Bleichroeder LP's Form 4 filing
Duos Technologies Group, Inc. (DUOT) · filed Nov 14, 2023
- Accession no.
- 0001781002-23-000043
- Filed
- Nov 14, 2023
- Trade date
- Nov 10, 2023
- Filing delay
- 4 days
- Rule 10b5-1 plan
- Not checked
This filing lists 3 derivative transactions. It was filed 4 days after the trade.
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 |
|---|---|
| Bleichroeder LPCIK 0001781002 | 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 |
|---|---|---|---|---|---|---|---|---|
| Nov 10, 2023 | Common Stock | SSaleDisposed | −806,452 | $1,000.00 | −$5,000,000 | 0 | Indirect | |
| Nov 10, 2023 | Common Stock | PPurchaseAcquired | +1,666,667 | $1,000.00 | +$5,000,000 | 9,000 | Indirect | |
| Nov 10, 2023 | Common Stock | PPurchaseAcquired | +833,333 | $1,000.00 | +$2,500,000 | 11,500 | Indirect |
Footnotes
Livermore does not store Form 4 footnotes. For price ranges, how indirect holdings are held and trading plan details, read the original on SEC EDGAR.