# EDGAR Filing Document

**Accession Number:** 0001811109
**File Stem:** 0001607062-23-000083
**Filing Date:** 2023-2
**Character Count:** 6947
**Document Hash:** c68e15de51e1659116a99865b98fd02e
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0001607062-23-000083.hdr.sgml**: 20230210

**ACCESSION NUMBER**: 0001607062-23-000083

**CONFORMED SUBMISSION TYPE**: 5

**PUBLIC DOCUMENT COUNT**: 1

**CONFORMED PERIOD OF REPORT**: 20221231

**FILED AS OF DATE**: 20230210

**DATE AS OF CHANGE**: 20230210

**REPORTING-OWNER**: 

**OWNER DATA:**
- **COMPANY CONFORMED NAME:** WOO MONICA L
- **CENTRAL INDEX KEY:** 0001277796

**FILING VALUES:**
- **FORM TYPE:** 5
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 001-39480
- **FILM NUMBER:** 23609333

**MAIL ADDRESS:**
- **STREET 1:** 1600 STEWAQRT AVE
- **CITY:** WESTBURY
- **STATE:** NY
- **ZIP:** 11590
**ISSUER**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** Applied UV, Inc.
- **CENTRAL INDEX KEY:** 0001811109
- **STANDARD INDUSTRIAL CLASSIFICATION:** ELECTRIC LIGHTING & WIRING EQUIPMENT [3640]
- **IRS NUMBER:** 844373308
- **STATE OF INCORPORATION:** DE
- **FISCAL YEAR END:** 1231

**BUSINESS ADDRESS:**
- **STREET 1:** 150 N. MACQUESTEN PKWY
- **CITY:** MOUNT VERNON
- **STATE:** NY
- **ZIP:** 10550
- **BUSINESS PHONE:** 9292073751

**MAIL ADDRESS:**
- **STREET 1:** 150 N. MACQUESTEN PKWY
- **CITY:** MOUNT VERNON
- **STATE:** NY
- **ZIP:** 10550

### UNITED STATES SECURITIES AND EXCHANGE COMMISSION
**Washington, D.C. 20549**

## FORM 5

### STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

[ ] Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).

[ ] Check this box to indicate that a transaction was made pursuant to a contract, instruction or written plan for the purchase or sale of equity securities of the issuer that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c). See Instruction 10.

---

| | | |
|:---|:---|:---|
| **1. Name and Address of Reporting Person**<sup>*</sup><br>WOO MONICA L<br><sub>(Last) (First) (Middle)</sub><br>150 N. MACQUESTEN PKWY<br><sub>(Street)</sub><br>MOUNT VERNON, NY 10550<br><sub>(City) (State) (Zip)</sub> | **3. Date of Earliest Transaction (Month/Day/Year)**<br>2022-12-31 | **5. Relationship of Reporting Person(s) to Issuer**<br>(Check all applicable)<br>[X] Director [ ] 10% Owner<br>[ ] Officer (give title below) [ ] Other (specify below)<br>_ _ |
| **2. Issuer Name and Ticker or Trading Symbol**<br>Applied UV, Inc. [ AUVI ] | **4. If Amendment, Date of Original Filed (Month/Day/Year)**<br>  | **6. Individual or Joint/Group Filing (Check Applicable Line)**<br>[X] Form filed by One Reporting Person<br>[ ] Form filed by More than One Reporting Person |

