# EDGAR Filing Document

**Accession Number:** 0001811109
**File Stem:** 0001607062-23-000128
**Filing Date:** 2023-3
**Character Count:** 5543
**Document Hash:** 36c422750cf8f7f5ccd89e0c2fb5b6ac
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0001607062-23-000128.hdr.sgml**: 20230309

**ACCESSION NUMBER**: 0001607062-23-000128

**CONFORMED SUBMISSION TYPE**: 8-K

**PUBLIC DOCUMENT COUNT**: 13

**CONFORMED PERIOD OF REPORT**: 20230303

**ITEM INFORMATION**: Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers: Compensatory Arrangements of Certain Officers

**FILED AS OF DATE**: 20230309

**DATE AS OF CHANGE**: 20230309

**FILER**: 

**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

**FILING VALUES:**
- **FORM TYPE:** 8-K
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 001-39480
- **FILM NUMBER:** 23720349

**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

?xml version="1.0" encoding="utf-8"?

**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)

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| | | |
|:---|:---|:---|
| **Delaware** | **001-39480** | **84-4373308** |
| (State or other jurisdiction<br> of Incorporation) | (Commission<br> File Number) | (IRS Employer<br> Identification Number) |

---

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| | |
|:---|:---|
| **150 N. Macquesten Parkway**<br> **Mount Vernon** **, NY** | **10550** |
| (Address of registrant's principal executive office) | (Zip code) |

---

**(914)** **665-6100**

(Registrant's telephone number, including area code)

**N/A**

(Former name or former address, if changed since last report)

Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions (see General Instruction A.2. below):

☐ Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)

☐ Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)

☐ Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))

☐ Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))

Securities registered pursuant to Section 12(b) of the Act:

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| | | |
|:---|:---|:---|
| **Title of each class** | **Trading symbol(s)** | **Name of each exchange on which<br> registered** |
| Common Stock, par value $0.0001 per share | AUVI | The Nasdaq Stock Market LLC |
| 10.5% Series A Cumulative Perpetual Preferred Stock, par value $0.0001 per share | AUVIP | The Nasdaq Stock Market LLC |

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Indicate by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of 1933 (§230.405 of this chapter) or Rule 12b-2 of the Securities Exchange Act of 1934 (§240.12b-2 of this chapter).

Emerging growth company ☒

If an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 13(a) of the Exchange Act. ☐

**Item 5.02 Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers.**

**(c) Appointment of Max Munn as Chief Executive Officer**

On March 3, 2023, the Board of Directors (the "**Board**") of Applied UV, Inc. (the "**Company**") appointed Max Munn, the founder, director and President of the Company as the Chief Executive Officer of the Company, effective March 3, 2023..

Mr. Munn will continue to be employed and compensated under his existing employment agreement without any increase in salary.

Mr. Munn, age 78, has been the President and a director of the Company since its formation and is also the Chief Executive Officer of Munn Works, LLC, our subsidiary focused on the hospitality market. Mr. Munn has held this position at Munn Works for over 20 years. Mr. Munn is also Co-chairman of Dieu Donne Inc., a not-for-profit and a leading, world recognized atelier wherein dimensional, handmade paper is utilized in the making of art. Mr. Munn attended MIT from 1961-1966, majored in chemistry and architecture; and received a Bachelor's of Architecture degree. Mr. Munn also attended Columbia University for post graduate studies from 1966-1968, working toward a Ph.D. in architectural history.

**Appointment of Eugene E. Burleson as Chairman of the Board**

On March 3, 2023, the Board of the Company appointed Eugene E. Burleson, a director of the Company, as the Chairman of the Board of the Company, effective March 3, 2023.

**SIGNATURE**

Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned thereunto duly authorized.

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| | | |
|:---|:---|:---|
|  | **APPLIED UV, INC.** | **APPLIED UV, INC.** |
| Date: March 09, 2023 | By: | *<u>/s/Michael Riccio</u>* |
|  |  | Michael Riccio |
|  |  | Chief Financial Officer |

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