OF 10.5% SERIES A CUMULATIVE PERPETUAL PREFERRED STOCK OF APPLIED UV, INC. UNDERWRITING AGREEMENT December , 2021 EF Hutton, division of Benchmark Investments, LLC As the Representative of the Several underwriters, if any, named in Schedule I hereto 17 Battery Place, Suite 625 New York, New York 10004 Ladies and Gentlemen: The undersigned, Applied UV, Inc., a company incorporated under the |
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| December 10, 2021 |
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 7, 2021 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 incorpo |
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| December 10, 2021 |
Applied UV Announces the Appointment of James Alecxih as Chief Executive Officer Applied UV Announces the Appointment of James Alecxih as Chief Executive Officer Highly Accomplished Executive with Proven Track Record of Leading Healthcare Businesses Q Saeed to transition to consultant to the Company Mount Vernon, NY // December 9, 2021 ? Applied UV, Inc. |
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| December 10, 2021 |
Employment Agreement between the Company and James Alecxih, dated December 1, 2021 EMPLOYMENT AGREEMENT This Employment Agreement (the ?Agreement?) dated as of the 9th day of December, 2021 (the ?Effective Date?) is between Applied UV, Inc. |
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| December 2, 2021 |
STATE OF DELAWARE CERTIFICATE OF AMENDMENT OF CERTIFICATE OF INCORPORATION (Pursuant to Section 242 of the General Corporation Law of the State of Delaware) Applied UV, Inc. |
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| December 2, 2021 |
Submission of Matters to a Vote of Security Holders 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) September 14, 2021 APPLIED UV, INC. (Exact name of registrant as specified in its charter) Delaware 001-39480 84-4373308 (State or other jurisdiction of Incorporation) (Commission File |
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| December 2, 2021 |
As filed with the Securities and Exchange Commission on December 2, 2021 As filed with the Securities and Exchange Commission on December 2, 2021 Registration No. |
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| November 23, 2021 |
As filed with the Securities and Exchange Commission on November 23, 2021 As filed with the Securities and Exchange Commission on November 23, 2021 Registration No. |
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| November 15, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2021 ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number 001-39480 APPLIED UV, INC. (Ex |
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| November 12, 2021 |
Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 8-K/A CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) September 28, 2021 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 inc |
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| November 12, 2021 |
Applied UV, Inc. Unaudited Pro Forma Condensed Combined Financial Information Applied UV, Inc. Unaudited Pro Forma Condensed Combined Financial Information Akida Acquisition On February 8, 2021, Applied UV, Inc. (the ?Company?) completed an Asset Purchase Agreement (?the Akida Agreement?) with Akida Holdings LLC (?Akida?) and its members, Simba Partners, LLC, JJH Holdings, LLC and Fakhruddin Holdings FZC (collectively, the ?Sellers?), pursuant to which the Company purchased |
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| November 12, 2021 |
Applied UV, Inc. Unaudited Pro Forma Condensed Combined Financial Information Applied UV, Inc. Unaudited Pro Forma Condensed Combined Financial Information Akida Acquisition On February 8, 2021, Applied UV, Inc. (the ?Company?) completed an Asset Purchase Agreement (?the Akida Agreement?) with Akida Holdings LLC (?Akida?) and its members, Simba Partners, LLC, JJH Holdings, LLC and Fakhruddin Holdings FZC (collectively, the ?Sellers?), pursuant to which the Company purchased |
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| November 12, 2021 |
