person · Reporting owner

Pessin Brian L.

Disclosed activity across 6 companies

Tapewire entity: 122701
SEC CIK: 0001582758

Reported relationships

Latest disclosed role at each company.

Company	Last reported as	Report date	Published
CHEMBIO DIAGNOSTICS, INC.CEMI · Entity 114014	See Explanation of Responses	August 16, 2016	June 29, 2017
DUOS TECHNOLOGIES GROUP, INC.DUOT · Entity 6044	10% owner	September 27, 2022	October 07, 2022
ICTV Brands Inc.ICTV · Entity 160269	See Explanation of Responses	December 31, 2016	February 13, 2017
IMMUCELL CORP /DE/ICCC · Entity 6837	See Explanation of Responses	July 27, 2017	July 28, 2017
LIQTECH INTERNATIONAL INCLIQT · Entity 7695	See Explanation of Responses	May 12, 2017	May 16, 2017
PRECISION OPTICS CORPORATION, INC.PEYE · Entity 7237	10% owner	October 31, 2022	November 02, 2022

Disclosed balances

About these balances

Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.

CHEMBIO DIAGNOSTICS, INC.

Report date August 16, 2016 · Filed June 29, 2017

Jointly reported with PESSIN NORMAN H

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Common StockSEC Table I · non-derivative	Direct	1,152,317	Last balance in matching sequence After 2017-06-28 transaction · row 3 Source-order balances reconcile. Account continuity and personal attribution are not independently verified. 3 source rows Row 1 · 2016-08-16 · Purchase · Acquired 27,000 · Balance 1,143,067 F1: This Form 4 is filed jointly by Norman H. Pessin and Brian Pessin (collectively, the "Reporting Persons"). Each Reporting Person may be deemed to be a member of a Section 13(d) group that may be deemed to collectively beneficially own more than 10% of the Issuer's outstanding shares of common stock. Each Reporting Person disclaims beneficial ownership of the shares of common stock reported herein except to the extent of his pecuniary interest therein, and this report shall not be deemed to be an admission that any Reporting Person is the beneficial owner of such shares of common stock for purposes of Section 16 or for any other purpose. F2: Brian Pessin expressly disclaims beneficial ownership of such shares except to the extent of his pecuniary interest therein. Row 2 · 2016-10-11 · Purchase · Acquired 3,000 · Balance 1,146,067 F1: This Form 4 is filed jointly by Norman H. Pessin and Brian Pessin (collectively, the "Reporting Persons"). Each Reporting Person may be deemed to be a member of a Section 13(d) group that may be deemed to collectively beneficially own more than 10% of the Issuer's outstanding shares of common stock. Each Reporting Person disclaims beneficial ownership of the shares of common stock reported herein except to the extent of his pecuniary interest therein, and this report shall not be deemed to be an admission that any Reporting Person is the beneficial owner of such shares of common stock for purposes of Section 16 or for any other purpose. F2: Brian Pessin expressly disclaims beneficial ownership of such shares except to the extent of his pecuniary interest therein. Row 3 · 2017-06-28 · Purchase · Acquired 6,250 · Balance 1,152,317 F1: This Form 4 is filed jointly by Norman H. Pessin and Brian Pessin (collectively, the "Reporting Persons"). Each Reporting Person may be deemed to be a member of a Section 13(d) group that may be deemed to collectively beneficially own more than 10% of the Issuer's outstanding shares of common stock. Each Reporting Person disclaims beneficial ownership of the shares of common stock reported herein except to the extent of his pecuniary interest therein, and this report shall not be deemed to be an admission that any Reporting Person is the beneficial owner of such shares of common stock for purposes of Section 16 or for any other purpose. F2: Brian Pessin expressly disclaims beneficial ownership of such shares except to the extent of his pecuniary interest therein.
Common StockSEC Table I · non-derivative	IndirectBy: Brian Pessin	131,072	Reported balance Holding disclosure · report date 2016-08-16 · row 4 Holding and transaction disclosures are not merged. 1 source row Row 4 · Balance 131,072 F1: This Form 4 is filed jointly by Norman H. Pessin and Brian Pessin (collectively, the "Reporting Persons"). Each Reporting Person may be deemed to be a member of a Section 13(d) group that may be deemed to collectively beneficially own more than 10% of the Issuer's outstanding shares of common stock. Each Reporting Person disclaims beneficial ownership of the shares of common stock reported herein except to the extent of his pecuniary interest therein, and this report shall not be deemed to be an admission that any Reporting Person is the beneficial owner of such shares of common stock for purposes of Section 16 or for any other purpose. F3: Shares beneficially owned by Brian Pessin. Norman H. Pessin expressly disclaims beneficial ownership of such shares except to the extent of his pecuniary interest therein.

Filing footnotes · ownership attribution and instrument terms

F1: This Form 4 is filed jointly by Norman H. Pessin and Brian Pessin (collectively, the "Reporting Persons"). Each Reporting Person may be deemed to be a member of a Section 13(d) group that may be deemed to collectively beneficially own more than 10% of the Issuer's outstanding shares of common stock. Each Reporting Person disclaims beneficial ownership of the shares of common stock reported herein except to the extent of his pecuniary interest therein, and this report shall not be deemed to be an admission that any Reporting Person is the beneficial owner of such shares of common stock for purposes of Section 16 or for any other purpose.

F2: Brian Pessin expressly disclaims beneficial ownership of such shares except to the extent of his pecuniary interest therein.

F3: Shares beneficially owned by Brian Pessin. Norman H. Pessin expressly disclaims beneficial ownership of such shares except to the extent of his pecuniary interest therein.

DUOS TECHNOLOGIES GROUP, INC.

Report date September 27, 2022 · Filed October 07, 2022 · Amendment

Jointly reported with PESSIN NORMAN H, PESSIN SANDRA F

Amendment: balances below belong to this corrected disclosure, not necessarily a complete replacement of earlier positions.

