APPLIED UV, INC. Form 8-K: Current report
Filings on SEC EDGAR, newest first; amendments sit with their base form. Values are as filed.
- 2024-05-31: Form 8-K; Period of report 2024-05-24; Description 1.03 Bankruptcy or Receivership; 3.01 Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing; Details 1.03.
- 2024-05-28: Form 8-K; Period of report 2024-05-21; Description 3.01 Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing; Details 3.01.
- 2024-05-28: Form 8-K; Period of report 2024-05-21; Description 5.02 Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers; Details 5.02.
- 2024-05-22: Form 8-K; Period of report 2024-05-16; Description 3.01 Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing; Details 3.01.
| Filed | Form | Period of report | Description | Details | Document |
|---|---|---|---|---|---|
| 2024-05-31 | 8-K | 2024-05-24 | 1.03 Bankruptcy or Receivership; 3.01 Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing | 1.03 On May 24, 2024, Applied UV, Inc. (the “Company”), and its wholly owned subsidiary, SteriLumen, Inc. (“SteriLumen”), filed voluntary petitions for relief under chapter 11 of title 11 of the United States Bankruptcy Code (the “Bankruptcy Code”) in the United States Bankruptcy Court for the District of New York (the “Bankruptcy Court”). 3.01 On May 24, 2024, the Company received written notice (the “Delisting Notice”) from the staff of The Nasdaq Stock Market LLC (“Nasdaq”) notifying the Company that, as a result of the filings of the Chapter 11 Cases and in accordance with Nasdaq Listing Rules 5101, 5110(b) and IM-5101-1, the staff of Nasdaq had determined that the Company’s common stock and Series A Preferred Stock will be delisted from Nasdaq. | ea0207186-8k_applieduv.htm |
| 2024-05-28 | 8-K | 2024-05-21 | 3.01 Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing | 3.01 On May 21, 2024, Applied UV, Inc., a Nevada corporation (the “Company”), received a notice (the “Notice”) from The Nasdaq Stock Market LLC (“Nasdaq”) indicating that, as a result of not having yet filed the Company’s Quarterly Report on Form 10-Q for the period ended March 31, 2024 (the “Quarterly Report”), the Company was not in compliance with Nasdaq Listing Rule 5250(c)(1) (the “Listing Rule”), which requires timely filing of all required periodic financial reports with the Securities and Exchange Commission. | ea020685601-8k_applied.htm |
| 2024-05-28 | 8-K | 2024-05-21 | 5.02 Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers | 5.02 On May 21, 2024, the Company accepted the resignation of Christopher Kochuba as a member of the following: (i) the Board of Directors of the Company (“Board”); (ii) the audit committee of the Board (the “Audit Committee”); and (iii) the Compensation Committee of the Board (the “Compensation Committee”), effective as of May 21, 2024. | ea0206858-8k_applied.htm |
| 2024-05-22 | 8-K | 2024-05-16 | 3.01 Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing | 3.01 On May 16, 2024, Applied UV, Inc. (the “Company”) received a letter from the Nasdaq Listing Qualifications Staff of The Nasdaq Stock Market LLC (“Nasdaq”) therein stating that for the 31 consecutive business day period between April 3, 2024 through May 15, 2024, the common stock of the Company had not maintained a minimum closing bid price of $1.00 per share required for continued listing on The Nasdaq Capital Market pursuant to Nasdaq Listing Rule 5550(a)(2) (the “Bid Price Rule”). | ea0206503-8k_applied.htm |
| 2024-05-20 | 8-K | 2024-05-14 | 4.01 Changes in Registrant's Certifying Accountant | 4.01 On May 14, 2024, Mazars USA LLP (“Mazars”) officially resigned as the independent registered public accounting firm of Applied UV, Inc. (the “Company”). | ea0206313-8k_applieduv.htm |
