Applied UV, Inc.: directors' dealings · United States · SEC (Form 4)

About Applied UV, Inc.

Applied UV, Inc. (ticker: AUVI) is a U.S.-listed company traded on the NASDAQ, operating in the intersection of infection control, air purification, smart-building solutions, and specialty lighting. The company was formed in 2019 in Delaware as a holding company built around SteriLumen and MunnWorks, and it later expanded through acquisitions and internal integration of additional product lines and operating assets. Its corporate base is in the United States, with historical references in SEC filings to Mount Vernon, New York, and its current structure as a U.S. holding company. ([sec.gov](https://www.sec.gov/Archives/edgar/data/1811109/000160706221000068/auvi123120form10k.htm?utm_source=openai)) Operationally, Applied UV focuses on technologies designed to reduce pathogens in air and on surfaces. Its core capabilities center on narrow-range UV-C, catalytic bioconversion for air purification, and automated disinfection systems. The company serves end markets such as healthcare, hospitality, commercial buildings, municipalities, and residential or other indoor environments where air-quality and hygiene management are important. Its portfolio includes fixed, mobile, and HVAC-integrated disinfection systems, alongside LED lighting and premium hospitality furnishings through MunnWorks. In recent disclosures, management has also positioned the company as a smart-building technology provider, signaling an effort to broaden the platform beyond a single-technology story. ([sec.gov](https://www.sec.gov/Archives/edgar/data/1811109/000160706221000672/ex99_1.htm?utm_source=openai)) From a competitive standpoint, Applied UV relies on a mix of proprietary technology, targeted product branding, and channel partnerships. SEC filings reference strategic alliances with Canon, Acuity, Johnson Controls, USHIO, Siemens, and Grainger, as well as a global distribution network spanning many countries and a U.S. sales force. That channel footprint gives the company reach into institutional and commercial customers rather than mass retail channels. The business has also built product branding around names such as Airocide and Lumicide, creating cross-selling opportunities across air purification, surface disinfection, and hospitality-related offerings. ([sec.gov](https://www.sec.gov/Archives/edgar/data/1811109/000160706223000168/auvi123122form10k.htm?utm_source=openai)) Recent notable developments include an announced operational restructuring aimed at simplifying the corporate structure, improving gross margin, and supporting organic growth, as well as a March-April 2024 financing transaction to raise capital under Nasdaq rules. These events underscore that Applied UV remains in a rebuilding and execution phase, with emphasis on cost discipline, product commercialization, and balance-sheet flexibility. For investors, AUVI should be viewed as a U.S. micro-cap growth-and-turnaround name exposed to execution risk, funding risk, and dilution, but with thematic exposure to indoor air quality, disinfection, and smart-building demand. ([nasdaq.com](https://www.nasdaq.com/press-release/applied-uv-announces-operational-efficiencies-to-simplify-corporate-structure?utm_source=openai))