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Common StockSEC Table I · non-derivative	Direct	887,728	Reported balance After 2022-09-27 transaction · row 2 Amendment: may correct only part of an earlier disclosure. 1 source row Row 2 · 2022-09-27 · Conversion · Acquired 121,571 · Balance 887,728 F1: This Form 4 is filed jointly by Norman H. Pessin, Brian L. Pessin and Sandra F. Pessin (collectively, the "Reporting Persons"). Each Reporting Person may be deemed to be a member of a Section 13(d) group that may be deemed to collectively beneficially own more than 10% of the Issuer's outstanding shares of common stock. Each Reporting Person disclaims beneficial ownership of the shares of common stock reported herein except to the extent of his or her pecuniary interest therein, and this report shall not be deemed to be an admission that any Reporting Person is the beneficial owner of such shares of common stock for purposes of Section 16 or for any other purpose. F2: Shares beneficially owned by Sandra F. Pessin, Norman H. Pessin's spouse. Norman H. Pessin expressly disclaims beneficial ownership of such shares except to the extent of his pecuniary interest therein. F4: Sandra F. Pessin converted 851 shares of Series B Preferred Stock into 121,571 shares of Common Stock on September 27, 2022. The Series B Preferred Stock has no stated maturity date.
Common StockSEC Table I · non-derivative	Direct	1,221,062	Reported balance After 2022-09-30 transaction · row 3 Amendment: may correct only part of an earlier disclosure. 1 source row Row 3 · 2022-09-30 · Purchase · Acquired 333,334 · Balance 1,221,062 F1: This Form 4 is filed jointly by Norman H. Pessin, Brian L. Pessin and Sandra F. Pessin (collectively, the "Reporting Persons"). Each Reporting Person may be deemed to be a member of a Section 13(d) group that may be deemed to collectively beneficially own more than 10% of the Issuer's outstanding shares of common stock. Each Reporting Person disclaims beneficial ownership of the shares of common stock reported herein except to the extent of his or her pecuniary interest therein, and this report shall not be deemed to be an admission that any Reporting Person is the beneficial owner of such shares of common stock for purposes of Section 16 or for any other purpose. F2: Shares beneficially owned by Sandra F. Pessin, Norman H. Pessin's spouse. Norman H. Pessin expressly disclaims beneficial ownership of such shares except to the extent of his pecuniary interest therein. F5: Sandra F. Pessin purchased 333,334 shares of Common Stock through a private placement on September 30, 2022.
Common StockSEC Table I · non-derivative	Direct	57,972	Reported balance Holding disclosure · report date 2022-09-27 · row 1 Amendment: may correct only part of an earlier disclosure. 1 source row Row 1 · Balance 57,972 F1: This Form 4 is filed jointly by Norman H. Pessin, Brian L. Pessin and Sandra F. Pessin (collectively, the "Reporting Persons"). Each Reporting Person may be deemed to be a member of a Section 13(d) group that may be deemed to collectively beneficially own more than 10% of the Issuer's outstanding shares of common stock. Each Reporting Person disclaims beneficial ownership of the shares of common stock reported herein except to the extent of his or her pecuniary interest therein, and this report shall not be deemed to be an admission that any Reporting Person is the beneficial owner of such shares of common stock for purposes of Section 16 or for any other purpose.
Common StockSEC Table I · non-derivative	Direct	180,911	Reported balance Holding disclosure · report date 2022-09-27 · row 4 Amendment: may correct only part of an earlier disclosure. 1 source row Row 4 · Balance 180,911 F1: This Form 4 is filed jointly by Norman H. Pessin, Brian L. Pessin and Sandra F. Pessin (collectively, the "Reporting Persons"). Each Reporting Person may be deemed to be a member of a Section 13(d) group that may be deemed to collectively beneficially own more than 10% of the Issuer's outstanding shares of common stock. Each Reporting Person disclaims beneficial ownership of the shares of common stock reported herein except to the extent of his or her pecuniary interest therein, and this report shall not be deemed to be an admission that any Reporting Person is the beneficial owner of such shares of common stock for purposes of Section 16 or for any other purpose. F3: Shares beneficially owned by Brian L. Pessin. Norman H. Pessin and Sandra F. Pessin expressly disclaim beneficial ownership of such shares.
Series B Convertible Preferred StockSEC Table II · derivative / convertible security · Conversion / exercise price $7.00	Direct	0	Reported balance After 2022-09-27 transaction · row 5 Amendment: may correct only part of an earlier disclosure. 1 source row Row 5 · 2022-09-27 · Conversion · Disposed 851 · Balance 0 F4: Sandra F. Pessin converted 851 shares of Series B Preferred Stock into 121,571 shares of Common Stock on September 27, 2022. The Series B Preferred Stock has no stated maturity date.

Filing footnotes · ownership attribution and instrument terms

F1: This Form 4 is filed jointly by Norman H. Pessin, Brian L. Pessin and Sandra F. Pessin (collectively, the "Reporting Persons"). Each Reporting Person may be deemed to be a member of a Section 13(d) group that may be deemed to collectively beneficially own more than 10% of the Issuer's outstanding shares of common stock. Each Reporting Person disclaims beneficial ownership of the shares of common stock reported herein except to the extent of his or her pecuniary interest therein, and this report shall not be deemed to be an admission that any Reporting Person is the beneficial owner of such shares of common stock for purposes of Section 16 or for any other purpose.

F2: Shares beneficially owned by Sandra F. Pessin, Norman H. Pessin's spouse. Norman H. Pessin expressly disclaims beneficial ownership of such shares except to the extent of his pecuniary interest therein.

F3: Shares beneficially owned by Brian L. Pessin. Norman H. Pessin and Sandra F. Pessin expressly disclaim beneficial ownership of such shares.

F4: Sandra F. Pessin converted 851 shares of Series B Preferred Stock into 121,571 shares of Common Stock on September 27, 2022. The Series B Preferred Stock has no stated maturity date.

F5: Sandra F. Pessin purchased 333,334 shares of Common Stock through a private placement on September 30, 2022.

ICTV Brands Inc.

Report date December 31, 2016 · Filed February 13, 2017

Jointly reported with PESSIN DIANA S

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Common StockSEC Table I · non-derivative	IndirectBy: Brian L. Pessin	1,989,651	Reported balance After 2017-01-23 transaction · row 3 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes. 1 source row Row 3 · 2017-01-23 · Purchase · Acquired 882,353 · Balance 1,989,651 F1: This Form 5 is filed jointly by Diana S. Pessin and Brian L. Pessin (collectively, the "Reporting Persons"). Each Reporting Person may be deemed to be a member of a Section 13(d) group, along with Norman H. Pessin and Sandra F. Pessin, that may be deemed to collectively beneficially own more than 10% of the Issuer's outstanding shares of common stock. Each Reporting Person disclaims beneficial ownership of the shares of common stock reported herein except to the extent of his or her pecuniary interest therein, and this report shall not be deemed to be an admission that any Reporting Person is the beneficial owner of such shares of common stock for purposes of Section 16 or for any other purpose. F3: These shares were purchased on January 23, 2017 pursuant to a Securities Purchase Agreement with the Issuer and the other investors named therein (including Brian L. Pessin) entered into on October 4, 2016. F4: Shares beneficially owned by Brian L. Pessin, Diana S. Pessin's spouse, which include 73,458 shares which are held in trust for the benefit of his minor children, which trust Brian L. Pessin controls, and 94,300 shares which are controlled by Brian L. Pessin but held for the benefit of his minor children. Diana S. Pessin expressly disclaims beneficial ownership of such shares except to the extent of her pecuniary interest therein.
Common StockSEC Table I · non-derivative	Direct	5,000	Reported balance Holding disclosure · report date 2016-12-31 · row 1 Holding and transaction disclosures are not merged. 1 source row Row 1 · Balance 5,000 F1: This Form 5 is filed jointly by Diana S. Pessin and Brian L. Pessin (collectively, the "Reporting Persons"). Each Reporting Person may be deemed to be a member of a Section 13(d) group, along with Norman H. Pessin and Sandra F. Pessin, that may be deemed to collectively beneficially own more than 10% of the Issuer's outstanding shares of common stock. Each Reporting Person disclaims beneficial ownership of the shares of common stock reported herein except to the extent of his or her pecuniary interest therein, and this report shall not be deemed to be an admission that any Reporting Person is the beneficial owner of such shares of common stock for purposes of Section 16 or for any other purpose. F2: Brian L. Pessin expressly disclaims beneficial ownership of such shares except to the extent of his pecuniary interest therein.
Common StockSEC Table I · non-derivative	IndirectThrough IRA	52,200	Reported balance Holding disclosure · report date 2016-12-31 · row 2 Holding and transaction disclosures are not merged. 1 source row Row 2 · Balance 52,200 F1: This Form 5 is filed jointly by Diana S. Pessin and Brian L. Pessin (collectively, the "Reporting Persons"). Each Reporting Person may be deemed to be a member of a Section 13(d) group, along with Norman H. Pessin and Sandra F. Pessin, that may be deemed to collectively beneficially own more than 10% of the Issuer's outstanding shares of common stock. Each Reporting Person disclaims beneficial ownership of the shares of common stock reported herein except to the extent of his or her pecuniary interest therein, and this report shall not be deemed to be an admission that any Reporting Person is the beneficial owner of such shares of common stock for purposes of Section 16 or for any other purpose. F2: Brian L. Pessin expressly disclaims beneficial ownership of such shares except to the extent of his pecuniary interest therein.