| 2024-05-17 | 8-K | 2024-05-14 | 3.01 Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing; 5.02 Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers | 3.01 On May 15, 2024, the Company received a written notice (the “Notice”) from The Nasdaq Stock Market LLC (“Nasdaq”) dated May 15, 2024, indicating that, as a result of Eugene Burleson’s resignation from the Board of Directors of the Company (“Board”), the audit committee of the Board (the “Audit Committee”), effective May 7, 2024, the Company is not currently in compliance with Nasdaq Listing Rule 5605, which requires that the Audit Committee is comprised of at least three independent directors. 5.02 On May 14, 2024, the Board of Directors (“Board”) of Applied UV, Inc. appointed Christopher Kochuba as a member of the Audit Committee and compensation committee of the Board effective as of May 14, 2024. | ea0206315-8k_applied.htm |
| 2024-05-09 | 8-K | 2024-04-24 | 5.02 Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers | 5.02 On April 24, 2024, Applied UV, Inc. (the “Company”) accepted the resignation of Brian Stern as a member of the Board of Directors of the Company (“Board”) effective as of April 24, 2024. | ea0205708-8k_applieduv.htm |
| 2024-04-19 | 8-K | 2024-04-17 | 4.01 Changes in Registrant's Certifying Accountant | 4.01 On April 17, 2024, Mazars USA LLP (“Mazars”) advised Applied UV, Inc., a Nevada corporation (the “Company”), that Mazars will cease to act as the Company’s independent registered public accounting firm, effective with the filing of the Company’s Quarterly Report on Form 10-Q for the period ended March 31, 2024 and no later than May 31, 2024. | ea0204313-8k_applieduv.htm |
| 2024-04-05 | 8-K/A | 2024-03-27 | 1.01 Entry into a Material Definitive Agreement | 1.01 Entry into a Material Definitive Agreement. | ea0203285-8ka1_appli.htm |
| 2024-04-02 | 8-K | 2024-03-27 | 1.01 Entry into a Material Definitive Agreement; 3.02 Unregistered Sales of Equity Securities; 3.03 Material Modification to Rights of Security Holders; 8.01 Other Events | 1.01 Entry into a Material Definitive Agreement. 3.02 The disclosures set forth in Item 1.01 of this Current Report on Form 8-K (this “Report”) are hereby incorporated by reference into this Item 3.02. 3.03 The disclosures set forth in Item 1.01 of this “Report” are hereby incorporated by reference into this Item 3.03. 8.01 On March 27, 2024, the Company issued a press release announcing the pricing of the offering. | ea0203185-8k_applied.htm |
| 2024-03-15 | 8-K | 2024-03-10 | 1.01 Entry into a Material Definitive Agreement; 2.03 Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant | 1.01 Entry into a Material Definitive Agreement. 2.03 The disclosure provided in Item 1.01 of this Current Report on Form 8-K is hereby incorporated by reference into this Item 2.03. | ea0201945-8k_applieduv.htm |
| 2024-02-15 | 8-K | 2024-02-14 | 5.02 Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers | 5.02 On February 14, 2024, the Board appointed Christopher Kobucha, as a member of the Board, effective as of February 14, 2024. | ea193885-8k_applieduv.htm |
| 2023-12-18 | 8-K | 2023-12-12 | 3.03 Material Modification to Rights of Security Holders; 5.03 Amendments to Articles of Incorporation or Bylaws; Change in Fiscal Year; 8.01 Other Events | 3.03 To the extent required by Item 3.03 of Form 8-K, the information contained in Item 5.03 of this Current Report on Form 8-K is incorporated herein by reference. 5.03 Applied UV, Inc. (the “Company”) filed a Certificate of Change to the Company’s Articles of Incorporation with the Secretary of State of the State of Nevada (the “Certificate of Change”) to effect a 1-for-25 reverse stock split (the “reverse stock split”) of the shares of the Company’s common stock, par value $0.0001 per share (the “Common Stock”), on December 12, 2023, and simultaneously decrease the total number of authorized shares of Common Stock at the same ratio as the reverse stock split. 8.01 On December 8, 2023, the Company issued a press release announcing the reverse stock split. | auvi121423form8k.htm |
| 2023-11-17 | 8-K | 2023-11-14 | 1.01 Entry into a Material Definitive Agreement; 8.01 Other Events | 1.01 Entry into a Material Definitive Agreement. 8.01 On November 14, 2023, the Company issued a press release announcing the pricing of the Offering. | auvi111723form8k.htm |
