Pessin Norman H's Form 4 filing
Duos Technologies Group, Inc. (DUOT) · filed Sep 3, 2021
- Accession no.
- 0001140361-21-030352
- Filed
- Sep 3, 2021, 2:47 PM ET
- Trade date
- Feb 13, 2020
- Filing delay
- 568 daysLate
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 1 non-derivative transaction. Open-market purchases total $349.8K. It was filed 568 days after the trade, past the 2-business-day deadline.
Reporting owners
A Form 4 can have several reporting owners, such as a person and a fund they control. Trade tables show the first one.
| Owner | Relationship to the company |
|---|---|
| Pessin Norman HCIK 0000923666 | 10% Owner |
| Pessin Sandra FCIK 0000936979 | 10% Owner |
| Pessin Brian L.CIK 0001582758 | 10% Owner |
Non-derivative securities (Table I)
Acquisitions and disposals of common stock and similar shares, one row per line on the filing.
| Trade date | Security | Transaction | Shares | Price | Value | Shares after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Feb 13, 2020 | Common Stock | PPurchaseAcquired | +58,300 | $6.00F1 | +$349,800 | 102,972 | Direct |
Footnotes and remarks
Livermore keeps the footnotes that transaction prices refer to, all footnotes of amendments (Form 4/A) and the filing's remarks. Other footnotes, such as how indirect holdings are held or the details of a trading plan, are only in the original on SEC EDGAR.
- F1
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.
Referenced by the price of 1 transaction in Table I.