Filing footnotes · ownership attribution and instrument terms

F1: This Form 5 is filed jointly by Diana S. Pessin and Brian L. Pessin (collectively, the "Reporting Persons"). Each Reporting Person may be deemed to be a member of a Section 13(d) group, along with Norman H. Pessin and Sandra F. Pessin, that may be deemed to collectively beneficially own more than 10% of the Issuer's outstanding shares of common stock. Each Reporting Person disclaims beneficial ownership of the shares of common stock reported herein except to the extent of his or her pecuniary interest therein, and this report shall not be deemed to be an admission that any Reporting Person is the beneficial owner of such shares of common stock for purposes of Section 16 or for any other purpose.

F2: Brian L. Pessin expressly disclaims beneficial ownership of such shares except to the extent of his pecuniary interest therein.

F3: These shares were purchased on January 23, 2017 pursuant to a Securities Purchase Agreement with the Issuer and the other investors named therein (including Brian L. Pessin) entered into on October 4, 2016.

F4: Shares beneficially owned by Brian L. Pessin, Diana S. Pessin's spouse, which include 73,458 shares which are held in trust for the benefit of his minor children, which trust Brian L. Pessin controls, and 94,300 shares which are controlled by Brian L. Pessin but held for the benefit of his minor children. Diana S. Pessin expressly disclaims beneficial ownership of such shares except to the extent of her pecuniary interest therein.

IMMUCELL CORP /DE/

Report date July 27, 2017 · Filed July 28, 2017

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Common StockSEC Table I · non-derivative	Direct	70,000	Reported balance After 2017-07-27 transaction · row 1 Account or security details depend on footnotes; rows are not merged. 1 source row Row 1 · 2017-07-27 · Purchase · Acquired 30,000 · Balance 70,000 F1: The Reporting Person may be deemed to be a member of a Section 13(d) group that may be deemed to collectively beneficially own more than 10% of the Issuer's outstanding shares of Common Stock.

Filing footnotes · ownership attribution and instrument terms

F1: The Reporting Person may be deemed to be a member of a Section 13(d) group that may be deemed to collectively beneficially own more than 10% of the Issuer's outstanding shares of Common Stock.

LIQTECH INTERNATIONAL INC

Report date May 12, 2017 · Filed May 16, 2017

Jointly reported with PESSIN SANDRA F, PESSIN NORMAN H

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Common StockSEC Table I · non-derivative	Direct	3,510,869	Reported balance Holding disclosure · report date 2017-05-12 · row 1 Holding and transaction disclosures are not merged. 1 source row Row 1 · Balance 3,510,869 F1: This Form 3 is filed jointly by Norman H. Pessin, Sandra F. Pessin and Brian Pessin (collectively, the "Reporting Persons"). Each Reporting Person may be deemed to be a member of a Section 13(d) group that may be deemed to collectively beneficially own more than 10% of the Issuer's outstanding shares of common stock. Each Reporting Person disclaims beneficial ownership of the shares of common stock reported herein except to the extent of his or her pecuniary interest therein, and this report shall not be deemed to be an admission that any Reporting Person is the beneficial owner of such shares of common stock for purposes of Section 16 or for any other purpose. F2: Norman H. Pessin and Brian Pessin each expressly disclaims beneficial ownership of such shares except to the extent of his pecuniary interest therein.
Common StockSEC Table I · non-derivative	IndirectBy: Norman H. Pessin	1,302,006	Reported balance Holding disclosure · report date 2017-05-12 · row 2 Holding and transaction disclosures are not merged. 1 source row Row 2 · Balance 1,302,006 F1: This Form 3 is filed jointly by Norman H. Pessin, Sandra F. Pessin and Brian Pessin (collectively, the "Reporting Persons"). Each Reporting Person may be deemed to be a member of a Section 13(d) group that may be deemed to collectively beneficially own more than 10% of the Issuer's outstanding shares of common stock. Each Reporting Person disclaims beneficial ownership of the shares of common stock reported herein except to the extent of his or her pecuniary interest therein, and this report shall not be deemed to be an admission that any Reporting Person is the beneficial owner of such shares of common stock for purposes of Section 16 or for any other purpose. F3: Shares beneficially owned by Norman H. Pessin, Sandra F. Pessin's spouse. Sandra F. Pessin and Brian Pessin each expressly disclaims beneficial ownership of such shares except to the extent of his or her pecuniary interest therein.
Common StockSEC Table I · non-derivative	IndirectBy: Brian Pessin	2,034,635	Reported balance Holding disclosure · report date 2017-05-12 · row 3 Holding and transaction disclosures are not merged. 1 source row Row 3 · Balance 2,034,635 F1: This Form 3 is filed jointly by Norman H. Pessin, Sandra F. Pessin and Brian Pessin (collectively, the "Reporting Persons"). Each Reporting Person may be deemed to be a member of a Section 13(d) group that may be deemed to collectively beneficially own more than 10% of the Issuer's outstanding shares of common stock. Each Reporting Person disclaims beneficial ownership of the shares of common stock reported herein except to the extent of his or her pecuniary interest therein, and this report shall not be deemed to be an admission that any Reporting Person is the beneficial owner of such shares of common stock for purposes of Section 16 or for any other purpose. F4: Shares beneficially owned by Brian Pessin. Sandra F. Pessin and Norman H. Pessin each expressly disclaims beneficial ownership of such shares except to the extent of his or her pecuniary interest therein.

Filing footnotes · ownership attribution and instrument terms

F1: This Form 3 is filed jointly by Norman H. Pessin, Sandra F. Pessin and Brian Pessin (collectively, the "Reporting Persons"). Each Reporting Person may be deemed to be a member of a Section 13(d) group that may be deemed to collectively beneficially own more than 10% of the Issuer's outstanding shares of common stock. Each Reporting Person disclaims beneficial ownership of the shares of common stock reported herein except to the extent of his or her pecuniary interest therein, and this report shall not be deemed to be an admission that any Reporting Person is the beneficial owner of such shares of common stock for purposes of Section 16 or for any other purpose.

F2: Norman H. Pessin and Brian Pessin each expressly disclaims beneficial ownership of such shares except to the extent of his pecuniary interest therein.