| 2023-11-01 | 8-K | 2023-10-25 | 1.01 Entry into a Material Definitive Agreement; 3.03 Material Modification to Rights of Security Holders | 1.01 Entry into Material Definitive Agreement. 3.03 The information set forth under Item 1.01 of this Current Report on Form 8-K is incorporated by referenced into this Item 3.03. | auvi110123form8k.htm |
| 2023-08-28 | 8-K | 2023-08-23 | 3.01 Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing | 3.01 On August 23, 2023, Applied UV, Inc. (the “Company”) received a letter from the Nasdaq Listing Qualifications Staff of The Nasdaq Stock Market LLC (“Nasdaq”) therein stating that for the 30 consecutive business day period between July 12, 2023 through August 22, 2023, the common stock of the Company had not maintained a minimum closing bid price of $1.00 per share required for continued listing on The Nasdaq Capital Market pursuant to Nasdaq Listing Rule 5550(a)(2) (the “Bid Price Rule”). | auvi082323form8k.htm |
| 2023-06-23 | 8-K | 2023-06-19 | 8.01 Other Events | 8.01 On June 19, 2023, the Board of Directors of Applied UV, Inc (“Applied UV” or the “Company”) temporarily suspended the Company’s: (i) monthly $0.21875 dividend on its 10.5% Series A Cumulative Perpetual Preferred Stock (“Series A Preferred Stock”), commencing with the July dividend, that would have been paid on July 17, 2023; (ii) quarterly $0.03 dividend on its 2% Series B Cumulative Perpetual Preferred Stock (“Series B Preferred Stock”), commencing with the dividend for the quarter ending June 30, 2023, that would have been paid on July 17, 2023; and (iii) quarterly $0.0625 dividend on its 5% Series C Cumulative Perpetual Preferred Stock (“Series C Preferred Stock”), commencing with the dividend for the quarter ending June 30, 2023, that that would have been paid on July 17, 2023. | auvi062323form8k.htm |
| 2023-05-30 | 8-K | 2023-05-24 | 3.03 Material Modification to Rights of Security Holders; 5.03 Amendments to Articles of Incorporation or Bylaws; Change in Fiscal Year; 5.07 Submission of Matters to a Vote of Security Holders; 7.01 Regulation FD Disclosure | 3.03 To the extent required by Item 3.03 of Form 8-K, the information contained in Item 5.03 of this Current Report on Form 8-K is incorporated herein by reference. 5.03 Applied UV, Inc. (the “Company”) filed a Certificate of Amendment to the Company’s Certificate of Incorporation with the Secretary of State of the State of Delaware (the “Certificate of Amendment”) to effect a 1-for-5 reverse stock split (the “reverse stock split”) of the shares of the Company’s common stock, par value $0.0001 per share (the “Common Stock”), on May 30, 2023. 5.07 The Company convened its virtual Annual Stockholder Meeting (the “Meeting”) on May 24, 2023 at 1:00 p.m. 7.01 On May 30, 2023, the Company issued a press release announcing the anticipated completion of the reverse stock split. | auvi052323form8k.htm |
| 2023-04-14 | 8-K | 2023-04-13 | 3.01 Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing | 3.01 On April 13, 2023, Applied UV, Inc. (the “Company”) received a letter from the Nasdaq Listing Qualifications Staff of The Nasdaq Stock Market LLC (“Nasdaq”) therein stating that for the 30 consecutive business day period between March 1, 2023 through April 12, 2023, the common stock of the Company had not maintained a minimum closing bid price of $1.00 per share required for continued listing on The Nasdaq Capital Market pursuant to Nasdaq Listing Rule 5550(a)(2) (the “Bid Price Rule”). | auvi041423form8k.htm |
| 2023-04-10 | 8-K/A | 2023-01-26 | 9.01 Financial Statements and Exhibits | 9.01 (b) Pro forma financial information. | auvi041023form8ka.htm |
| 2023-03-09 | 8-K | 2023-03-03 | 5.02 Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers | 5.02 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.. | auvi030923form8k.htm |
