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Filing Details

Accession Number:: 0001140361-21-030352
Form Type:: 4
Zero Holdings:: No
Publication Time:: 2021-09-03 14:47:37
Reporting Period:: 2020-02-13

Accepted Time:: 2021-09-03 14:47:37
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	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	310 E. 75Th Street Apartment 2A New York NY 10021	No	No	No	No

Reported Non-Derivative Transactions

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Sec. Name	Acquisiton - Disposition	Date	Amount	Price	Remaning Holdings	Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
Common Stock	Acquisiton	2020-02-13	58,300	$6.00	102,972	No	4	P	Direct

Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
No	4	P	Direct

Reported Non-Derivative Holdings

Sec. Name	Remaning Holdings	Nature of Ownership	Explanation
Common Stock	71,430	Direct
Common Stock	75,002	Direct

Reported Derivative Holdings

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Sec. Name	Sec. Type	Price	Date	Expiration Date	Amount	Remaning Holdings	Nature of Ownership
Common Stock	Series B Convertible Preferred Stock	$7.00			243,572	1,705	Direct

Expiration Date	Amount	Remaning Holdings	Nature of Ownership
	243,572	1,705	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.
The Series B Convertible Preferred Stock ("Preferred Stock") is not currently exercisable due to a 4.99% beneficial ownership limitation with respect to Common Stock owned by Sandra F. Pessin, affiliates of Sandra F. Pessin or members of a Group with Sandra F. Pessin. Such 4.99% beneficial ownership limitation can be increased to 9.99%. The Preferred Stock has no stated maturity date.
Sandra F. Pessin owns 1,705 shares of Preferred Stock convertible into 243,572 shares of Common Stock.