0001140361-22-036627.txt : 20221007 0001140361-22-036627.hdr.sgml : 20221007 20221007154736 ACCESSION NUMBER: 0001140361-22-036627 CONFORMED SUBMISSION TYPE: 4/A PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20220927 FILED AS OF DATE: 20221007 DATE AS OF CHANGE: 20221007 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: PESSIN NORMAN H CENTRAL INDEX KEY: 0000923666 FILING VALUES: FORM TYPE: 4/A SEC ACT: 1934 Act SEC FILE NUMBER: 001-39227 FILM NUMBER: 221300694 MAIL ADDRESS: STREET 1: C/O LEVY, HARKINS & CO., INC. STREET 2: 366 MADISON AVENUE, 14TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10017 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Pessin Brian L. CENTRAL INDEX KEY: 0001582758 FILING VALUES: FORM TYPE: 4/A SEC ACT: 1934 Act SEC FILE NUMBER: 001-39227 FILM NUMBER: 221300693 MAIL ADDRESS: STREET 1: 310 EAST 75TH STREET STREET 2: APT. 2A CITY: NEW YORK STATE: NY ZIP: 10021 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: PESSIN SANDRA F CENTRAL INDEX KEY: 0000936979 FILING VALUES: FORM TYPE: 4/A SEC ACT: 1934 Act SEC FILE NUMBER: 001-39227 FILM NUMBER: 221300692 MAIL ADDRESS: STREET 1: C/O NORMAN PESSIN STREET 2: 366 MADISON AVENUE, 14TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10017 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: DUOS TECHNOLOGIES GROUP, INC. CENTRAL INDEX KEY: 0001396536 STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-PREPACKAGED SOFTWARE [7372] IRS NUMBER: 650493217 STATE OF INCORPORATION: FL FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 7660 CENTURION PARKWAY STREET 2: SUITE 100 CITY: JACKSONVILLE STATE: FL ZIP: 32256 BUSINESS PHONE: 904-296-2807 MAIL ADDRESS: STREET 1: 7660 CENTURION PARKWAY STREET 2: SUITE 100 CITY: JACKSONVILLE STATE: FL ZIP: 32256 FORMER COMPANY: FORMER CONFORMED NAME: DUOS TECHNOLOGY GROUP, INC. DATE OF NAME CHANGE: 20150710 FORMER COMPANY: FORMER CONFORMED NAME: INFORMATION SYSTEMS ASSOCIATES, INC. DATE OF NAME CHANGE: 20070416 4/A 1 form4.xml X0306 4/A 2022-09-27 2022-10-07 0001396536 DUOS TECHNOLOGIES GROUP, INC. DUOT 0000923666 PESSIN NORMAN H 400 E. 51ST STREET PH 31 NEW YORK NY 10022 true 0001582758 Pessin Brian L. 65 E. 76TH STREET APARTMENT 3DE NEW YORK NY 10021 true 0000936979 PESSIN SANDRA F 400 E. 51ST STREET PH 31 NEW YORK NY 10022 true Common Stock 57972 D Common Stock 2022-09-27 4 C 0 121571 7 A 887728 D Common Stock 2022-09-30 4 P 0 333334 3 A 1221062 D Common Stock 180911 D Series B Convertible Preferred Stock 7 2022-09-27 4 C 0 851 0 D Common Stock 121571 0 D 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. 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. Shares beneficially owned by Brian L. Pessin. Norman H. Pessin and Sandra F. Pessin expressly disclaim beneficial ownership of such shares. 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. Sandra F. Pessin purchased 333,334 shares of Common Stock through a private placement on September 30, 2022. /s/ Norman H. Pessin 2022-10-06 /s/ Sandra F. Pessin 2022-10-06 /s/ Brian L. Pessin 2022-10-06