| 2023-02-28 | 8-K | 2023-02-27 | 5.02 Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers | 5.02 On February 27, 2023, Monica L. Woo, informed the board of directors (the “Board”) of Applied UV, Inc. (the “Company”) of her resignation as a member of the Board, effective immediately. | auvi022723form8k.htm |
| 2023-02-13 | 8-K/A | 2023-01-26 | 9.01 Financial Statements and Exhibits | 9.01 (a) Financial statements of businesses acquired. | auvi021023form8ka.htm |
| 2023-02-07 | 8-K | 2023-02-01 | 5.02 Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers | 5.02 On February 1, 2023, the Board of Directors (the “Board”) of Applied UV, Inc. (the “Company”) appointed Brian Stern as a director of the Board. | auvi020723form8k.htm |
| 2023-02-02 | 8-K/A | 2023-01-25 | 9.01 Financial Statements and Exhibits | auvi020223form8ka.htm | |
| 2023-02-02 | 8-K/A | 2023-01-26 | 8.01 Other Events | auvi020223form8ka.htm | |
| 2023-02-01 | 8-K | 2023-01-25 | 2.01 Completion of Acquisition or Disposition of Assets; 3.02 Unregistered Sales of Equity Securities; 3.03 Material Modification to Rights of Security Holders; 5.03 Amendments to Articles of Incorporation or Bylaws; Change in Fiscal Year; 7.01 Regulation FD Disclosure | 2.01 The information set forth under the Introductory Note is incorporated by reference into this Item 2.01. 3.02 The issuance of the Common Stock, the Series B Preferred Stock and the Series C Preferred Stock areis exempt from registration under the Securities Act of 1933, as amended (the “Securities Act”). 3.03 On January 25, 2023, the Company filed the Certificate of Designations, Rights, and Preferences for the Series B Preferred Stock with the Secretary of State of the State of Delaware, which became effective upon acceptance for record. 5.03 The disclosures set forth in Item 3.03 above are incorporated by reference into this Item 5.03. 7.01 On January 26, 2023, the Company issued a press release announcing the Closings. | auvi020123form8k.htm |
| 2023-01-31 | 8-K | 2023-01-25 | 1.01 Entry into a Material Definitive Agreement | 1.01 Entry into a Material Definitive Agreement. | auvi013123form8k.htm |
| 2023-01-11 | 8-K | 2023-01-05 | 1.01 Entry into a Material Definitive Agreement | 1.01 Entry into a Material Definitive Agreement. | auvi011123form8k.htm |
| 2022-12-28 | 8-K/A | 2022-12-09 | 1.01 Entry into a Material Definitive Agreement; 2.03 Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant | 1.01 Entry into a Material Definitive Agreement. | auvi122722form8ka.htm |
| 2022-12-23 | 8-K | 2022-12-19 | 5.02 Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers | 5.02 On December 19, 2022, Mr. John Andrews resigned as a member of the Board of Directors of Applied UV, Inc. (the “Company”) and the Chief Executive Officer of the Company. | auvi122322form8k.htm |
| 2022-12-20 | 8-K | 2022-12-19 | 1.01 Entry into a Material Definitive Agreement; 3.02 Unregistered Sales of Equity Securities | 1.01 Entry into a Material Definitive Agreement. 3.02 With respect to the Equity Merger Consideration to be issued pursuant to the Merger Agreements and the exemption from registration under the Securities Act for the issuance of such shares, the disclosures set forth in Item 1.01 above are incorporated by reference into this Item 3.02. | auvi122022form8k.htm |
| 2022-12-15 | 8-K | 2022-12-09 | 1.01 Entry into a Material Definitive Agreement; 2.03 Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant | 1.01 Entry into a Material Definitive Agreement. 2.03 The Disclosure provided in Item 1.01 of this Form 8-K is hereby incorporated by reference into this Item 2.03. | auvi121522form8k.htm |
| 2022-10-14 | 8-K | 2022-10-07 | 1.01 Entry into a Material Definitive Agreement | 1.01 Entry into a Material Definitive Agreement. | auvi101422form8k.htm |
| 2022-08-17 | 8-K | 2022-08-15 | 8.01 Other Events | 8.01 On August 15, 2022, Applied UV, Inc. (the “Company”) announced that its wholly-owned subsidiary, SteriLumen, Inc., has filed a lawsuit in the amount of $20 million against Aeroclean Technologies, Inc. (NASDAQ: AERC) and its predecessor, Aeroclean Technologies, LLC, for trademark infringement, unfair competition and damaging Sterilumen. | auvi081722form8k.htm |
