0001781002-24-000038.txt : 20240724 0001781002-24-000038.hdr.sgml : 20240724 20240724101845 ACCESSION NUMBER: 0001781002-24-000038 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20240722 FILED AS OF DATE: 20240724 DATE AS OF CHANGE: 20240724 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Bleichroeder LP CENTRAL INDEX KEY: 0001781002 ORGANIZATION NAME: STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-39227 FILM NUMBER: 241136696 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] ORGANIZATION NAME: 06 Technology 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 X0508 4 2024-07-22 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 Warrants to Purchase Common Stock 3 2024-07-22 4 P 0 300000 A 2024-07-22 2029-07-22 Common Stock 300000 300000 I See footnote On July 22, 2024, in connection with the issuance of promissory notes to 21 April Fund, Ltd. and 21 April Fund, LP by DUOS Technologies Group, Inc. (the "Issuer"), 21 April Fund, Ltd. and 21 April Fund, LP were issued an aggregate of 300,000 warrants ("Warrants") to acquire Common Stock of the Issuer at an exercise price of $3.00 per share of Common Stock, subject to adjustment in certain circumstances. Exercise of the Warrants is subject to a Beneficial Ownership Limitation (as defined therein) of 9.99% of the number of shares of Common Stock outstanding immediately after giving effect to the issuance of shares of Common Stock issuable upon exercise of the Warrants. 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 2024-07-24