F3: Shares beneficially owned by Norman H. Pessin, Sandra F. Pessin's spouse. Sandra F. Pessin and Brian Pessin each expressly disclaims beneficial ownership of such shares except to the extent of his or her pecuniary interest therein.

F4: Shares beneficially owned by Brian Pessin. Sandra F. Pessin and Norman H. Pessin each expressly disclaims beneficial ownership of such shares except to the extent of his or her pecuniary interest therein.

PRECISION OPTICS CORPORATION, INC.

Report date October 31, 2022 · Filed November 02, 2022

Jointly reported with PESSIN NORMAN H, PESSIN SANDRA F

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Common StockSEC Table I · non-derivative	Direct	114,400	Reported balance After 2022-10-31 transaction · row 1 Holding and transaction disclosures are not merged. 1 source row Row 1 · 2022-10-31 · Purchase · Acquired 79,300 · Balance 114,400 F1: This Form 4 is filed jointly by Norman H. Pessin, Brian L. Pessin and Sandra F. Pessin (collectively, the "Reporting Persons"). Each Reporting Person may be deemed to be a member of a Section 13(d) group that may be deemed to collectively beneficially own more than 10% of the Issuer's outstanding shares of common stock. Each Reporting Person disclaims beneficial ownership of the shares of common stock reported herein except to the extent of his or her pecuniary interest therein, and this report shall not be deemed to be an admission that any Reporting Person is the beneficial owner of such shares of common stock for purposes of Section 16 or for any other purpose.
Common StockSEC Table I · non-derivative	Direct	1,432,084	Reported balance Holding disclosure · report date 2022-10-31 · row 2 Holding and transaction disclosures are not merged. 1 source row Row 2 · Balance 1,432,084 F1: This Form 4 is filed jointly by Norman H. Pessin, Brian L. Pessin and Sandra F. Pessin (collectively, the "Reporting Persons"). Each Reporting Person may be deemed to be a member of a Section 13(d) group that may be deemed to collectively beneficially own more than 10% of the Issuer's outstanding shares of common stock. Each Reporting Person disclaims beneficial ownership of the shares of common stock reported herein except to the extent of his or her pecuniary interest therein, and this report shall not be deemed to be an admission that any Reporting Person is the beneficial owner of such shares of common stock for purposes of Section 16 or for any other purpose. F2: Shares beneficially owned by Sandra F. Pessin, Norman H. Pessin's spouse. Norman H. Pessin expressly disclaims beneficial ownership of such shares except to the extent of his pecuniary interest therein.
Common StockSEC Table I · non-derivative	Direct	1,143,700	Reported balance Holding disclosure · report date 2022-10-31 · row 3 Holding and transaction disclosures are not merged. 1 source row Row 3 · Balance 1,143,700 F1: This Form 4 is filed jointly by Norman H. Pessin, Brian L. Pessin and Sandra F. Pessin (collectively, the "Reporting Persons"). Each Reporting Person may be deemed to be a member of a Section 13(d) group that may be deemed to collectively beneficially own more than 10% of the Issuer's outstanding shares of common stock. Each Reporting Person disclaims beneficial ownership of the shares of common stock reported herein except to the extent of his or her pecuniary interest therein, and this report shall not be deemed to be an admission that any Reporting Person is the beneficial owner of such shares of common stock for purposes of Section 16 or for any other purpose. F3: Shares beneficially owned by Brian L. Pessin. Norman H. Pessin and Sandra F. Pessin expressly disclaim beneficial ownership of such shares.

Filing footnotes · ownership attribution and instrument terms

F3: Shares beneficially owned by Brian L. Pessin. Norman H. Pessin and Sandra F. Pessin expressly disclaim beneficial ownership of such shares.

Transaction history

JSON API

Purchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”

The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.

