Notes: May 24, 2024, Applied UV, Inc. (the “Company”), and its wholly owned subsidiary, SteriLumen, Inc. (“SteriLumen”), filed voluntary petitions for relief under chapter 11 of title 11 of the United States Bankruptcy Code (the “Bankruptcy Code”) in the United States Bankruptcy Court for the District of New York (the “Bankruptcy Court”). The Company’s and SteriLumen’s chapter 11 cases (the “Chapter 11 Cases”) are being administered under the captions In re: Applied UV, Inc., Case No. 24-22462 and In re: Sterilumen, Inc., Case No. 24-22463, respectively. The Company and SteriLumen continue to operate their businesses as a “debtor-in-possession” under the jurisdiction of the Bankruptcy Court and in accordance with the applicable provisions of the Bankruptcy Code and orders of the Bankruptcy Court. The Company and SteriLumen are seeking approval of a variety of “first day” motions containing customary relief intended to enable the Company and SteriLumen to continue their ordinary course operations during the Chapter 11 Cases. <p> May 30, 2023 -- 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 stoc. The Common Stock was assigned a new CUSIP number (03828V402) following the reverse stock split.