Amended Quarterly Report (10-q/a)
December 15 2020 - 5:01PM
Edgar (US Regulatory)
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM 10-Q/A
Amendment No. 1
x QUARTERLY
REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934
For the quarterly period ended September 30,
2020
¨ TRANSITION
REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934
For the transition period from ___________
to ___________
Commission File Number: 001-39480
APPLIED UV, INC.
|
(Exact name of registrant as specified in its charter)
|
Delaware
|
|
84-4373308
|
(State or other jurisdiction of incorporation)
|
|
(I.R.S. Employer Identification No.)
|
150
N. Macquesten Parkway
Mount Vernon, NY 10550
(Address of principal executive offices)
(914) 665-6100
(Registrant’s telephone number,
including area code)
Indicate by check mark whether the registrant
(1) has filed all reports required to be filed by Section 13 or 15(d) of the Securities Exchange Act of 1934 during
the preceding 12 months (or for such shorter period that the registrant was required to file such reports), and (2) has been
subject to such filing requirements for the past 90 days.
Yes x
No ¨
Indicate by check mark whether the registrant
has submitted electronically every Interactive Data File required to be submitted pursuant to Rule 405 of Regulation S-T (§232.405
of this chapter) during the preceding 12 months (or for such shorter period that the registrant was required to submit such files).
Yes x
No ¨
Indicate by check mark whether the registrant
is a large accelerated filer, an accelerated filer, a non-accelerated filer, smaller reporting company, or an emerging growth company.
See the definitions of “large accelerated filer,” “accelerated filer,” “smaller reporting company,”
and “emerging growth company” in Rule 12b-2 of the Exchange Act.
Large accelerated filer
|
¨
|
Accelerated filer
|
¨
|
Non-accelerated filer
|
x
|
|
|
Smaller reporting company
|
x
|
Emerging Growth Company
|
x
|
If an emerging growth company, indicate
by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial
accounting standards provided pursuant to Section 13(a) of the Exchange Act. ☐
Indicate by check mark whether the registrant
is a shell company (as defined in 12b-2 of the Exchange Act):
Yes ¨
No x
Securities registered pursuant to Section 12(b) of
the Act: None.
As of September 30, 2020, we have
6,334,308 shares of common stock issued and outstanding.
EXPLANATORY NOTE
This Amendment No.1 to our Quarterly Report
on Form 10-Q/A (the “10-Q/A”) amends the Quarterly Report on Form 10-Q for the quarter ended September 30, 2020,
as originally filed with the Securities and Exchange Commission on November 16, 2020 (the “Original Form 10-Q”).
The purpose of the 10-Q/A is to disclose financial information
and certain cover page information of the Original Form 10-Q in XBRL format, which were not disclosed in the Original Form 10-Q.
No additional changes, revisions, or updates have been made to the original Form 10-Q in this 10-Q/A. This Amendment No. 1 to the
Original Form 10-Q speaks as of the original filing date of the Original Form 10-Q, does not reflect events that may have occurred
subsequent to the original filing date.
ITEM 6. EXHIBITS
Index to Exhibits
_________________
* Previously included in the Original
Form 10-Q for the quarterly period ended September 30, 2020, filed with the Securities and Exchange Commission on November 16,
2020.
SIGNATURES
Pursuant to the requirements of the Securities
Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned thereunto duly authorized.
|
APPLIED UV, INC.
|
|
(Registrant)
|
|
|
|
Date: December 15, 2020
|
By:
|
/s/ Keyoumars Saeed
|
|
|
Keyoumars Saeed
|
|
|
Chief Executive Officer
|
|
|
|
Date: December 15, 2020
|
By:
|
/s/ Joseph Himy
|
|
|
Joseph Himy
|
|
|
Interim Chief Financial Officer
|
Applied UV (NASDAQ:AUVI)
Historical Stock Chart
From Apr 2024 to May 2024
Applied UV (NASDAQ:AUVI)
Historical Stock Chart
From May 2023 to May 2024