APPLIED UV, INC. Forms 3, 4 and 5: Stock Options
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 15 rows, 15 shown. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2022-05-02: Reporting owner ANDREWS JOHN FAY; Form 3; Security Stock Option (Right to Buy); Transaction Holding.
- 2022-01-25: Reporting owner RICCIO MICHAEL GERARD; Form 3; Security Stock Option (right to buy); Transaction Holding.
- 2022-01-25: Reporting owner RICCIO MICHAEL GERARD; Form 3; Security Stock Option (right to buy); Transaction Holding.
- 2022-01-25: Reporting owner RICCIO MICHAEL GERARD; Form 3; Security Stock Option (right to buy); Transaction Holding.
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2022-05-02 holding as of filing | ANDREWS JOHN FAY Director, Officer (Chief Exeutive Officer) | 3 | Stock Option (Right to Buy) Derivative · Direct | Holding | $1.42 exercise price | 2022-05-02 | ||
| 2022-01-25 holding as of filing | RICCIO MICHAEL GERARD Officer (Chief Financial Officer) | 3 | Stock Option (right to buy) Derivative · Direct | Holding | $6.53 exercise price | 2022-01-25 | ||
| 2022-01-25 holding as of filing | RICCIO MICHAEL GERARD Officer (Chief Financial Officer) | 3 | Stock Option (right to buy) Derivative · Direct | Holding | $6.53 exercise price | 2022-01-25 | ||
| 2022-01-25 holding as of filing | RICCIO MICHAEL GERARD Officer (Chief Financial Officer) | 3 | Stock Option (right to buy) Derivative · Direct | Holding | $6.53 exercise price | 2022-01-25 | ||
| 2022-01-25 holding as of filing | RICCIO MICHAEL GERARD Officer (Chief Financial Officer) | 3 | Stock Option (right to buy) Derivative · Direct | Holding | $2.70 exercise price | 2022-01-25 | ||
| 2021-12-22 holding as of filing | Munn Max Director, Officer (President), 10% Owner | 4 | Non-Qualified Stock Option (Right to buy) Derivative · Direct | Holding | 500 owned after | no price filed | 2021-12-22 | |
| 2021-12-22 holding as of filing | Munn Max Director, Officer (President), 10% Owner | 4 | Non-Qualified Stock Option Derivative · Direct | Holding | 500 owned after | no price filed | 2021-12-22 | |
| 2021-12-22 holding as of filing | Munn Max Director, Officer (President), 10% Owner | 4 | Non-Qualified Stock Option (Right to buy) Derivative · Direct | Holding | 68,852 owned after | no price filed | 2021-12-22 | |
| 2021-12-20 holding as of filing | Munn Max Director, Officer (President), 10% Owner | 4 | Non-Qualified Stock Option (Right to buy) Derivative · Direct | Holding | 500 owned after | no price filed | 2021-12-20 | |
| 2021-12-20 holding as of filing | Munn Max Director, Officer (President), 10% Owner | 4 | Non-Qualified Stock Option Derivative · Direct | Holding | 500 owned after | no price filed | 2021-12-20 | |
| 2021-12-20 holding as of filing | Munn Max Director, Officer (President), 10% Owner | 4 | Non-Qualified Stock Option (Right to buy) Derivative · Direct | Holding | 68,852 owned after | no price filed | 2021-12-20 | |
| 2021-03-04 | Munn Max Director, Officer (Acting Chief Executive Officer) | 5 | Non-Qualified Stock Option (Right to Buy) Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +240,983 309,835 owned after | $7.80 exercise price | 2022-02-14 | |
| 2020-09-29 holding as of filing | Munn Max Director, Officer (President), 10% Owner | 3 | Non-Qualified Stock Option (Right to Buy) Derivative · Direct | Holding | no price filed | 2020-09-29 | ||
| 2020-09-29 holding as of filing | Munn Max Director, Officer (President), 10% Owner | 3 | Non-Qualified Stock Option (Right to Buy) Derivative · Direct | Holding | no price filed | 2020-09-29 | ||
| 2020-09-29 holding as of filing | KANTER JOEL S Director | 3 | Non-Qualified Stock Option (Right to Buy) Derivative · Direct | Holding | no price filed | 2020-09-29 |