0001781002-20-000016.txt : 20200212 0001781002-20-000016.hdr.sgml : 20200212 20200212163005 ACCESSION NUMBER: 0001781002-20-000016 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20200212 DATE AS OF CHANGE: 20200212 SUBJECT COMPANY: 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 FILING VALUES: FORM TYPE: SC 13G/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-89751 FILM NUMBER: 20604582 BUSINESS ADDRESS: STREET 1: 6622 SOUTHPOINT DRIVE S STREET 2: SUITE 310 CITY: JACKSONVILLE STATE: FL ZIP: 32216 BUSINESS PHONE: 904-296-2807 MAIL ADDRESS: STREET 1: 6622 SOUTHPOINT DRIVE S STREET 2: SUITE 310 CITY: JACKSONVILLE STATE: FL ZIP: 32216 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 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: Bleichroeder LP CENTRAL INDEX KEY: 0001781002 IRS NUMBER: 842006600 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G/A 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 SC 13G/A 1 f28671328g.htm DUOS - 13G

UNITED STATES SECURITIES AND

EXCHANGE COMMISSION

Washington, D.C. 20549

 

 

Schedule 13G

 

 

Under the Securities Exchange Act of 1934

(Amendment No. 2)

 

 

 

 

Duos Technologies Group, Inc.

(Name of Issuer)

 

 

Common Shares

(Title of Class of Securities)

 

266042209

(CUSIP Number)

 

 

December 31, 2019

(Date of Event which Requires Filing of this Statement)

 

 

Check the appropriate box to designate the rule pursuant to which this Schedule is filed:

 

☑       Rule 13d-1 (b)

☑       Rule 13d-1 (c)

☐       Rule 13d-1 (d)

 

*The remainder of this cover page shall be filled out for a reporting person's initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter the disclosures provided in a prior cover page.

 

The information required in the remainder of this cover page shall not be deemed to be "filed" for the purpose of Section 18 of the Securities Exchange Act of 1934 ("Act") or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act (however, see the Notes).

 

 

 

 

SCHEDULE 13G/A

 

 

Issuer: Duos Technologies Group, Inc.: 266042209

 

1NAMES OF REPORTING PERSONS I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS

 

Bleichroeder LP

 

 

2CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP

(a) ☐

(b) ☐

 

 

3SEC USE ONLY

 

 

4CITIZENSHIP OR PLACE OF ORGANIZATION

 

State of Delaware

 

NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH:

 

5 SOLE VOTING POWER - 330,354

6 SHARED VOTING POWER - 0

7 SOLE DISPOSITIVE POWER - 330,354

8 SHARED DISPOSITIVE POWER - 0

 

9AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

 

330,354

 

 

10CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES

 

N/A

 

 

11       PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9:

 

16.68%

 

 

12TYPE OF REPORTING PERSON

 

IA

 

 

 

 

SCHEDULE 13G/A

 

Issuer: Duos Technologies Group, Inc. CUSIP No.: 266042209

 

 

ITEM 1

 

(a)Name of Issuer: Duos Technologies Group, Inc.

 

(b)Address of Issuer's Principal Executive Offices:

 

6622 Southpoint Drive S, Suite 310

Jacksonville, FL 32216

 

ITEM 2

 

(a)Name of Person Filing: Bleichroeder LP

 

(b)Address of Principal Business Office:

 

1345 Avenue of the Americas, 47th Floor

New York, NY 10105

 

(c)Citizenship: Delaware, USA (Place of Incorporation)

 

(d)Title of Class of Securities:

 

Common Shares

 

(e)CUSIP No.: 266042209

 

ITEM 3

 

If this statement is filed pursuant to Sections 240. 13d-1(b), or 240.13d-2(b) or (c), check whether the person filing is a:

 

(a) ☐ Broker or dealer registered under Section 15 of the Act (15 U.S.C. 78o);
     
(b) ☐ Bank as defined in section 3(a)(6) of the Act (15 U.S.C. 78c);
     
(c) ☐ Insurance Company as defined in section 3(a)(19) of the Act (15 U.S.C. 78C);
     
(d) ☐ Investment company registered under Section 8 of the Investment Company Act if 1940 (15 U.S.C. 80a-8);
     
(e) ☑ An investment adviser in accordance with Section 240.13d-1(b)(1)(ii)(E);
     
(f) ☐ An employee benefit plan or endowment fund in accordance with Section 240.13d-1(b)(1)(ii)(F);
     
(g) ☐ A parent holding company or control person in accordance with Section 240.13d-1(b)(1)(ii)(G);
     
(h) ☐ A savings associations as defined in Section 3(b) of the Federal Deposit Insurance Act (12 U.S.C. 1813);
     
(i) ☐ A church plan that is excluded from the definition of an insurance company under Section 3 (c)(14) of the Investment Company Act of 1940 (15 U.S.C. 80a-3);
     
(j) ☐ Group, in accordance with section 240.13d-1 (b)(1)(ii)(J).

 

 

 

 

SCHEDULE 13G/A

 

Issuer: Duos Technologies Group, Inc. CUSIP No.: 266042209

 

ITEM 4.Ownership.

 

See cover page.

 

 

ITEM 5. Ownership of Five Percent or Less of a Class.

 

N/A

 

 

ITEM 6. OWNERSHIP OF MORE THAN FIVE PERCENT ON BEHALF OF ANOTHER PERSON

 

Bleichroeder LP (Bleichroeder), an investment adviser registered under Section 203 of the Investment Advisers Act of 1940, is deemed to be the beneficial owner of 330,354 shares, or 16.68%, of the common stock ("Common Stock") believed to be outstanding, as a result of acting as investment adviser to various clients. The 330,354 shares includes 285,712 shares of Common Stock and 44,624 shares of Common Stock issuable upon exercise of warrants. Clients of Bleichroeder have the right to receive and the ultimate power to direct the receipt of dividends from, or the proceeds of the sale of, such securities. 21 April Fund, Ltd.,a Cayman Islands company for which Bleichroeder acts as investment adviser, may be deemed to beneficially own 260,161 of these 330,354 shares, which equates to 13.14% of the Common Stock believed to be outstanding. 21 April Fund, LP, a Delaware limited partnership for which Bleichroeder acts as an investment adviser, may be deemed to beneficially own 70,193 of these 330,354 shares, which equates to 3.54% of the Common Stock believed to be outstanding.

 

ITEM 7. IDENTIFICATION AND CLASSIFICATION OF THE SUBSIDIARY WHICH ACQUIRED THE SECURITY BEING REPORTED ON BY THE PARENT HOLDING COMPANY OR CONTROL PERSON.

 

N/A

 

 

ITEM 8. Identification and Classification of Members of the Group.

 

N/A

 

 

ITEM 9. Notice of Dissolution of Group

 

N/A

 

 

 

 

SCHEDULE 13G/A

 

Issuer: Duos Technologies Group, Inc. CUSIP No.: 266042209

 

 

ITEM 10. Certification

 

By signing below I certify that, to the best of my knowledge and belief, the securities referred to above were acquired and are held in the ordinary course of business and were not acquired and are not held for the purpose of or with the effect of changing or influencing the control of the issuer of such securities and were not acquired and are not held in connection with or as a participant in any transaction having that purpose or effect, other than activities solely in connection with a nomination under Section 240.14a-11.

 

 

 

 

SIGNATURE

 

After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct.

 

Date: February 12, 2020
   
Signature: /s/ Michael M. Kellen
   
Name/Title: Michael M. Kellen, Chairman And CO-CEO