| 2022-07-18 | 8-K | 2022-07-12 | 8.01 Other Events | 8.01 On July 12, 2022, the Applied UV, Inc. (the “Company”) Registration Statement No. 333-266015 on Form S-3 (the “Registration Statement”) was declared effective by the Securities Exchange Commission (the “SEC”). | auvi071822form8k.htm |
| 2022-07-14 | 8-K/A | 2022-07-13 | 3.02 Unregistered Sales of Equity Securities | 3.02 On July 11, 2022, the Board of Directors of Applied UV, Inc. (the “Company”) approved the reissuance of 8,000 shares of the Company’s Series X Super Voting Preferred Stock (the “Super Voting Preferred Stock”) to The Munn Family 2020 Irrevocable Trust, for which Max Munn, the founder, a director and President of the Company is the trustee, which represent the remainder of the designated but unissued shares of Super Voting Preferred Stock. | auvi071422form8ka.htm |
| 2022-07-13 | 8-K | 2022-07-13 | 3.02 Unregistered Sales of Equity Securities | 3.02 On January 11, 2022, the Board of Directors of Applied UV, Inc. (the “Company”) approved the reissuance of 8,000 shares of the Company’s Series X Super Voting Preferred Stock (the “Super Voting Preferred Stock”) to The Munn Family 2020 Irrevocable Trust, for which Max Munn, the founder, a director and President of the Company is the trustee, which represent the remainder of the designated but unissued shares of Super Voting Preferred Stock. | auvi071322form8k.htm |
| 2022-05-23 | 8-K | 2022-05-17 | 5.02 Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers; 5.07 Submission of Matters to a Vote of Security Holders | 5.02 On May 17, 2022, Alastair Clemow resigned from the board of directors of Applied UV, Inc. (the “Company”). 5.07 The Company convened its virtual Annual Stockholder Meeting (the “Meeting”) on May 17, 2022 at 1:00 p.m. | auvi052322form8k.htm |
| 2022-04-22 | 8-K | 2022-04-18 | 1.01 Entry into a Material Definitive Agreement | 1.01 Entry into a Material Definitive Agreement. | auvi042222form8k.htm |
| 2022-04-08 | 8-K | 2022-04-06 | 1.01 Entry into a Material Definitive Agreement; 5.02 Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers | 1.01 Entry into a Material Definitive Agreement. 5.02 On April 6, 2022, the Board of Directors (the “Board”) of Applied UV, Inc. (the “Company”) appointed John F. Andrews as a director of the Board. | auvi040822form8k.htm |
| 2022-03-31 | 8-K | 2022-03-25 | 1.01 Entry into a Material Definitive Agreement | 1.01 Entry into a Material Definitive Agreement. | auvi033022form8k.htm |
| 2022-02-23 | 8-K | 2022-02-23 | 5.08 Shareholder Director Nominations; 8.01 Other Events | 5.08 To the extent applicable, the information in Item 8.01 of this Form 8-K is incorporated by reference into this Item 5.08. 8.01 On February 23, 2022, the Board of Directors of Applied UV, Inc. (the “Company”) established May 17, 2022 as the date of the Company’s 2022 Annual Meeting of Stockholders (the “2022 Annual Meeting”), March 21, 2022 as the record date for the 2022 Annual Meeting and a virtual-only meeting format beginning at 1:00 p.m. | auvi22321form8k.htm |
| 2022-01-18 | 8-K | 2022-01-13 | 3.01 Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing | 3.01 On January 13, 2022, Applied UV, Inc. (the “Company”) received a letter from Nasdaq (“Nasdaq”) indicating that the Company is not in compliance with Nasdaq Rule 5620 that requires a newly listed company to hold an annual meeting of stockholders within one-year after its first fiscal year-end following listing because the Company did not hold an annual meeting in calendar year 2021. | auvi011822form8k.htm |
| 2022-01-03 | 8-K | 2021-12-28 | 1.01 Entry into a Material Definitive Agreement; 8.01 Other Events | 1.01 Entry into a Material Definitive Agreement. 8.01 On December 28, 2021, the Company issued a press release announcing that it had priced the underwritten public offering described in Item 1.01 of this Current Report. | auvi010322form8k.htm |
