--- schema_version: "secwatch.filing_event.v1" accession: "0001607062-23-000302" form_type: "8-K" ticker: null cik: "0001811109" company_name: "Applied UV, Inc." filed_at: "2023-05-30T23:59:59+00:00" generated_at: "2026-06-14T11:52:25.492619+00:00" event_type: "other_material" sentiment: "neutral" materiality_score: 0.55 calibrated_materiality_score: 0.55 confidence: "high" source: SEC EDGAR --- # Applied UV to effect 1-for-5 reverse stock split to meet Nasdaq minimum bid price ## Summary - Reverse stock split at 1:5 ratio effective May 31, 2023; trading on Nasdaq with symbol AUVI. - Stockholders approved reverse split at May 24 annual meeting; CEO set ratio at 1:5. - No change to authorized shares or par value; fractional shares cashed out. - Equity awards, warrants, and convertible notes proportionally adjusted. - New CUSIP 03828V402; intended to regain compliance with $1 minimum bid price. ## SEC filing metadata - accession: 0001607062-23-000302 - form_type: 8-K - cik: 0001811109 - company_name: Applied UV, Inc. - filed_at: 2023-05-30T23:59:59+00:00 - event_type: other_material - sentiment: neutral - materiality_score: 0.55 - calibrated_materiality_score: 0.55 - confidence: high - sec_items: 3.03, 5.03, 5.07, 7.01, 9.01 - EDGAR index: https://www.sec.gov/Archives/edgar/data/1811109/000160706223000302/0001607062-23-000302-index.htm - EDGAR primary document: https://www.sec.gov/Archives/edgar/data/1811109/000160706223000302/auvi052323form8k.htm ## Machine-readable alternates - HTML: https://secwatch.observer/filing/0001607062-23-000302 - JSON: https://secwatch.observer/filing/0001607062-23-000302.json - Plain text: https://secwatch.observer/filing/0001607062-23-000302.txt ## Key facts - Governance Changes Applied UV, Inc.: Filed Certificate of Amendment to effect a 1-for-5 reverse stock split of common stock (effective 2023-05-30). - Change: charter amendment - Effective: 2023-05-30 source text: 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. evidence_url: https://www.sec.gov/Archives/edgar/data/1811109/000160706223000302/0001607062-23-000302-index.htm - Shareholder Votes Applied UV, Inc. shareholders approved To approve an amendment to our certificate of incorporation to effect a reverse stock split of our common stock at a reverse stock split ratio ranging from 2:1 to 5:1, inclusive, as determined by the Chief Executive Officer in his sole discretion. at the 2023-05-24 meeting. - Proposal: reverse split - Outcome: passed - Meeting: 2023-05-24 source text: 2. Proposal No. 2 – To approve an amendment to our certificate of incorporation to effect a reverse stock split of our common stock at a reverse stock split ratio ranging from 2:1 to 5:1, inclusive, as determined by the Chief Executive Officer in his sole discretion. For Against Abstain Broker Non-Vote 20,177,841 1,009,170 54,184 — evidence_url: https://www.sec.gov/Archives/edgar/data/1811109/000160706223000302/0001607062-23-000302-index.htm - Shareholder Votes Applied UV, Inc. shareholders approved To ratify and approve the appointment of Mazars USA LLP as the Company’s independent auditors for the fiscal year ending December 31, 2023. at the 2023-05-24 meeting. - Proposal: auditor ratification - Outcome: passed - Meeting: 2023-05-24 source text: 3. Proposal No. 3 - To ratify and approve the appointment of Mazars USA LLP as the Company’s independent auditors for the fiscal year ending December 31, 2023. For Against Abstain Broker Non-Vote 20,851,385 534,551 427,321 — evidence_url: https://www.sec.gov/Archives/edgar/data/1811109/000160706223000302/0001607062-23-000302-index.htm - Shareholder Votes Applied UV, Inc. shareholders approved To approve the adjournment of the Annual Meeting, if necessary or appropriate, to solicit additional proxies. at the 2023-05-24 meeting. - Outcome: passed - Meeting: 2023-05-24 source text: 4. Proposal No. 4 – To approve the adjournment of the Annual Meeting, if necessary or appropriate, to solicit additional proxies. For Against Abstain Broker Non-Vote 20,380,722 765,265 95,210 — evidence_url: https://www.sec.gov/Archives/edgar/data/1811109/000160706223000302/0001607062-23-000302-index.htm - Shareholder Votes Applied UV, Inc. shareholders approved Election of directors at the 2023-05-24 meeting. - Proposal: director election - Outcome: passed - Meeting: 2023-05-24 source text: 1. Proposal No. 1 – Election of directors. The stockholders elected all five of the director nominees presented to the stockholders by the Company: Max Munn, Eugene Burleson, Dallas Hack, Joseph Luhukay and Brian Stern. All of the nominees elected were elected to serve one-year terms as directors until their successors are elected and qualified. Name For Withhold Broker Non-Vote Eugene Burleson 18,105,407 461,340 3,246,510 Dallas Hack 18,150,075 416,672 3,246,510 Max Munn 18,137,344 429,403 3,246,510 Joseph Luhukay 18,041,938 524,809 3,246,510 Brian Stern 18,166,461 400,286 3,246,510 evidence_url: https://www.sec.gov/Archives/edgar/data/1811109/000160706223000302/0001607062-23-000302-index.htm This AI-assisted summary is a reading aid. Review the linked SEC EDGAR filing before relying on any specific claim.