Transaction date	Company	Activity / security	Shares / units	Reported price	Reported value	Details
October 31, 2022 Filed Nov 2, 2022 15:46 UTC	PRECISION OPTICS CORPORATION, INC. PEYE · Entity 7237	PurchaseCommon Stock	79,300	$1.91	$151,463.00	Disclosure SEC source: 0001140361-22-039503 · form4.xml · nonDerivative · entry 1 PESSIN NORMAN H · CIK 0000923666 · 10% owner Pessin Brian L. · CIK 0001582758 · 10% owner PESSIN SANDRA F · CIK 0000936979 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 114,400 F1 · security: This Form 4 is filed jointly by Norman H. Pessin, Brian L. Pessin and Sandra F. Pessin (collectively, the "Reporting Persons"). Each Reporting Person may be deemed to be a member of a Section 13(d) group that may be deemed to collectively beneficially own more than 10% of the Issuer's outstanding shares of common stock. Each Reporting Person disclaims beneficial ownership of the shares of common stock reported herein except to the extent of his or her pecuniary interest therein, and this report shall not be deemed to be an admission that any Reporting Person is the beneficial owner of such shares of common stock for purposes of Section 16 or for any other purpose. Read SEC document
September 30, 2022 Filed Oct 7, 2022 15:47 UTC Amendment	DUOS TECHNOLOGIES GROUP, INC. DUOT · Entity 6044	PurchaseCommon Stock	333,334	$3.00	$1,000,002.00	Disclosure SEC source: 0001140361-22-036627 · form4.xml · nonDerivative · entry 3 PESSIN NORMAN H · CIK 0000923666 · 10% owner Pessin Brian L. · CIK 0001582758 · 10% owner PESSIN SANDRA F · CIK 0000936979 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,221,062 F1 · security: This Form 4 is filed jointly by Norman H. Pessin, Brian L. Pessin and Sandra F. Pessin (collectively, the "Reporting Persons"). Each Reporting Person may be deemed to be a member of a Section 13(d) group that may be deemed to collectively beneficially own more than 10% of the Issuer's outstanding shares of common stock. Each Reporting Person disclaims beneficial ownership of the shares of common stock reported herein except to the extent of his or her pecuniary interest therein, and this report shall not be deemed to be an admission that any Reporting Person is the beneficial owner of such shares of common stock for purposes of Section 16 or for any other purpose. F2 · ownership.direct: Shares beneficially owned by Sandra F. Pessin, Norman H. Pessin's spouse. Norman H. Pessin expressly disclaims beneficial ownership of such shares except to the extent of his pecuniary interest therein. F5 · ownership.direct: Sandra F. Pessin purchased 333,334 shares of Common Stock through a private placement on September 30, 2022. Read SEC document
September 30, 2022 Filed Oct 7, 2022 12:11 UTC	DUOS TECHNOLOGIES GROUP, INC. DUOT · Entity 6044	PurchaseCommon Stock	333,334	$3.00	$1,000,002.00	Disclosure SEC source: 0001140361-22-036596 · form4.xml · nonDerivative · entry 3 PESSIN NORMAN H · CIK 0000923666 · 10% owner Pessin Brian L. · CIK 0001582758 · 10% owner PESSIN SANDRA F · CIK 0000936979 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,221,062 F1 · security: This Form 4 is filed jointly by Norman H. Pessin, Brian L. Pessin and Sandra F. Pessin (collectively, the "Reporting Persons"). Each Reporting Person may be deemed to be a member of a Section 13(d) group that may be deemed to collectively beneficially own more than 10% of the Issuer's outstanding shares of common stock. Each Reporting Person disclaims beneficial ownership of the shares of common stock reported herein except to the extent of his or her pecuniary interest therein, and this report shall not be deemed to be an admission that any Reporting Person is the beneficial owner of such shares of common stock for purposes of Section 16 or for any other purpose. F2 · ownership.direct: Shares beneficially owned by Sandra F. Pessin, Norman H. Pessin's spouse. Norman H. Pessin expressly disclaims beneficial ownership of such shares except to the extent of his pecuniary interest therein. F5 · ownership.direct: Sandra F. Pessin purchased 333,334 shares of Common Stock through a private placement on September 30, 2022. Read SEC document
September 27, 2022 Filed Oct 7, 2022 15:47 UTC Amendment	DUOS TECHNOLOGIES GROUP, INC. DUOT · Entity 6044	ConversionSeries B Convertible Preferred Stock · Derivative	851	$0.00 Strike: $7.00	$0.00	Disclosure SEC source: 0001140361-22-036627 · form4.xml · derivative · entry 5 PESSIN NORMAN H · CIK 0000923666 · 10% owner Pessin Brian L. · CIK 0001582758 · 10% owner PESSIN SANDRA F · CIK 0000936979 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 121,571 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F4 · security: Sandra F. Pessin converted 851 shares of Series B Preferred Stock into 121,571 shares of Common Stock on September 27, 2022. The Series B Preferred Stock has no stated maturity date. F4 · derivative.exercise_date: Sandra F. Pessin converted 851 shares of Series B Preferred Stock into 121,571 shares of Common Stock on September 27, 2022. The Series B Preferred Stock has no stated maturity date. F4 · derivative.expiration_date: Sandra F. Pessin converted 851 shares of Series B Preferred Stock into 121,571 shares of Common Stock on September 27, 2022. The Series B Preferred Stock has no stated maturity date. Read SEC document
September 27, 2022 Filed Oct 7, 2022 15:47 UTC Amendment	DUOS TECHNOLOGIES GROUP, INC. DUOT · Entity 6044	ConversionCommon Stock	121,571	$7.00	$850,997.00	Disclosure SEC source: 0001140361-22-036627 · form4.xml · nonDerivative · entry 2 PESSIN NORMAN H · CIK 0000923666 · 10% owner Pessin Brian L. · CIK 0001582758 · 10% owner PESSIN SANDRA F · CIK 0000936979 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 887,728 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · security: This Form 4 is filed jointly by Norman H. Pessin, Brian L. Pessin and Sandra F. Pessin (collectively, the "Reporting Persons"). Each Reporting Person may be deemed to be a member of a Section 13(d) group that may be deemed to collectively beneficially own more than 10% of the Issuer's outstanding shares of common stock. Each Reporting Person disclaims beneficial ownership of the shares of common stock reported herein except to the extent of his or her pecuniary interest therein, and this report shall not be deemed to be an admission that any Reporting Person is the beneficial owner of such shares of common stock for purposes of Section 16 or for any other purpose. F2 · ownership.direct: Shares beneficially owned by Sandra F. Pessin, Norman H. Pessin's spouse. Norman H. Pessin expressly disclaims beneficial ownership of such shares except to the extent of his pecuniary interest therein. F4 · ownership.direct: Sandra F. Pessin converted 851 shares of Series B Preferred Stock into 121,571 shares of Common Stock on September 27, 2022. The Series B Preferred Stock has no stated maturity date. Read SEC document
September 27, 2022 Filed Oct 7, 2022 12:11 UTC	DUOS TECHNOLOGIES GROUP, INC. DUOT · Entity 6044	ConversionCommon Stock	121,571	$7.00	$850,997.00	Disclosure SEC source: 0001140361-22-036596 · form4.xml · nonDerivative · entry 2 PESSIN NORMAN H · CIK 0000923666 · 10% owner Pessin Brian L. · CIK 0001582758 · 10% owner PESSIN SANDRA F · CIK 0000936979 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 887,728 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · security: This Form 4 is filed jointly by Norman H. Pessin, Brian L. Pessin and Sandra F. Pessin (collectively, the "Reporting Persons"). Each Reporting Person may be deemed to be a member of a Section 13(d) group that may be deemed to collectively beneficially own more than 10% of the Issuer's outstanding shares of common stock. Each Reporting Person disclaims beneficial ownership of the shares of common stock reported herein except to the extent of his or her pecuniary interest therein, and this report shall not be deemed to be an admission that any Reporting Person is the beneficial owner of such shares of common stock for purposes of Section 16 or for any other purpose. F2 · ownership.direct: Shares beneficially owned by Sandra F. Pessin, Norman H. Pessin's spouse. Norman H. Pessin expressly disclaims beneficial ownership of such shares except to the extent of his pecuniary interest therein. F4 · ownership.direct: Sandra F. Pessin converted 851 shares of Series B Preferred Stock into 121,571 shares of Common Stock on September 27, 2022. Read SEC document
