MUNN MAX enters APPLIED UV, INC. with 5M shares plus derivative instruments
Holding both equity and derivatives at entry signals strong long-term conviction in the company.
Indirect Derivatives
Filed: 9/29/2020ACC: 0001104659-20-109775
DirectorOfficer10% Owner· President
Since Aug 2020
5M
Baseline shares
0.00
Direct ownership
0 positions
81K
Derivative underlying
3 instruments
2
Security positions
5M indirect
Non-Derivative Holdings2
Common Stock
IndirectShares owned5M
Series A Preferred Stock
IndirectShares owned2K
Total
5M indirect5M
| Security Title | Shares Owned | Ownership Type |
|---|---|---|
| Common Stock | 5M | Indirect |
| Series A Preferred Stock | 2K | Indirect |
| Total | 5M | 5M indirect |
Derivative Holdings3
Warrant (Right to Buy)
DirectUnderlying security
Common Stock
Underlying shares
80K
Shares owned
N/A
Exercise price
Expiration
—
Exercise window
—
Non-Qualified Stock Option (Right to Buy)
DirectUnderlying security
Common Stock
Underlying shares
500.00
Shares owned
N/A
Exercise price
Expiration
—
Exercise window
—
Non-Qualified Stock Option (Right to Buy)
DirectUnderlying security
Common Stock
Underlying shares
500.00
Shares owned
N/A
Exercise price
Expiration
—
Exercise window
—
Total
Underlying
81K
Owned
0.00
| Security | Underlying | Exercise Price | Exercise Window | Expiration | Underlying Shares | Shares Owned |
|---|---|---|---|---|---|---|
| Warrant (Right to Buy) Direct | Common Stock | — | — | 80K | N/A | |
| Non-Qualified Stock Option (Right to Buy) Direct | Common Stock | — | — | 500.00 | N/A | |
| Non-Qualified Stock Option (Right to Buy) Direct | Common Stock | — | — | 500.00 | N/A | |
| Total | 81K | 0.00 | ||||