EX-99.1 5 ex991.htm EXHIBIT 99.1 KES Science & Technology, Inc. and JJS Technologies, LLC Combined Financial Statements for the Years Ended October 31, 2020 and 2019 1 Independent Auditor’s Report 3 Combined Balance Sheets – Years Ended October 31, 2020 and 2019 4 Combined Statements of Operations and Stockholders Equity – Years Ended October 31, 2020 and 2019 5 Combined Statements of Cash Flows – |
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| November 12, 2021 |
SCIENTIFIC AIR MANAGEMENT LLC FINANCIAL STATEMENTS FOR THE YEARS ENDED DECEMBER 31, 2020 AND 2019 SCIENTIFIC AIR MANAGEMENT LLC FINANCIAL STATEMENTS FOR THE YEARS ENDED DECEMBER 31, 2020 AND 2019 1 SCIENTIFIC AIR MANAGEMENT LLC CONTENTS Independent Auditors? Report 1 Financial Statements Balance Sheets 2 Statements of Income (Operations). |
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| November 12, 2021 |
Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 8-K/A CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) October 13, 2021 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 incor |
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| October 19, 2021 |
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) October 13, 2021 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 incorpo |
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| October 19, 2021 |
ASSET PURCHASE AGREEMENT among APPLIED UV, INC., STERILUMEN, INC. and OLD SAM PARTNERS, LLC dated as of October 13, 2021 TABLE OF CONTENTS Article I DEFINITIONS Article I DEFINITIONS 1 Article II PURCHASE AND SALE 9 2.1 Purchase and Sale of Assets 9 2.2 Liabilities 11 2.3 Purchase Price; Purchase Price Adjustments; Incentive Payment 11 (a) Purchase Price 11 (b) Purchase Price Adjustment 12 (c) Ves |
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| October 19, 2021 |
Applied UV Announces Strategic Acquisition of Scientific Air Management to Accelerate its Growth and Strengthen its Portfolio of High Growth Air Purification Technologies Scientific Air is expected to contribute approximately $5-7 million in sales to Company?s annualized revenues and be immediately accretive to Applied UV?s earnings per share Continues the acquisition strategy by Applied UV to acq |
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| October 4, 2021 |
ASSET PURCHASE AGREEMENT among APPLIED UV, INC. STERILUMEN, INC. and JJS TECHNOLOGIES, LLC KES SCIENCE & TECHNOLOGY, INC. John J. Hayman Jr. John J. Hayman, III Scott Hayman dated as of September 28, 2021 1 TABLE OF CONTENTS Article I Definitions 1 Article II Purchase and Sale 7 Section 2.01 Purchase and Sale of Assets. 7 Section 2.02 Liabilities. 8 Section 2.03 Purchase Price. 8 Section 2.04 Allo |
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| October 4, 2021 |
EX-99.1 3 ex991.htm EXHIBIT 99.1 Applied UV Announces Acquisition of the Assets of KES Science & Technology Transaction significantly scales air purification product portfolio and customer base Developed for NASA as a patented pathogen killing technology; patents were originally obtained by KES Expands access to food distribution, grocery chains, and fast-growing cannabis market Proprietary photoc |
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| October 4, 2021 |
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) September 28, 2021 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 incor |
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| September 15, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14C (Rule 14c-101) SCHEDULE 14C INFORMATION Information Statement Pursuant to Section 14(c) of the Securities Exchange Act of 1934 (Amendment No. ) Check the appropriate box: ? Preliminary Information Statement ? Confidential, for Use of the Commission Only (as permitted by Rule 14c-5(d)(2)) ? Definitive Information S |
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| August 17, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14C (Rule 14c-101) SCHEDULE 14C INFORMATION Information Statement Pursuant to Section 14(c) of the Securities Exchange Act of 1934 (Amendment No. ) Check the appropriate box: ? Preliminary Information Statement ? Confidential, for Use of the Commission Only (as permitted by Rule 14c-5(d)(2)) ? Definitive Information S |
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| August 16, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2021 ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number 001-39480 APPLIED UV, INC. (Exact n |