February 04, 2022 Filed Feb 8, 2022 09:27 UTC	DUOS TECHNOLOGIES GROUP, INC. DUOT · Entity 6044	PurchaseCommon Stock	300,000	$4.00	$1,200,000.00	Disclosure SEC source: 0001140361-22-004145 · form4.xml · nonDerivative · entry 2 PESSIN NORMAN H · CIK 0000923666 · 10% owner Pessin Brian L. · CIK 0001582758 · 10% owner PESSIN SANDRA F · CIK 0000936979 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 766,157 F1 · security: This Form 4 is filed jointly by Norman H. Pessin, Brian L. Pessin and Sandra F. Pessin (collectively, the "Reporting Persons"). Each Reporting Person may be deemed to be a member of a Section 13(d) group that may be deemed to collectively beneficially own more than 10% of the Issuer's outstanding shares of common stock. Each Reporting Person disclaims beneficial ownership of the shares of common stock reported herein except to the extent of his or her pecuniary interest therein, and this report shall not be deemed to be an admission that any Reporting Person is the beneficial owner of such shares of common stock for purposes of Section 16 or for any other purpose. F2 · ownership.direct: Shares beneficially owned by Sandra F. Pessin, Norman H. Pessin's spouse. Norman H. Pessin expressly disclaims beneficial ownership of such shares except to the extent of his pecuniary interest therein. Read SEC document
December 03, 2021 Filed Oct 7, 2022 15:27 UTC	DUOS TECHNOLOGIES GROUP, INC. DUOT · Entity 6044	ConversionSeries C Convertible Preferred Stock · Derivative	500	$0.00 Strike: $5.50	$0.00	Disclosure SEC source: 0001140361-22-036623 · form4.xml · derivative · entry 8 PESSIN NORMAN H · CIK 0000923666 · 10% owner Pessin Brian L. · CIK 0001582758 · 10% owner PESSIN SANDRA F · CIK 0000936979 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 90,909 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F7 · security: Brian L. Pessin converted 500 shares of Series C Preferred Stock into 90,909 shares of Common Stock on December 2, 2021. The Series C Preferred Stock has no stated maturity date. F7 · derivative.exercise_date: Brian L. Pessin converted 500 shares of Series C Preferred Stock into 90,909 shares of Common Stock on December 2, 2021. The Series C Preferred Stock has no stated maturity date. F7 · derivative.expiration_date: Brian L. Pessin converted 500 shares of Series C Preferred Stock into 90,909 shares of Common Stock on December 2, 2021. The Series C Preferred Stock has no stated maturity date. Read SEC document
December 03, 2021 Filed Oct 7, 2022 15:27 UTC	DUOS TECHNOLOGIES GROUP, INC. DUOT · Entity 6044	ConversionSeries B Convertible Preferred Stock · Derivative	854	$0.00 Strike: $7.00	$0.00	Disclosure SEC source: 0001140361-22-036623 · form4.xml · derivative · entry 6 PESSIN NORMAN H · CIK 0000923666 · 10% owner Pessin Brian L. · CIK 0001582758 · 10% owner PESSIN SANDRA F · CIK 0000936979 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 851 Underlying: Common Stock · 121,571 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F6 · security: Sandra F. Pessin converted 854 shares of Series B Preferred Stock into 122,000 shares of Common Stock on December 3, 2021. The Series B Preferred Stock has no stated maturity date. F6 · derivative.exercise_date: Sandra F. Pessin converted 854 shares of Series B Preferred Stock into 122,000 shares of Common Stock on December 3, 2021. The Series B Preferred Stock has no stated maturity date. F6 · derivative.expiration_date: Sandra F. Pessin converted 854 shares of Series B Preferred Stock into 122,000 shares of Common Stock on December 3, 2021. The Series B Preferred Stock has no stated maturity date. Read SEC document
December 03, 2021 Filed Oct 7, 2022 15:27 UTC	DUOS TECHNOLOGIES GROUP, INC. DUOT · Entity 6044	ConversionCommon Stock	122,000	$7.00	$854,000.00	Disclosure SEC source: 0001140361-22-036623 · form4.xml · nonDerivative · entry 3 PESSIN NORMAN H · CIK 0000923666 · 10% owner Pessin Brian L. · CIK 0001582758 · 10% owner PESSIN SANDRA F · CIK 0000936979 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 466,157 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · security: This Form 4 is filed jointly by Norman H. Pessin, Brian L. Pessin and Sandra F. Pessin (collectively, the "Reporting Persons"). Each Reporting Person may be deemed to be a member of a Section 13(d) group that may be deemed to collectively beneficially own more than 10% of the Issuer's outstanding shares of common stock. Each Reporting Person disclaims beneficial ownership of the shares of common stock reported herein except to the extent of his or her pecuniary interest therein, and this report shall not be deemed to be an admission that any Reporting Person is the beneficial owner of such shares of common stock for purposes of Section 16 or for any other purpose. F3 · ownership.direct: Shares beneficially owned by Sandra F. Pessin, Norman H. Pessin's spouse. Norman H. Pessin expressly disclaims beneficial ownership of such shares except to the extent of his pecuniary interest therein. F6 · ownership.direct: Sandra F. Pessin converted 854 shares of Series B Preferred Stock into 122,000 shares of Common Stock on December 3, 2021. The Series B Preferred Stock has no stated maturity date. Read SEC document
December 02, 2021 Filed Oct 7, 2022 15:27 UTC	DUOS TECHNOLOGIES GROUP, INC. DUOT · Entity 6044	ConversionSeries C Convertible Preferred Stock · Derivative	1,500	$0.00 Strike: $5.50	$0.00	Disclosure SEC source: 0001140361-22-036623 · form4.xml · derivative · entry 7 PESSIN NORMAN H · CIK 0000923666 · 10% owner Pessin Brian L. · CIK 0001582758 · 10% owner PESSIN SANDRA F · CIK 0000936979 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 272,727 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F5 · security: Sandra F. Pessin converted 1,500 shares of Series C Preferred Stock into 272,727 shares of Common Stock on December 2, 2021. The Series C Preferred Stock has no stated maturity date. F5 · derivative.exercise_date: Sandra F. Pessin converted 1,500 shares of Series C Preferred Stock into 272,727 shares of Common Stock on December 2, 2021. The Series C Preferred Stock has no stated maturity date. F5 · derivative.expiration_date: Sandra F. Pessin converted 1,500 shares of Series C Preferred Stock into 272,727 shares of Common Stock on December 2, 2021. The Series C Preferred Stock has no stated maturity date. Read SEC document
December 02, 2021 Filed Oct 7, 2022 15:27 UTC	DUOS TECHNOLOGIES GROUP, INC. DUOT · Entity 6044	ConversionCommon Stock	90,909	$5.50	$499,999.50	Disclosure SEC source: 0001140361-22-036623 · form4.xml · nonDerivative · entry 5 PESSIN NORMAN H · CIK 0000923666 · 10% owner Pessin Brian L. · CIK 0001582758 · 10% owner PESSIN SANDRA F · CIK 0000936979 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 180,911 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · security: This Form 4 is filed jointly by Norman H. Pessin, Brian L. Pessin and Sandra F. Pessin (collectively, the "Reporting Persons"). Each Reporting Person may be deemed to be a member of a Section 13(d) group that may be deemed to collectively beneficially own more than 10% of the Issuer's outstanding shares of common stock. Each Reporting Person disclaims beneficial ownership of the shares of common stock reported herein except to the extent of his or her pecuniary interest therein, and this report shall not be deemed to be an admission that any Reporting Person is the beneficial owner of such shares of common stock for purposes of Section 16 or for any other purpose. F2 · ownership.direct: On May 21, 2021, Norman H. Pessin gifted 45,000 shares of Common Stock. Of those shares, 15,000 were gifted to Brian L. Pessin F7 · ownership.direct: Brian L. Pessin converted 500 shares of Series C Preferred Stock into 90,909 shares of Common Stock on December 2, 2021. The Series C Preferred Stock has no stated maturity date. Read SEC document
