Pessin Norman H's Form 4 filing
Duos Technologies Group, Inc. (DUOT) · filed Sep 3, 2021
- Accession no.
- 0001140361-21-030354
- Filed
- Sep 3, 2021, 2:51 PM ET
- Trade date
- Feb 26, 2021
- Filing delay
- 189 daysLate
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 2 derivative transactions. It was filed 189 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.
This filing has no transactions of this kind.
Derivative securities (Table II)
Options, warrants, restricted stock units and similar. Shares are the underlying shares; price and value are for the derivative itself, and the holding after is in derivative units.
| Trade date | Security | Transaction | Underlying shares | Unit price | Value | Held after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Feb 26, 2021 | Common Stock | PPurchaseAcquired | +272,727 | $1,000.00 | +$1,500,000 | 1,500 | Direct | |
| Feb 26, 2021 | Common Stock | PPurchaseAcquired | +90,909 | $1,000.00 | +$500,000 | 500 | 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.
No transaction price on this filing refers to a footnote.