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| August 13, 2021 |
As confidentially submitted to the Securities and Exchange Commission on August 13, 2021 As confidentially submitted to the Securities and Exchange Commission on August 13, 2021 Registration No. |
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| August 2, 2021 |
Applied UV, Inc. Announces Full Exercise of Over-Allotment Option Applied UV, Inc. Announces Full Exercise of Over-Allotment Option July 29, 2021 MOUNT VERNON, NY / ACCESSWIRE / July 29, 2021 / Applied UV, Inc. (NASDAQ:AUVI) ("Applied UV" or the "Company"), an infection prevention technology company that applies the power of narrow-range ultra violet light ("UVC") to destroy pathogens safely, thoroughly, and automatically, today announced the that the underwrite |
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| August 2, 2021 |
Other Events, Financial Statements and Exhibits 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) July 29, 2021 APPLIED UV, INC. (Exact name of registrant as specified in its charter) Delaware 001-39480 84-4373308 (State or other jurisdiction of Incorporation) (Commission File Numb |
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| July 19, 2021 |
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) July 13, 2021 APPLIED UV, INC. (Exact name of registrant as specified in its charter) Delaware 001-39480 84-4373308 (State or other jurisdiction of Incorporation) (Commission File Numb |
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| July 19, 2021 |
APPLIED UV, INC. CERTIFICATE OF DESIGNATIONS, RIGHTS AND PREFERENCES OF 10.5% SERIES A CUMULATIVE PERPETUAL PREFERRED STOCK Pursuant to Section 151 of the Delaware General Corporation Law Applied UV, Inc., a Delaware corporation (the ?Corporation?), hereby certifies that the following resolution was adopted by the Board of Directors of the Corporation (the ?Board of Directors?) pursuant to the aut |
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| July 19, 2021 |
Applied UV, Inc. Announces Closing of $12.0 Million Public Offering of 10.5% Series A Cumulative Perpetual Preferred Stock Mount Vernon, NY, July 16, 2021 ? Applied UV, Inc. (NasdaqCM: AUVI) (?Applied UV? or the ?Company?), an infection prevention technology company that applies the power of narrow-range ultra violet light ("UVC") to destroy pathogens safely, thoroughly, and automatically, today a |
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| July 19, 2021 |
Underwriting Agreement dated July 13, 2021. 480,000 SHARES OF 10.5% SERIES A CUMULATIVE PERPETUAL PREFERRED STOCK OF APPLIED UV, INC. UNDERWRITING AGREEMENT July 13, 2021 Ladenburg Thalmann & Co. Inc. As the Representative of the Several underwriters, if any, named in Schedule I hereto 640 Fifth Avenue, 4th Floor New York, New York 10019 Ladies and Gentlemen: The undersigned, Applied UV, Inc., a company incorporated under the laws of Delawa |
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| July 19, 2021 |
Applied UV, Inc. Announces Pricing of $12.0 Million Public Offering of 10.5% Series A Cumulative Perpetual Preferred Stock Mount Vernon, NY, July 13, 2021 ? Applied UV, Inc. (NasdaqCM: AUVI) (?Applied UV? or the ?Company?), an infection prevention technology company that applies the power of narrow-range ultra violet light ("UVC") to destroy pathogens safely, thoroughly, and automatically, today a |
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| July 14, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-A/A (Amendment No. 1) FOR REGISTRATION OF CERTAIN CLASSES OF SECURITIES PURSUANT TO SECTION 12(b) OR 12(g) OF THE SECURITIES EXCHANGE ACT OF 1934 APPLIED UV, INC. (Exact Name of Registrant as Specified in its Charter) Delaware 84-4373308 (State or other jurisdiction (IRS Employer of incorporation) Identification No.) 15 |
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| July 14, 2021 |
APPLIED UV, INC. CERTIFICATE OF DESIGNATIONS, RIGHTS AND PREFERENCES OF 10.5% SERIES A CUMULATIVE PERPETUAL PREFERRED STOCK Pursuant to Section 151 of the Delaware General Corporation Law Applied UV, Inc., a Delaware corporation (the ?Corporation?), hereby certifies that the following resolution was adopted by the Board of Directors of the Corporation (the ?Board of Directors?) pursuant to the aut |
