Pessin Norman H 的 Form 4/A 修正申報
修正Duos Technologies Group, Inc.（DUOT），2022/10/7 申報
- 申報編號
- 0001140361-22-036627
- 申報時間
- 2022/10/7 15:47 ET
- 交易日
- 2022/9/27-9/30
- 申報延遲
- 10 天
- 10b5-1 計畫
- 表單沒有這欄（2023 年以前）
- 原始申報日
- 2022/10/7
這份申報列了 2 筆非衍生性交易、1 筆衍生性交易。公開市場買進合計 $100.0 萬。交易後 10 天申報。
這份修正申報取代了 0001140361-22-036596（2022/10/7 申報）。
申報人
一份 Form 4 可以有好幾位申報人，例如本人與他控制的基金。各交易表上顯示的是第一位。
| 申報人 | 與公司的關係 |
|---|---|
| Pessin Norman HCIK 0000923666 | 持股 10% 以上大股東 |
| Pessin Sandra FCIK 0000936979 | 持股 10% 以上大股東 |
| Pessin Brian L.CIK 0001582758 | 持股 10% 以上大股東 |
非衍生性證券（表 I）
普通股等股票的取得與處分，每一列是申報上的一筆。
| 交易日 | 證券 | 交易 | 股數 | 價格 | 金額 | 交易後持股 | 持有方式 | 旗標 |
|---|---|---|---|---|---|---|---|---|
| 2022/9/27 | Common Stock | C轉換取得 | +121,571 | $7.00 | +$850,997 | 887,728 | 直接 | |
| 2022/9/30 | Common Stock | P買進取得 | +333,334 | $3.00 | +$1,000,002 | 1,221,062 | 直接 |
衍生性證券（表 II）
選擇權、認股權證、限制型股票單位等。股數是標的股票的股數；單價與金額是衍生證券本身的價格，交易後持有是衍生證券的單位數。
| 交易日 | 證券 | 交易 | 標的股數 | 單價 | 金額 | 交易後持有 | 持有方式 | 旗標 |
|---|---|---|---|---|---|---|---|---|
| 2022/9/27 | Common Stock | C轉換處分 | −121,571 | $0.00 | $0 | 0 | 直接 |
附註與備註
本站收錄交易價格引用的附註、修正申報（Form 4/A）的全部附註，以及申報的備註。其他附註，例如間接持有的方式、交易計畫的細節，請看 SEC EDGAR 上的原文。
- 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.
- F2
Shares beneficially owned by Sandra F. Pessin, Norman H. Pessin's spouse. Norman H. Pessin expressly disclaims beneficial ownership of such shares except to the extent of his pecuniary interest therein.
- F3
Shares beneficially owned by Brian L. Pessin. Norman H. Pessin and Sandra F. Pessin expressly disclaim beneficial ownership of such shares.
- F4
Sandra F. Pessin converted 851 shares of Series B Preferred Stock into 121,571 shares of Common Stock on September 27, 2022. The Series B Preferred Stock has no stated maturity date.
- F5
Sandra F. Pessin purchased 333,334 shares of Common Stock through a private placement on September 30, 2022.