Current Report Filing (8-k)
08 2월 2023 - 7:16AM
Edgar (US Regulatory)
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2023-02-01
2023-02-01
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2023-02-01
2023-02-01
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2023-02-01
2023-02-01
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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) February
1, 2023
APPLIED UV, INC.
(Exact name of registrant as specified in its charter)
Delaware |
|
001-39480 |
|
84-4373308 |
(State or other jurisdiction
of Incorporation) |
|
(Commission
File Number) |
|
(IRS Employer
Identification Number) |
150 N. Macquesten Parkway
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:
Title of each class |
|
Trading symbol(s) |
|
Name of each exchange on which
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 |
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.
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. The term of the Company’s directors, including Mr. Stern, expires at the annual meeting of stockholders to be held in May
2023 or upon the election and qualification of successor directors.
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.
|
APPLIED UV, INC. |
|
|
|
Date: February 7, 2023 |
By: |
/s/Michael Riccio |
|
|
Michael Riccio |
|
|
Chief Financial Officer |
Applied UV (NASDAQ:AUVIP)
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