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| July 14, 2021 |
Applied UV, Inc. 480,000 Shares 10.5% Series A Cumulative Perpetual Preferred Stock Filed Pursuant to Rule 424(b)(4) Registration No. 333-257197 Registration No. 333-257862 PROSPECTUS Applied UV, Inc. 480,000 Shares of 10.5% Series A Cumulative Perpetual Preferred Stock Applied UV, Inc. is offering 480,000 shares of its 10.5% Series A Cumulative Perpetual Preferred Stock (?Series A Preferred Stock?) at an offering price of $25.00 per share. There is no minimum on the number of sh |
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| July 13, 2021 |
Issuer Free Writing Prospectus Issuer Free Writing Prospectus Filed pursuant to Rule 433 Registration No. 333- 257197 and the related Registration Statement filed pursuant to Rule 462(b) Issuer: Applied UV, Inc. Securities: 10.5% Series A Cumulative Perpetual Preferred Stock (?Series A Preferred Stock?). Number of Shares: 480,000 shares of the Series A Preferred Stock. Option to Purchase Additional Shares: Up to 72,000 shares o |
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| July 13, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-A FOR REGISTRATION OF CERTAIN CLASSES OF SECURITIES PURSUANT TO SECTION 12(b) OR (g) OF THE SECURITIES EXCHANGE ACT OF 1934 APPLIED UV, INC. (Exact Name of Registrant as Specified in its Charter) Delaware 84-4373308 (State or other jurisdiction (IRS Employer of incorporation) Identification No.) 150 N. Macquesten Parkwa |
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| July 13, 2021 |
As filed with the Securities and Exchange Commission on July 13, 2021 As filed with the Securities and Exchange Commission on July 13, 2021 Registration No. |
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| July 8, 2021 |
Ladenburg Thalmann & Co. Inc. 999 Vanderbilt Beach Road, Suite 200 Naples, Florida 34108 Ladenburg Thalmann & Co. Inc. 999 Vanderbilt Beach Road, Suite 200 Naples, Florida 34108 July 8, 2021 VIA FACSIMILE AND EDGAR U.S. Securities and Exchange Commission Division of Corporation Finance Washington, DC 20549 Re: applied uv, Inc. Registration Statement on Form S-1 (Registration No. 333-257197) Concurrence in Acceleration Request Ladies and Gentlemen: Ladenburg Thalmann & Co. Inc. (?Laden |
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| July 8, 2021 |
Applied UV, Inc. 150 N. Macquesten Parkway Mount Vernon, NY 10550 Applied UV, Inc. 150 N. Macquesten Parkway Mount Vernon, NY 10550 July 8, 2021 VIA EDGAR United States Securities and Exchange Commission Division of Corporation Finance 100 F Street, N.E. Washington, D.C. 20549 Attention: Jay Ingram Kevin Stertzel Re: Applied UV, Inc. Registration Statement on Form S-1, as amended File No. 333- 257197 Ladies and Gentlemen: Pursuant to Rules 460 and 461 of the Gen |
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| July 6, 2021 |
Exhibit 3.9 APPLIED UV, INC. CERTIFICATE OF DESIGNATIONS, RIGHTS AND PREFERENCES OF 10.5% SERIES A CUMULATIVE PERPETUAL PREFERRED STOCK Pursuant to Section 151 of the Delaware General Corporation Law Applied UV, Inc., a Delaware corporation (the ?Corporation?), hereby certifies that the following resolution was adopted by the Board of Directors of the Corporation (the ?Board of Directors?) pursuan |
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| July 6, 2021 |
1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 Financials 22 23 24 25 Leadership 26 27 28 29 30 |
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| July 6, 2021 |
As filed with the Securities and Exchange Commission on July 6, 2021 As filed with the Securities and Exchange Commission on July 6, 2021 Registration No. |
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| June 30, 2021 |
Applied UV, Inc. 150 N. Macquesten Parkway Mount Vernon, NY 10550 Applied UV, Inc. 150 N. Macquesten Parkway Mount Vernon, NY 10550 June 30, 2021 VIA EDGAR United States Securities and Exchange Commission Division of Corporation Finance 100 F Street, N.E. Washington, D.C. 20549 Attention: Kevin Stertzel Re: Applied UV, Inc. Registration Statement on Form S-1, as amended File No. 333- 257197 Ladies and Gentlemen: Reference is made to our letter, filed as correspo |
