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
  1. 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.
  2. 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.
  3. Shares beneficially owned by Brian L. Pessin. Norman H. Pessin and Sandra F. Pessin expressly disclaim beneficial ownership of such shares.
  4. Sandra F. Pessin converted 851 shares of Series B Preferred Stock into 121,571 shares of Common Stock on September 27, 2022.
  5. Sandra F. Pessin purchased 333,334 shares of Common Stock through a private placement on September 30, 2022.