Filing Details
- Accession Number:
- 0001140361-22-036596
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2022-10-07 12:11:37
- Reporting Period:
- 2022-09-27
- Accepted Time:
- 2022-10-07 12:11:37
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1396536 | Duos Technologies Group Inc. | DUOT | () | 4 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 923666 | H Norman Pessin | 400 E. 51St Street Ph 31 New York NY 10022 | No | No | No | No | |
| 936979 | F Sandra Pessin | 400 E. 51St Street Ph 31 New York NY 10022 | No | No | No | No | |
| 1582758 | L. Brian Pessin | 65 E. 76Th Street Apartment 3De New York NY 10021 | No | No | No | No |
Reported Non-Derivative Transactions
| Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|---|---|---|---|---|---|
| Common Stock | Acquisiton | 2022-09-27 | 121,571 | $7.00 | 887,728 | No | 4 | C | Direct | |
| Common Stock | Acquisiton | 2022-09-30 | 333,334 | $3.00 | 1,221,062 | No | 4 | P | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | C | Direct | |
| No | 4 | P | Direct |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Common Stock | 57,972 | Direct | |
| Common Stock | 180,911 | Direct |
Footnotes
- This Form 4 is filed jointly by Norman H. Pessin, Brian L. Pessin and Sandra F. Pessin (collectively, the "Reporting Persons"). Each Reporting Person may be deemed to be a member of a Section 13(d) group that may be deemed to collectively beneficially own more than 10% of the Issuer's outstanding shares of common stock. Each Reporting Person disclaims beneficial ownership of the shares of common stock reported herein except to the extent of his or her pecuniary interest therein, and this report shall not be deemed to be an admission that any Reporting Person is the beneficial owner of such shares of common stock for purposes of Section 16 or for any other purpose.
- Shares beneficially owned by Sandra F. Pessin, Norman H. Pessin's spouse. Norman H. Pessin expressly disclaims beneficial ownership of such shares except to the extent of his pecuniary interest therein.
- Shares beneficially owned by Brian L. Pessin. Norman H. Pessin and Sandra F. Pessin expressly disclaim beneficial ownership of such shares.
- Sandra F. Pessin converted 851 shares of Series B Preferred Stock into 121,571 shares of Common Stock on September 27, 2022.
- Sandra F. Pessin purchased 333,334 shares of Common Stock through a private placement on September 30, 2022.
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