Applied UV, Inc. (AUVI)

Sector:
INDUSTRIALS
Industry:
ELECTRICAL EQUIPMENT
SIC:
ELECTRIC LIGHTING & WIRING EQUIPMENT
CEO:
Keyoumars Saeed
Employees:
26
150 N. MACQUESTEN PKWY, MOUNT VERNON, NY 10550
9292073751

The Company conducts all of its operations through SteriLumen and Munn Works. SteriLumen. SteriLumen was incorporated on December 8, 2016 in New York for the purpose of developing, designing and manufacturing disinfection systems, that eliminate pathogens that may cause healthcare-acquired infections (“HAIs”), for distribution and sale to facilities that have high customer or patient turnover such as hospitals, assisted living facilities, doctors’ offices and walk-in clinics as well as hotels, cruise lines, airplanes, schools, government buildings, commercial offices and other facilities that offer access to the public.

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Funds Holding AUVI (via 13F filings)

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*Shares are split adjusted
*Please note that if a filer hasn't submitted a 13F filing for a quarter then the filer's shares will be listed as "Sold All"

Mutual Funds Holding AUVI BETA

Active Schedule 13D and 13G filings

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Open Market Buys/Sells Last 60 Days

Open Market Buys (P)

20 Thousand total shares from 2 transactions

Open Market Sells (S)

none

Exercise Derivative Conversion (M)

none

Current/Former Insiders

Insider Name Type Last Reported Shares Held Last Reported Date Filings in past year

MUNN MAX PRESIDENT

  • Officer
  • Director
  • 10% Owner
5,171,352 2021-12-21 3

HAYMAN JOHN JAMES III INTERIM COO

  • Officer
203,057 2021-09-29 1

KANTER JOEL S

  • Director
17,500 2020-08-28 0

BAUER EUGENE A

  • Director
22,500 2020-08-28 0

CLEMOW ALASTAIR J

  • Director
22,500 2020-08-28 0

MUNN LAURIE

  • 10% Owner
5,002,000 2020-08-28 0

HACK DALLAS CHRISTIAN

  • Director
17,500 2020-08-28 0

SAEED KEYOUMARS CHIEF EXECUTIVE OFFICER

  • Officer
  • Director
89,308 2020-08-28 0

DOYLE JAMES CHIEF OPERATIONS OFFICER

  • Officer
38,275 2020-08-28 0

BURLESON EUGENE

  • Director
22,500 2020-08-28 0

Insider Transactions Last 60 Days

Reporting Owners Filing Date Trans Date Trans Code Shares Share Price Acquired
Disposed
Shares Owned after D/I 10b5 Perf 1d* Perf 5d* Perf 1m* Max Gain Max Gain Days Max Loss Max Loss Days

MUNN MAX - Director - Officer - > 10% Owner PRESIDENT

2021-12-22 17:53:33 -0500 2021-12-21 P 10,000 $5.01 a 5,020,000 direct -17.3038 -45.674 0.0 1 -47.4849 5

MUNN MAX - Director - Officer - > 10% Owner PRESIDENT

2021-12-20 12:38:43 -0500 2021-12-16 P 10,000 $4.15 a 5,010,000 direct 20.6161 -15.1659 20.6161 2 -15.1659 6

* -

Transaction Code Definitions
Code Definition
A Grant, award or other acquisition pursuant to Rule 16b-3(d)
C Conversion of derivative security
D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e)
E Expiration of short derivative position
F Payment of exercise price or tax liability by delivering or withholding securities incident to the receipt, exercise or vesting of a security issued in accordance with Rule 16b-3
G Bona fide gift
H Expiration (or cancellation) of long derivative position with value received
I Discretionary transaction in accordance with Rule 16b-3(f) resulting in acquisition or disposition of issuer securities
J Other acquisition or disposition
L Small acquisition under Rule 16a-6
M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3
O Exercise of out-of-the-money derivative security
P Open market or private purchase of non-derivative or derivative security
S Open market or private sale of non-derivative or derivative security
U Disposition pursuant to a tender of shares in a change of control transaction
W Acquisition or disposition by will or the laws of descent and distribution
X Exercise of in-the-money or at-the-money derivative security
Z Deposit into or withdrawal from voting trust

IBR Securities Loan Availability

Updated throughout the day, this shows the number of shares available to borrow. Data provided by Interactive Brokers

Security Date/Time Rebate Rate Fee Rate Shares Available
APPLIED UV INC AUVI 2022-01-19 22:15:03 UTC -31.8061 31.8761 350000
APPLIED UV INC AUVI 2022-01-19 21:45:03 UTC -31.8061 31.8761 350000
APPLIED UV INC AUVI 2022-01-19 21:15:04 UTC -31.8061 31.8761 350000
APPLIED UV INC AUVI 2022-01-19 20:45:03 UTC -31.8061 31.8761 350000
APPLIED UV INC AUVI 2022-01-19 20:15:03 UTC -31.8061 31.8761 350000
APPLIED UV INC AUVI 2022-01-19 19:45:03 UTC -31.8061 31.8761 350000
APPLIED UV INC AUVI 2022-01-19 19:15:03 UTC -31.8061 31.8761 350000
APPLIED UV INC AUVI 2022-01-19 18:45:03 UTC -31.8061 31.8761 350000
APPLIED UV INC AUVI 2022-01-19 18:15:03 UTC -31.8061 31.8761 350000
APPLIED UV INC AUVI 2022-01-19 17:45:03 UTC -31.8061 31.8761 350000
APPLIED UV INC AUVI 2022-01-19 17:15:04 UTC -31.8061 31.8761 350000
APPLIED UV INC AUVI 2022-01-19 16:45:03 UTC -32.4582 32.5282 350000
APPLIED UV INC AUVI 2022-01-19 16:15:03 UTC -32.4582 32.5282 350000
APPLIED UV INC AUVI 2022-01-19 15:45:03 UTC -32.4582 32.5282 350000
APPLIED UV INC AUVI 2022-01-19 15:15:03 UTC -32.4582 32.5282 250000
APPLIED UV INC AUVI 2022-01-19 14:45:03 UTC -32.6986 32.7686 150000
APPLIED UV INC AUVI 2022-01-19 14:15:03 UTC -32.6986 32.7686 150000
APPLIED UV INC AUVI 2022-01-19 13:45:03 UTC -32.6986 32.7686 150000
APPLIED UV INC AUVI 2022-01-19 13:15:03 UTC -32.6986 32.7686 150000
APPLIED UV INC AUVI 2022-01-19 12:45:03 UTC -32.6986 32.7686 150000

Current Active Short Positions

Holder Issuer Net Short Position Position Date Origin

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