Max Munn - 31 Dec 2021 Form 5 Insider Report for Applied UV, Inc.

Role: Acting Chief Executive Officer, Director
Signature: /s/ Max Munn
Issuer symbol: AUVI on OTC
Transactions as of: 31 Dec 2021
Net transactions value: $0
Form type: 5
Filing time: 14 Feb 2022, 14:20:06 UTC
Previous filing: 22 Dec 2021
SEC: View on sec.gov

Derivative Securities (e.g., puts, calls, warrants, options, convertible securities)

Type	Sym	Class	Transaction	Value $	Shares	Change %	* Price $	Shares After	Date	Underlying Class	Amount	Exercise Price	Ownership	Footnotes
transaction	AUVI	Non-Qualified Stock Option (Right to Buy)	Purchase	$0	+240,983	+350%	$0.000000	309,835	04 Mar 2021	Common Stock	240,983	$7.80	Direct	F1, F2

* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id	Content
F1	The Form 4 filed on December 22, 2021 reported 68,852 vested shares underlying an option granted to Mr. Munn pursuant to his employment agreement which have an exercise price equal to the closing price of the Company's common stock on the Effective Date and which vest at the rate of 1/36th per month, commencing on April 1, 2021. The 240,983 options reported on this Form 5 were not previously reported in a form 4 filing.
F2	Non-qualified stock options vest monthly (1/36th of the total number per month) through March 31, 2024.

Content

The Form 4 filed on December 22, 2021 reported 68,852 vested shares underlying an option granted to Mr. Munn pursuant to his employment agreement which have an exercise price equal to the closing price of the Company's common stock on the Effective Date and which vest at the rate of 1/36th per month, commencing on April 1, 2021. The 240,983 options reported on this Form 5 were not previously reported in a form 4 filing.

Non-qualified stock options vest monthly (1/36th of the total number per month) through March 31, 2024.