Bleichroeder LP's Form 4 filing
Duos Technologies Group, Inc. (DUOT) · filed Jul 24, 2024
- Accession no.
- 0001781002-24-000038
- Filed
- Jul 24, 2024
- Trade date
- Jul 22, 2024
- Filing delay
- 2 days
- Rule 10b5-1 plan
- Not checked
This filing lists 1 derivative transaction. It was filed 2 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 |
|---|---|---|---|---|---|---|---|---|
| Jul 22, 2024 | Common Stock | PPurchaseAcquired | +300,000 | –F1 | – | 300,000 | Indirect |
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
On July 22, 2024, in connection with the issuance of promissory notes to 21 April Fund, Ltd. and 21 April Fund, LP by DUOS Technologies Group, Inc. (the "Issuer"), 21 April Fund, Ltd. and 21 April Fund, LP were issued an aggregate of 300,000 warrants ("Warrants") to acquire Common Stock of the Issuer at an exercise price of $3.00 per share of Common Stock, subject to adjustment in certain circumstances. Exercise of the Warrants is subject to a Beneficial Ownership Limitation (as defined therein) of 9.99% of the number of shares of Common Stock outstanding immediately after giving effect to the issuance of shares of Common Stock issuable upon exercise of the Warrants.
Referenced by the price of 1 transaction in Table II.