Page 1

FORM 10 - K ANNUAL REPORT PURSUANT TO SECTION 13 OR 15 ( d ) OF THE SECURITIES EXCHANGE ACT OF 1934 Delaware ( State or Other Jurisdiction of Incorporation or Organization ) Title of Each Class Common Stock , par value $ 0.0001 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington , D.C. 20549 APPLIED UV , INC . ( Exact name of registrant as specified in its charter ) 150 N. Macquesten Parkway Mount Vernon , NY 10550 ( Address of registrant's principal executive offices ) Registrant's telephone number : ( 914 ) 665-6100 Securities registered pursuant to Section 12 ( b ) of the Act : Trading Symbol AUVI Large accelerated filer Non - accelerated filer Emerging Growth Company Indicate by check mark if the registrant is a well - known seasoned issuer , as defined in Rule 405 of the Securities Act . 84-4373308 ( I.R.S. Employer Identification No. ) Indicate by check mark if the registrant is not required to file reports pursuant to Section 13 or Section 15 ( d ) of the Act . Name of each exchange on which registered The Nasdaq Stock Market LLC 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 . Accelerated filer Smaller reporting company Yes : □ No : + Yes : 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 ) . 1 Yes : No : Indicate by check mark whether the registrant is a large accelerated filer , an accelerated filer , a non - accelerated filer , a 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 . Yes : No : 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 Rule12b - 2 of the Act ) . Yes : □ No : + The aggregate market value of the voting and non - voting common stock held by non - affiliates of the registrant as of June 30 , 2020 : N / A . At March 30 , 2021 , the registrant had 9,339,984 shares of common stock , par value $ 0.0001 per share , outstanding .