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