December 02, 2021 Filed Oct 7, 2022 15:27 UTC	DUOS TECHNOLOGIES GROUP, INC. DUOT · Entity 6044	ConversionCommon Stock	272,727	$5.50	$1,499,998.50	Disclosure SEC source: 0001140361-22-036623 · form4.xml · nonDerivative · entry 2 PESSIN NORMAN H · CIK 0000923666 · 10% owner Pessin Brian L. · CIK 0001582758 · 10% owner PESSIN SANDRA F · CIK 0000936979 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 344,157 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · security: This Form 4 is filed jointly by Norman H. Pessin, Brian L. Pessin and Sandra F. Pessin (collectively, the "Reporting Persons"). Each Reporting Person may be deemed to be a member of a Section 13(d) group that may be deemed to collectively beneficially own more than 10% of the Issuer's outstanding shares of common stock. Each Reporting Person disclaims beneficial ownership of the shares of common stock reported herein except to the extent of his or her pecuniary interest therein, and this report shall not be deemed to be an admission that any Reporting Person is the beneficial owner of such shares of common stock for purposes of Section 16 or for any other purpose. F3 · ownership.direct: Shares beneficially owned by Sandra F. Pessin, Norman H. Pessin's spouse. Norman H. Pessin expressly disclaims beneficial ownership of such shares except to the extent of his pecuniary interest therein. F5 · ownership.direct: Sandra F. Pessin converted 1,500 shares of Series C Preferred Stock into 272,727 shares of Common Stock on December 2, 2021. The Series C Preferred Stock has no stated maturity date. Read SEC document
May 21, 2021 Filed Oct 7, 2022 15:27 UTC	DUOS TECHNOLOGIES GROUP, INC. DUOT · Entity 6044	GiftCommon Stock	15,000	$9.30	$139,500.00	Disclosure SEC source: 0001140361-22-036623 · form4.xml · nonDerivative · entry 4 PESSIN NORMAN H · CIK 0000923666 · 10% owner Pessin Brian L. · CIK 0001582758 · 10% owner PESSIN SANDRA F · CIK 0000936979 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 90,002 F1 · security: This Form 4 is filed jointly by Norman H. Pessin, Brian L. Pessin and Sandra F. Pessin (collectively, the "Reporting Persons"). Each Reporting Person may be deemed to be a member of a Section 13(d) group that may be deemed to collectively beneficially own more than 10% of the Issuer's outstanding shares of common stock. Each Reporting Person disclaims beneficial ownership of the shares of common stock reported herein except to the extent of his or her pecuniary interest therein, and this report shall not be deemed to be an admission that any Reporting Person is the beneficial owner of such shares of common stock for purposes of Section 16 or for any other purpose. F2 · ownership.direct: On May 21, 2021, Norman H. Pessin gifted 45,000 shares of Common Stock. Of those shares, 15,000 were gifted to Brian L. Pessin F4 · ownership.direct: Shares beneficially owned by Brian L. Pessin. Norman H. Pessin and Sandra F. Pessin expressly disclaim beneficial ownership of such shares. Read SEC document
May 21, 2021 Filed Oct 7, 2022 15:27 UTC	DUOS TECHNOLOGIES GROUP, INC. DUOT · Entity 6044	GiftCommon Stock	45,000	$9.30	$418,500.00	Disclosure SEC source: 0001140361-22-036623 · form4.xml · nonDerivative · entry 1 PESSIN NORMAN H · CIK 0000923666 · 10% owner Pessin Brian L. · CIK 0001582758 · 10% owner PESSIN SANDRA F · CIK 0000936979 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 57,972 F1 · security: This Form 4 is filed jointly by Norman H. Pessin, Brian L. Pessin and Sandra F. Pessin (collectively, the "Reporting Persons"). Each Reporting Person may be deemed to be a member of a Section 13(d) group that may be deemed to collectively beneficially own more than 10% of the Issuer's outstanding shares of common stock. Each Reporting Person disclaims beneficial ownership of the shares of common stock reported herein except to the extent of his or her pecuniary interest therein, and this report shall not be deemed to be an admission that any Reporting Person is the beneficial owner of such shares of common stock for purposes of Section 16 or for any other purpose. F2 · ownership.direct: On May 21, 2021, Norman H. Pessin gifted 45,000 shares of Common Stock. Of those shares, 15,000 were gifted to Brian L. Pessin Read SEC document
February 26, 2021 Filed Sep 3, 2021 14:51 UTC	DUOS TECHNOLOGIES GROUP, INC. DUOT · Entity 6044	PurchaseSeries C Convertible Preferred Stock · Derivative	500	$1,000.00 Strike: $5.50	$500,000.00	Disclosure SEC source: 0001140361-21-030354 · form4.xml · derivative · entry 6 PESSIN NORMAN H · CIK 0000923666 · 10% owner Pessin Brian L. · CIK 0001582758 · 10% owner PESSIN SANDRA F · CIK 0000936979 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 500 Underlying: Common Stock · 90,909 shares Expires not disclosed F8 · derivative.exercise_date: The Series C Preferred Stock is not currently exercisable due to a 4.99% beneficial ownership limitation with respect to the Common Stock owned by Brian L. Pessin, affiliates of Brian L. Pessin or members of a group with Brian L. Pessin. The Series C Preferred Stock has no stated maturity date. F8 · derivative.expiration_date: The Series C Preferred Stock is not currently exercisable due to a 4.99% beneficial ownership limitation with respect to the Common Stock owned by Brian L. Pessin, affiliates of Brian L. Pessin or members of a group with Brian L. Pessin. The Series C Preferred Stock has no stated maturity date. F9 · derivative.underlying_shares: Brian L. Pessin owns 500 shares of Series C Preferred Stock convertible into 90,909 shares of Common Stock. F3 · ownership.direct: Shares beneficially owned by Brian L. Pessin. Norman H. Pessin and Sandra F. Pessin expressly disclaim beneficial ownership of such shares. Read SEC document
February 26, 2021 Filed Sep 3, 2021 14:51 UTC	DUOS TECHNOLOGIES GROUP, INC. DUOT · Entity 6044	PurchaseSeries C Convertible Preferred Stock · Derivative	1,500	$1,000.00 Strike: $5.50	$1,500,000.00	Disclosure SEC source: 0001140361-21-030354 · form4.xml · derivative · entry 5 PESSIN NORMAN H · CIK 0000923666 · 10% owner Pessin Brian L. · CIK 0001582758 · 10% owner PESSIN SANDRA F · CIK 0000936979 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,500 Underlying: Common Stock · 272,727 shares Expires not disclosed F6 · derivative.exercise_date: The Series C Convertible Preferred Stock ("Series C Preferred Stock") is not currently exercisable due to a 4.99% beneficial ownership limitation with respect to Common Stock owned by Sandra F. Pessin, affiliates of Sandra F. Pessin or members of a group with Sandra F. Pessin. Such 4.99% beneficial ownership limitation can be increased to 19.99%. The Series C Preferred Stock has no stated maturity date. F6 · derivative.expiration_date: The Series C Convertible Preferred Stock ("Series C Preferred Stock") is not currently exercisable due to a 4.99% beneficial ownership limitation with respect to Common Stock owned by Sandra F. Pessin, affiliates of Sandra F. Pessin or members of a group with Sandra F. Pessin. Such 4.99% beneficial ownership limitation can be increased to 19.99%. The Series C Preferred Stock has no stated maturity date. F7 · derivative.underlying_shares: Sandra F. Pessin owns 1,500 shares of Series C Preferred Stock convertible into 272,727 shares of Common Stock. F2 · ownership.direct: Shares beneficially owned by Sandra F. Pessin, Norman H. Pessin's spouse. Norman H. Pessin expressly disclaims beneficial ownership of such shares except to the extent of his pecuniary interest therein. Read SEC document
