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