<SEC-DOCUMENT>0001781002-24-000043.txt : 20240923
<SEC-HEADER>0001781002-24-000043.hdr.sgml : 20240923
<ACCEPTANCE-DATETIME>20240923181533
ACCESSION NUMBER:		0001781002-24-000043
CONFORMED SUBMISSION TYPE:	4
PUBLIC DOCUMENT COUNT:		1
CONFORMED PERIOD OF REPORT:	20240919
FILED AS OF DATE:		20240923
DATE AS OF CHANGE:		20240923

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:		241317240

	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
</SEC-HEADER>
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<SEQUENCE>1
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    <footnotes>
        <footnote id="F1">On September 19, 2024, DUOS Technologies Group, Inc. (the &quot;Issuer&quot;) and Bleichroeder LP, investment advisor to 21 April Fund, Ltd. and 21 April Fund, LP, agreed to amend (x) those certain 300,000 warrants (&quot;2024 Warrants&quot;) to acquire Common Stock at an exercise price of $3.00 per share and (y) those certain 44,644 warrants (the &quot;2019 Warrants&quot;) to acquire Common Stock at an exercise price of $0.55 per share (such number of shares and exercise price reflecting adjustments resulting from a 1-for-14 reverse stock split), in each case, to (i) remove 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 Common Stock upon exercise of the applicable warrants and (ii) amend the exercise price to $2.61 per share. On September 19, 2024, following the amendments of the 2024 Warrants and the 2019 Warrants, the Holders exercised the 2024 Warrants and the 2019 Warrants.</footnote>
        <footnote id="F2">On September 19, 2024, the Issuer agreed to reduce the conversion price for the Series E Convertible Preferred Stock from $3.00 to $2.61. Conversion of these shares is subject to a Beneficial Ownership Limitation 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.</footnote>
        <footnote id="F3">This form is filed by Bleichroeder LP. The securities reported herein are directly held by 21 April Fund, Ltd. and 21 April Fund, 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.</footnote>
    </footnotes>

    <ownerSignature>
        <signatureName>Michael M. Kellen, Chairman and Co-CEO of Bleichroeder, LP</signatureName>
        <signatureDate>2024-09-23</signatureDate>
    </ownerSignature>
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