| 2021-12-28 | 8-K | 2021-12-22 | 5.02 Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers | 5.02 On December 23, 2021, James Alecxih, the Chief Executive Officer and a Director of the Board of Directors (the “Board”) of Applied UV, Inc. (the “Company”) resigned effective immediately. | auvi122721form8k.htm |
| 2021-12-10 | 8-K | 2021-12-07 | 1.01 Entry into a Material Definitive Agreement; 5.02 Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers | 1.01 Entry into a Material Definitive Agreement. 5.02 On December 7, 2021, Keyoumars Saeed, the Chief Executive Officer and a Director of the Board of Directors (the “Board”) of Applied UV, Inc. (the “Company”) and the Chief Executive Officer of SteriLumen, Inc., a wholly owned subsidiary of the Company (“SteriLumen”), resigned effective immediately. | auvi120921form8k.htm |
| 2021-12-02 | 8-K | 2021-09-14 | 5.07 Submission of Matters to a Vote of Security Holders | 5.07 On September 14, 2021, the stockholders of Applied UV, Inc. (the “Company”) holding 5,000,000 shares of the Company’s common stock, constituting 53.1% of the Company’s issued and outstanding shares of common stock on September 14, 2021, consented to in writing to an amendment (the “Charter Amendment”) to the Company’s Certificate of Incorporation to increase its authorized preferred stock from 1,000,000 shares to 20,000,000 shares. | auvi120221form8k.htm |
| 2021-11-12 | 8-K/A | 2021-10-13 | 9.01 Financial Statements and Exhibits | 9.01 (a) Financial statements of businesses acquired. | auvi111221form8k.htm |
| 2021-11-12 | 8-K/A | 2021-09-28 | 9.01 Financial Statements and Exhibits | 9.01 (a) Financial statements of businesses acquired. | auvi111221form8k.htm |
| 2021-10-19 | 8-K | 2021-10-13 | 1.01 Entry into a Material Definitive Agreement; 2.01 Completion of Acquisition or Disposition of Assets; 3.02 Unregistered Sales of Equity Securities; 7.01 Regulation FD Disclosure | 1.01 Entry into a Material Definitive Agreement. 2.01 To the extent required by Item 2.01, the disclosure set forth in Item 1.01 above regarding the acquisition of assets pursuant to the APA is incorporated by reference into this Item 2.01. 3.02 To the extent required by Item 3.02, the disclosure set forth in Item 1.01 above regarding the issuance of shares of the Company’s common stock pursuant to the APA is incorporated by reference into this Item 3.02. 7.01 On October 14, 2021, we issued a press release announcing the acquisition and certain expected financial information regarding the Seller. | auvi101821form8k.htm |
| 2021-10-04 | 8-K | 2021-09-28 | 1.01 Entry into a Material Definitive Agreement; 2.01 Completion of Acquisition or Disposition of Assets; 3.02 Unregistered Sales of Equity Securities | 1.01 Entry into a Material Definitive Agreement. 2.01 To the extent required by Item 2.01, the disclosure set forth in Item 1.01 above regarding the acquisition of assets pursuant to the APA is incorporated by reference into this Item 2.01. 3.02 To the extent required by Item 3.02, the disclosure set forth in Item 1.01 above regarding the issuance of shares of the Company’s common stock pursuant to the APA is incorporated by reference to this Item 3.02. | auvi100121form8k.htm |
| 2021-08-02 | 8-K | 2021-07-29 | 8.01 Other Events | 8.01 On July 29, 2021, the Company issued a press release announcing that in connection with its previously announced public offering of its 10.5% Series A Cumulative Perpetual Preferred Stock, par value $0.0001 per share, it had closed the exercise of the underwriter’s overallotment option of 72,000 shares at $25.00 per share. | auvi080221form8k.htm |