February 13, 2020 Filed Sep 3, 2021 14:47 UTC	DUOS TECHNOLOGIES GROUP, INC. DUOT · Entity 6044	PurchaseCommon Stock	58,300	$6.00	$349,800.00	Disclosure SEC source: 0001140361-21-030352 · form4.xml · nonDerivative · entry 1 PESSIN NORMAN H · CIK 0000923666 · 10% owner Pessin Brian L. · CIK 0001582758 · 10% owner PESSIN SANDRA F · CIK 0000936979 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 102,972 F1 · security: This Form 4 is filed jointly by Norman H. Pessin, Brian L. Pessin and Sandra F. Pessin (collectively, the "Reporting Persons"). Each Reporting Person may be deemed to be a member of a Section 13(d) group, that may be deemed to collectively beneficially own more than 10% of the Issuer's outstanding shares of common stock. Each Reporting Person disclaims beneficial ownership of the shares of common stock reported herein except to the extent of his or her pecuniary interest therein, and this report shall not be deemed to be an admission that any Reporting Person is the beneficial owner of such shares of common stock for purposes of Section 16 or for any other purpose. F1 · price: This Form 4 is filed jointly by Norman H. Pessin, Brian L. Pessin and Sandra F. Pessin (collectively, the "Reporting Persons"). Each Reporting Person may be deemed to be a member of a Section 13(d) group, that may be deemed to collectively beneficially own more than 10% of the Issuer's outstanding shares of common stock. Each Reporting Person disclaims beneficial ownership of the shares of common stock reported herein except to the extent of his or her pecuniary interest therein, and this report shall not be deemed to be an admission that any Reporting Person is the beneficial owner of such shares of common stock for purposes of Section 16 or for any other purpose. Read SEC document
July 27, 2017 Filed Jul 28, 2017 21:16 UTC	IMMUCELL CORP /DE/ ICCC · Entity 6837	PurchaseCommon Stock	30,000	$5.25	$157,500.00	Disclosure SEC source: 0000921895-17-001998 · form407911004pesb_0728017.xml · nonDerivative · entry 1 Pessin Brian L. · CIK 0001582758 · See Explanation of Responses 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 70,000 F1 · security: The Reporting Person may be deemed to be a member of a Section 13(d) group that may be deemed to collectively beneficially own more than 10% of the Issuer's outstanding shares of Common Stock. Read SEC document
June 28, 2017 Filed Jun 29, 2017 16:26 UTC	CHEMBIO DIAGNOSTICS, INC. CEMI · Entity 114014	PurchaseCommon Stock	6,250	$5.76	$35,983.13	Disclosure SEC source: 0000921895-17-001860 · form407911004_06292017.xml · nonDerivative · entry 3 PESSIN NORMAN H · CIK 0000923666 · See Explanation of Responses Pessin Brian L. · CIK 0001582758 · See Explanation of Responses Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,152,317 F1 · security: This Form 4 is filed jointly by Norman H. Pessin and Brian Pessin (collectively, the "Reporting Persons"). Each Reporting Person may be deemed to be a member of a Section 13(d) group that may be deemed to collectively beneficially own more than 10% of the Issuer's outstanding shares of common stock. Each Reporting Person disclaims beneficial ownership of the shares of common stock reported herein except to the extent of his pecuniary interest therein, and this report shall not be deemed to be an admission that any Reporting Person is the beneficial owner of such shares of common stock for purposes of Section 16 or for any other purpose. F2 · ownership.direct: Brian Pessin expressly disclaims beneficial ownership of such shares except to the extent of his pecuniary interest therein. Read SEC document
January 23, 2017 Filed Feb 13, 2017 17:04 UTC	ICTV Brands Inc. ICTV · Entity 160269	PurchaseCommon Stock	882,353	$0.34	$300,000.02	Disclosure SEC source: 0000921895-17-000311 · form507911010_02132017.xml · nonDerivative · entry 3 PESSIN DIANA S · CIK 0001663699 · Director · See Explanation of Responses Pessin Brian L. · CIK 0001582758 · See Explanation of Responses Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By: Brian L. Pessin Disclosed balance after: 1,989,651 F1 · security: This Form 5 is filed jointly by Diana S. Pessin and Brian L. Pessin (collectively, the "Reporting Persons"). Each Reporting Person may be deemed to be a member of a Section 13(d) group, along with Norman H. Pessin and Sandra F. Pessin, that may be deemed to collectively beneficially own more than 10% of the Issuer's outstanding shares of common stock. Each Reporting Person disclaims beneficial ownership of the shares of common stock reported herein except to the extent of his or her pecuniary interest therein, and this report shall not be deemed to be an admission that any Reporting Person is the beneficial owner of such shares of common stock for purposes of Section 16 or for any other purpose. F3 · shares: These shares were purchased on January 23, 2017 pursuant to a Securities Purchase Agreement with the Issuer and the other investors named therein (including Brian L. Pessin) entered into on October 4, 2016. F4 · ownership.nature: Shares beneficially owned by Brian L. Pessin, Diana S. Pessin's spouse, which include 73,458 shares which are held in trust for the benefit of his minor children, which trust Brian L. Pessin controls, and 94,300 shares which are controlled by Brian L. Pessin but held for the benefit of his minor children. Diana S. Pessin expressly disclaims beneficial ownership of such shares except to the extent of her pecuniary interest therein. Read SEC document
October 11, 2016 Filed Jun 29, 2017 16:26 UTC	CHEMBIO DIAGNOSTICS, INC. CEMI · Entity 114014	PurchaseCommon Stock	3,000	$7.16	$21,480.00	Disclosure SEC source: 0000921895-17-001860 · form407911004_06292017.xml · nonDerivative · entry 2 PESSIN NORMAN H · CIK 0000923666 · See Explanation of Responses Pessin Brian L. · CIK 0001582758 · See Explanation of Responses Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,146,067 F1 · security: This Form 4 is filed jointly by Norman H. Pessin and Brian Pessin (collectively, the "Reporting Persons"). Each Reporting Person may be deemed to be a member of a Section 13(d) group that may be deemed to collectively beneficially own more than 10% of the Issuer's outstanding shares of common stock. Each Reporting Person disclaims beneficial ownership of the shares of common stock reported herein except to the extent of his pecuniary interest therein, and this report shall not be deemed to be an admission that any Reporting Person is the beneficial owner of such shares of common stock for purposes of Section 16 or for any other purpose. F2 · ownership.direct: Brian Pessin expressly disclaims beneficial ownership of such shares except to the extent of his pecuniary interest therein. Read SEC document
August 16, 2016 Filed Jun 29, 2017 16:26 UTC	CHEMBIO DIAGNOSTICS, INC. CEMI · Entity 114014	PurchaseCommon Stock	27,000	$5.23	$141,210.00	Disclosure SEC source: 0000921895-17-001860 · form407911004_06292017.xml · nonDerivative · entry 1 PESSIN NORMAN H · CIK 0000923666 · See Explanation of Responses Pessin Brian L. · CIK 0001582758 · See Explanation of Responses Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,143,067 F1 · security: This Form 4 is filed jointly by Norman H. Pessin and Brian Pessin (collectively, the "Reporting Persons"). Each Reporting Person may be deemed to be a member of a Section 13(d) group that may be deemed to collectively beneficially own more than 10% of the Issuer's outstanding shares of common stock. Each Reporting Person disclaims beneficial ownership of the shares of common stock reported herein except to the extent of his pecuniary interest therein, and this report shall not be deemed to be an admission that any Reporting Person is the beneficial owner of such shares of common stock for purposes of Section 16 or for any other purpose. F2 · ownership.direct: Brian Pessin expressly disclaims beneficial ownership of such shares except to the extent of his pecuniary interest therein. Read SEC document

Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.