---

## Table I - Non-Derivative Securities

---

|  |  |  |  |  |  |  |  |  |  |  |
| --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- |
| 1. Title of Security | 2. Transaction Date | 2A. Deemed Execution Date | 3. Transaction Code (V) | 3. Transaction Code (V) | 4. Securities Acquired (A) or Disposed of (D) | 4. Securities Acquired (A) or Disposed of (D) | 4. Securities Acquired (A) or Disposed of (D) | 5. Amount of Securities Beneficially Owned | 6. Ownership Form | 7. Nature of Indirect Beneficial Ownership |
| 1. Title of Security | 2. Transaction Date | 2A. Deemed Execution Date | Code | V | Amount | (A) or (D) | Price | 5. Amount of Securities Beneficially Owned | 6. Ownership Form | 7. Nature of Indirect Beneficial Ownership |
| COMMON STOCK | 2022-03-31 |  | P | V | 1000 | A | $1.5 | 12000 | D |  |
| COMMON STOCK | 2022-12-05 |  | P | V | 500 | A | $1.0495 | 12500 | D |  |
| COMMON STOCK | 2022-12-05 |  | P | V | 800 | A | $1.047 | 13300 | D |  |
| COMMON STOCK | 2022-12-06 |  | P | V | 500 | A | $0.996 | 13800 | D |  |
| COMMON STOCK | 2022-12-06 |  | P | V | 1000 | A | $0.99 | 14800 | D |  |
| COMMON STOCK | 2022-12-06 |  | P | V | 1000 | A | $1.0037 | 15800 | D |  |
| COMMON STOCK | 2022-12-07 |  | P | V | 1000 | A | $0.9264 | 16800 | D |  |
| COMMON STOCK | 2022-12-07 |  | P | V | 1000 | A | $0.93 | 17800 | D |  |
| COMMON STOCK | 2022-12-14 |  | P | V | 606 | A | $0.91 | 18406 | D |  |
| COMMON STOCK | 2022-12-27 |  | P | V | 1000 | A | $0.8989 | 19406 | D |  |
| COMMON STOCK | 2022-12-27 |  | S |  | 2000 | D | $0.8703 | 17406 | D |  |
| COMMON STOCK | 2022-12-27 |  | P | V | 2000 | A | $0.92 | 19406 | D |  |
| COMMON STOCK | 2022-12-27 |  | P | V | 394 | A | $0.91 | 19800 | D |  |
| COMMON STOCK | 2022-12-27 |  | P | V | 1000 | A | $0.8777 | 20800 | D |  |
| COMMON STOCK | 2022-12-27 |  | P | V | 1000 | A | $0.877 | 21800 | D |  |
| COMMON STOCK | 2022-12-27 |  | P | V | 500 | A | $0.9177 | 22300 | D |  |
| COMMON STOCK | 2022-12-27 |  | S |  | 2300 | D | $0.8701 | 20000 | D |  |
| COMMON STOCK | 2022-12-27 |  | S |  | 2300 | D | $0.9029 | 17700 | D |  |
| COMMON STOCK | 2022-12-27 |  | S |  | 3500 | D | $0.8828 | 14200 | D |  |
| COMMON STOCK | 2022-12-30 |  | P | V | 1000 | A | $0.9077 | 15200 | D |  |
| COMMON STOCK | 2022-12-30 |  | S |  | 1200 | D | $0.9201 | 14000 | D |  |
| COMMON STOCK | 2022-12-30 |  | S |  | 1200 | D | $0.9158 | 12800 | D |  |

---

## Table II - Derivative Securities

---

|  |  |  |  |  |  |  |  |  |  |  |  |  |  |  |  |
| --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- |
| 1. Title of Derivative Security | 2. Conversion or Exercise Price | 3. Transaction Date | 3A. Deemed Execution Date | 4. Transaction Code (V) | 4. Transaction Code (V) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) | 6. Date Exercisable and Expiration Date | 6. Date Exercisable and Expiration Date | 7. Title and Amount of Underlying Securities | 7. Title and Amount of Underlying Securities | 8. Price of Derivative Security | 9. Number of Derivative Securities Beneficially Owned | 10. Ownership Form | 11. Nature of Indirect Beneficial Ownership |
| 1. Title of Derivative Security | 2. Conversion or Exercise Price | 3. Transaction Date | 3A. Deemed Execution Date | Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | 8. Price of Derivative Security | 9. Number of Derivative Securities Beneficially Owned | 10. Ownership Form | 11. Nature of Indirect Beneficial Ownership |
|  |  |  |  |  |  |  |  |  |  |  |  |  |  |  |  |

---

**Signature:** /s/ Monica Woo  
**Date:** 2023-02-10

### Remarks:

Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.

* If the form is filed by more than one reporting person, see Instruction 4 (b)(v).

** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).

Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.

**Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number.**