| 2021-07-19 | 8-K | 2021-07-13 | 1.01 Entry into a Material Definitive Agreement; 3.03 Material Modification to Rights of Security Holders; 8.01 Other Events | 1.01 Entry into a Material Definitive Agreement. 3.03 On July 13, 2021, the Company filed the Certificate of Designation (“Certificate of Designation”) for the Series A Preferred Stock with the Secretary of State of the State of Delaware, which became effective upon acceptance for record. 8.01 On July 13, 2021, the Company issued a press release announcing that it had priced the underwritten public offering described in Item 1.01 of this Current Report. | auvi071621form8k.htm |
| 2021-06-17 | 8-K | 2021-06-11 | 4.01 Changes in Registrant's Certifying Accountant | 4.01 On June 11, 2021, Applied UV, Inc. (the “Company”) notified Adeptus Partners LLC (“Adeptus”) of its dismissal as the Company’s independent registered public accounting firm. | auvi061721form8k.htm |
| 2021-04-20 | 8-K/A | 2021-02-08 | 9.01 Financial Statements and Exhibits | 9.01 (b) Pro forma financial information. | auvi042021form8ka.htm |
| 2021-04-20 | 8-K | 2021-04-05 | 1.01 Entry into a Material Definitive Agreement | 1.01 Entry into a Material Definitive Agreement. | auvi042021form8k.htm |
| 2021-03-30 | 8-K | 2021-03-25 | 4.02 Non-Reliance on Previously Issued Financial Statements or a Related Audit Report or Completed Interim Review | 4.02 On March 25, 2021, Adeptus Partners LLC, the independent registered public accounting firm for Applied UV, Inc. (the “Company”), informed the Audit Committee of the Board of Directors of the Company, that the Company’s consolidated audited financial statements for the fiscal year ended December 31, 2019 (the “2019 Financial Statements”) and the consolidated financial statements for the interim periods ended March 31, 2020, June 30, 2020 and September 30, 2020 (the “2020 Interim Financial Statements” and together with the 2019 Financial Statements, the “Affected Financial Statements” and the periods for which the Affected Financial Statements relate are collectively referred to herein as, the "Non-Reliance Periods") contained errors and should be restated. | auvi032221form8k.htm |
| 2021-03-10 | 8-K | 2021-03-04 | 5.02 Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers | 5.02 On March 4, 2021, Applied UV, Inc. (the “Company”) entered into an employment agreement (the “Employment Agreement”) with its President, Mr. Max Munn, pursuant to which Mr. Munn will continue to serve as the President of the Company and the Manager and Chief Executive Officer of the Company’s wholly owned subsidiary, Munn Works LLC. | auvi031021form8k.htm |
| 2021-02-11 | 8-K | 2021-02-08 | 1.01 Entry into a Material Definitive Agreement; 2.01 Completion of Acquisition or Disposition of Assets; 3.02 Unregistered Sales of Equity Securities; 7.01 Regulation FD Disclosure | 1.01 Entry into a Material Definitive Agreement. 2.01 To the extent required by Item 2.01, the disclosure set forth in Item 1.01 above regarding the acquisition of assets pursuant to the APA is incorporated by reference into this Item 2.01. 3.02 To the extent required by Item 3.02, the disclosure set forth in Item 1.01 above regarding the issuance of shares of the Company’s common stock pursuant to the APA is incorporated by reference to this Item 3.02. 7.01 On February 9, 2021, we issued a press release announcing the acquisition and certain expected financial information regarding the Seller. | auvi021021form8k.htm |
| 2020-12-14 | 8-K | 2020-12-08 | 1.01 Entry into a Material Definitive Agreement | 1.01 Entry into a Material Definitive Agreement. | tm2038470d1_8k.htm |
| 2020-11-13 | 8-K | 2020-11-10 | 1.01 Entry into a Material Definitive Agreement; 8.01 Other Events | 1.01 Entry into a Material Definitive Agreement. 8.01 On November 10, 2020, the Company issued a press release announcing that it had priced the underwritten public offering described in Item 1.01 of this Current Report. | tm2035914-1_8k.htm |
| 2020-09-03 | 8-K | 2020-08-31 | 1.01 Entry into a Material Definitive Agreement; 8.01 Other Events | 1.01 Entry into a Material Definitive Agreement. 8.01 On August 31, 2020, the Company issued a press release announcing that it had priced the initial public offering described in Item 1.01 of this Current Report. | tm2030196d1_8k.htm |