0001781002-23-000029.txt : 20230329
0001781002-23-000029.hdr.sgml : 20230329
20230329092304
ACCESSION NUMBER: 0001781002-23-000029
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20230327
FILED AS OF DATE: 20230329
DATE AS OF CHANGE: 20230329
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Bleichroeder LP
CENTRAL INDEX KEY: 0001781002
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-39227
FILM NUMBER: 23772115
BUSINESS ADDRESS:
STREET 1: 1345 AVENUE OF THE AMERICAS
STREET 2: 47TH FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10105
BUSINESS PHONE: 917-769-2999
MAIL ADDRESS:
STREET 1: 1345 AVENUE OF THE AMERICAS
STREET 2: 47TH FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10105
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
1
primary_doc.xml
PRIMARY DOCUMENT
X0407
4
2023-03-27
0
0001396536
DUOS TECHNOLOGIES GROUP, INC.
DUOT
0001781002
Bleichroeder LP
1345 AVENUE OF THE AMERICAS
47TH FLOOR
NEW YORK
NY
10105
0
0
1
0
0
Series E Convertible Preferred Stock
3
2023-03-27
4
P
0
1000
1000
A
Common Stock
1333334
4000
I
See footnote
On March 23, 2023, 21 April Fund, Ltd., 21 April Fund, LP, and DUOS Technologies Group, Inc. (the "Issuer") entered into an agreement (the "Securities Purchase Agreement") under which 21 April Fund, Ltd. and 21 April Fund, LP purchased from the Issuer 4000 shares of Series E Convertible Preferred Stock at a per share price of $1,000. Each share of Series E Convertible Preferred Stock is convertible into shares of Common Stock at a conversion price of $3.00. In accordance with the Certificate of Designation, conversion of these shares is subject to a Beneficial Ownership Limitation (as defined in the agreement) of 19.99% of the number of shares of Common Stock outstanding immediately after giving effect to the issuance of shares of Common Stock issuable upon conversion.
This form is filed by Bleichroeder LP. Bleichroeder LP serves as registered investment adviser to 21 April Fund, Ltd., 21 April Fund, LP and other managed accounts. Bleichroeder LP disclaims beneficial ownership of these securities except to the extent of their pecuniary interest therein, and this report shall not be deemed an admission that Bleichroeder LP is the beneficial owner of the securities for purposes of Section 16 or for any other purposes.
Michael M. Kellen, Chairman and CO-CEO of Bleichroeder LP
2023-03-28