---
schema_version: "secwatch.filing_event.v1"
accession: "0001213900-24-029453"
form_type: "8-K"
ticker: null
cik: "0001811109"
company_name: "Applied UV, Inc."
filed_at: "2024-04-02T23:59:59+00:00"
generated_at: "2026-06-04T03:45:33.783225+00:00"
event_type: "other_material"
sentiment: "neutral"
materiality_score: 0.6
calibrated_materiality_score: 0.6
confidence: "high"
source: SEC EDGAR
---

# Applied UV raises $2.76M via stock & warrants at $1.60; net $2.4M for working capital

## Summary
- Gross proceeds $2.76M from sale of 1,726,875 shares/pre-funded warrants plus 518,065 private warrants at $16.
- Net proceeds ~$2.4M after placement agent fees and expenses.
- Use of proceeds to fund large orders from Siemens, Sherwin Williams, and Arco Murray.
- Pre-funded warrants exercise at $0.0001; common warrants expire in 5.5 years from April 1, 2024.
- Placement agent Aegis Capital; lock-up periods for insiders through December 2024.

## SEC filing metadata
- accession: 0001213900-24-029453
- form_type: 8-K
- cik: 0001811109
- company_name: Applied UV, Inc.
- filed_at: 2024-04-02T23:59:59+00:00
- event_type: other_material
- sentiment: neutral
- materiality_score: 0.6
- calibrated_materiality_score: 0.6
- confidence: high
- sec_items: 1.01, 3.02, 3.03, 8.01, 9.01
- EDGAR index: https://www.sec.gov/Archives/edgar/data/1811109/000121390024029453/0001213900-24-029453-index.htm
- EDGAR primary document: https://www.sec.gov/Archives/edgar/data/1811109/000121390024029453/ea0203185-8k_applied.htm

## Machine-readable alternates
- HTML: https://secwatch.observer/filing/0001213900-24-029453
- JSON: https://secwatch.observer/filing/0001213900-24-029453.json
- Plain text: https://secwatch.observer/filing/0001213900-24-029453.txt

## Key facts
- Material Agreements
  Applied UV, Inc. entered into Placement Agency Agreement with Aegis Capital Corp. (the "Placement Agent") (effective 2024-03-27).
  - Action: entry
  - Agreement: underwriting
  - Counterparty: Aegis Capital Corp. (the "Placement Agent")
  - Effective: 2024-03-27
  source text: On March 27, 2024, the Company also entered into a placement agency agreement (the “Placement Agency Agreement”) with Aegis Capital Corp. (the “Placement Agent”) as the exclusive placement agent in connection with the offering.
  evidence_url: https://www.sec.gov/Archives/edgar/data/1811109/000121390024029453/0001213900-24-029453-index.htm
- Material Agreements
  Applied UV, Inc. entered into Securities Purchase Agreement with certain institutional investors (the "Purchasers") (effective 2024-03-27).
  - Action: entry
  - Agreement: equity purchase
  - Counterparty: certain institutional investors (the "Purchasers")
  - Effective: 2024-03-27
  source text: On March 27, 2024, Applied UV, Inc., a Nevada corporation (the “Company”), entered into a securities purchase agreement (the “Securities Purchase Agreement”) with certain institutional investors (the “Purchasers”)
  evidence_url: https://www.sec.gov/Archives/edgar/data/1811109/000121390024029453/0001213900-24-029453-index.htm
- Material Agreements
  Applied UV, Inc. entered into Registration Rights Agreement with the Purchasers (effective 2024-03-27).
  - Action: entry
  - Counterparty: the Purchasers
  - Effective: 2024-03-27
  source text: Pursuant to the Registration Rights Agreement entered into between the Company and the Purchasers on March 27, 2024 (the “Registration Rights Agreement”),
  evidence_url: https://www.sec.gov/Archives/edgar/data/1811109/000121390024029453/0001213900-24-029453-index.htm

This AI-assisted summary is a reading aid. Review the linked SEC EDGAR filing before relying on any specific claim.