Key facts
- This page summarizes Bleichroeder LP's Form 4 filing for DUOS TECHNOLOGIES GROUP, INC. (DUOT).
- 2 reported transactions and 1 derivative row are listed below.
- Accepted by SEC: 12 Jan 2022, 14:04.
Bleichroeder LP - 11 Jan 2022 Form 4 Insider Report for DUOS TECHNOLOGIES GROUP, INC. (DUOT)
- Reporting relationship
- 10%+ Owner
- Issuer ticker
- DUOT
- Reported as of
- 11 Jan 2022
- Net transaction value
- +$2,500,003
- SEC form
- 4
- Accepted by SEC
- 12 Jan 2022, 14:04:26 UTC
- Prior SEC filing
- 24 Jun 2021
- Next SEC filing
- 08 Feb 2022
- Source filing
- View source filing
- Reporting owner signature
- Michael M. Kellen, Chairman and CO-CEO of Bleichroeder LP
Source evidence
Original filing metadata and source links for verification.
5 source fields
Reporting owner
1 detail
Key filing fact
Bleichroeder LP filed Form 4 for DUOS TECHNOLOGIES GROUP, INC. (DUOT) on 12 Jan 2022.
Change
- Previous filing in this sequence was filed on 24 Jun 2021.
- Current net transaction value: +$2,500,003.
Research use
- This tells you what this filing adds before you inspect full transaction and derivative tables.
- You can trace every row back to the original SEC filing document.
Evidence
Filed on Form 4
View source filing
Ownership activity is grounded in SEC Form 4 disclosures.
Reported non-derivative transactions
Shares, units, or other non-derivative securities reported in this filing.
DUOT
transaction
Common Stock
Conversion of derivative security
- Transaction value
- $2,500,003
- Shares
- +454,546
- Change %
- +100%
- Price
- $5.50
- Shares after
- 908,162
- Date
- 11 Jan 2022
- Ownership
- See footnote
- Footnotes
- F1, F2
Reported derivative securities
Options, warrants, convertible securities, or similar derivative positions disclosed in the filing.
DUOT
transaction
Derivative
Series C Convertible Preferred Stock
Conversion of derivative security
- Transaction value
- $0
- Shares
- -2,500
- Change %
- -100%
- Price
- $0.000000*
- Shares after
- 0
- Date
- 11 Jan 2022
- Ownership
- See footnote
- Underlying class
- Common Stock
- Underlying amount
- 454,546
- Exercise price
- $5.50
- Footnotes
- F1, F2
* marks a reported price that did not pass the local price check.
Additional SEC filing notes
Filing notes and footnotes
Explanation of responses 2 footnotes
Footnote F1
On February 26, 2021, 21 April Fund, Ltd., 21 April Fund, LP and DUOS Technologies Group, Inc. (the "Issuer") entered into an agreement (the "Preferred Stock Agreement") under which 21 April Fund, Ltd. and 21 April Fund, LP purchased from the Issuer 2,500 shares of Series C Convertible Preferred Stock at a per share price of $1,000. Each share of Series C Convertible Preferred Stock is convertible into shares of Common Stock at a conversion price of $5.50. The conversion of the shares of Series C Convertible Preferred Stock is subject to a Beneficial Ownership Limitation (as defined in the agreement) of 19.9% of the number of shares of Common Stock outstanding immediately after giving effect to the issuance of shares of Common Stock issuable upon conversion.
Footnote F2
This form is filed by Bleichroeder LP. Bleichroeder LP serves as registered investment adviser to 21 April Fund, Ltd., 21 April Fund, LP and other managed accounts. Bleichroeder LP disclaims beneficial ownership of these securities except to the extent of their pecuniary interest therein, and this report shall not be deemed an admission that Bleichroeder LP is the beneficial owner of the securities for purposes of Section 16 or for any other purposes.