Pessin Norman H's Form 4 filing
Duos Technologies Group, Inc. (DUOT) · filed Oct 7, 2022
- Accession no.
- 0001140361-22-036596
- Filed
- Oct 7, 2022, 12:11 PM ET
- Trade date
- Sep 27-30, 2022
- Filing delay
- 10 daysLate
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 2 non-derivative transactions. Open-market purchases total $1.00M. It was filed 10 days after the trade, past the 2-business-day deadline.
This filing was later replaced by the amendment 0001140361-22-036627 (Oct 7, 2022). Trade tables on this site use the amended version.
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 |
|---|---|---|---|---|---|---|---|---|
| Sep 27, 2022 | Common Stock | CConversionAcquired | +121,571 | $7.00 | +$850,997 | 887,728 | Direct | |
| Sep 30, 2022 | Common Stock | PPurchaseAcquired | +333,334 | $3.00 | +$1,000,002 | 1,221,062 | 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.