Interim CFO of Duos Technologies (DUOT) reports equity awards and ESPP shares

Rhea-AI Filing Summary

Duos Technologies Group, Inc. interim CFO Adrian Graham Goldfarb filed an initial Form 3 reporting his ownership of common stock. The filing lists several direct holdings entries, including shares granted under the company’s 2021 Equity Incentive Plan, which are subject to a three-year cliff vesting schedule with all shares vesting on January 1, 2028, and additional shares held through the Employee Stock Purchase Plan.

Insider Trade Summary

3 transactions reported

Mixed 3 txns

Insider Goldfarb Adrian Graham

Role Interim CFO

Type	Security	Shares	Price	Value
holding	Common Stock, $0.001 par value	--	--	--
holding	Common Stock, $0.001 par value	--	--	--
holding	Common Stock, $0.001 par value	--	--	--

Holdings After Transaction: Common Stock, $0.001 par value — 1,000 shares (Direct, null)

Footnotes (1)

1. The shares were granted pursuant to the Issuer's 2021 Equity Incentive Plan, as amended, and are subject to a three-year cliff vesting period. All of the shares vest on January 1, 2028. The shares are held under the Duos Technologies Group, Inc. Employee Stock Purchase Plan.

Key Figures

Direct holding entry 1: 715 shares Direct holding entry 2: 441,275 shares Direct holding entry 3: 1,000 shares +1 more

4 metrics

Direct holding entry 1 715 shares Common Stock, total shares following transaction on holdings line

Direct holding entry 2 441,275 shares Common Stock, total shares following transaction on holdings line

Direct holding entry 3 1,000 shares Common Stock, total shares following transaction on holdings line

Vesting date January 1, 2028 Three-year cliff vesting for equity incentive plan grant

Key Terms

three-year cliff vesting period, 2021 Equity Incentive Plan, Employee Stock Purchase Plan

3 terms

three-year cliff vesting period financial

"are subject to a three-year cliff vesting period. All of the shares vest on January 1, 2028."

2021 Equity Incentive Plan financial

"granted pursuant to the Issuer's 2021 Equity Incentive Plan, as amended, and are subject to a three-year cliff vesting period."

Employee Stock Purchase Plan financial

"The shares are held under the Duos Technologies Group, Inc. Employee Stock Purchase Plan."

An employee stock purchase plan is a company program that lets workers buy shares through small payroll deductions, often at a discount to the market price and after a set offering period. Think of it like a workplace savings plan that turns into ownership: it encourages employees to share in the company’s success and can create predictable buying or selling of stock that investors watch because it affects supply, demand and employee incentives.

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SEC Form 3

FORM 3

UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940

OMB APPROVAL

OMB Number:			3235-0104
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1. Name and Address of Reporting Person^*

Goldfarb Adrian Graham

(Last) (First) (Middle)

7660 CENTURION PARKWAY

SUITE 100

(Street)

JACKSONVILLE FLORIDA 32256

(City) (State) (Zip)

UNITED STATES

(Country)

2. Date of Event Requiring Statement (Month/Day/Year)
06/08/2026

3. Issuer Name and Ticker or Trading Symbol
DUOS TECHNOLOGIES GROUP, INC. [ DUOT ]

3a. Foreign Trading Symbol

5. If Amendment, Date of Original Filed (Month/Day/Year)

4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)

	Director		10% Owner
X	Officer (give title below)		Other (specify below)
	Interim CFO

6. Individual or Joint/Group Filing (Check Applicable Line)

X	Form filed by One Reporting Person
	Form filed by More than One Reporting Person

Table I - Non-Derivative Securities Beneficially Owned
1. Title of Security (Instr. 4)	2. Amount of Securities Beneficially Owned (Instr. 4)	3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5)	4. Nature of Indirect Beneficial Ownership (Instr. 5)
Common Stock, $0.001 par value	1,000	D
Common Stock, $0.001 par value(1)	441,275	D
Common Stock, $0.001 par value(2)	715	D

Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 4)	2. Date Exercisable and Expiration Date (Month/Day/Year)		3. Title and Amount of Securities Underlying Derivative Security (Instr. 4)		4. Conversion or Exercise Price of Derivative Security	5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5)	6. Nature of Indirect Beneficial Ownership (Instr. 5)
	Date Exercisable	Expiration Date	Title	Amount or Number of Shares

Explanation of Responses:

1. The shares were granted pursuant to the Issuer's 2021 Equity Incentive Plan, as amended, and are subject to a three-year cliff vesting period. All of the shares vest on January 1, 2028.

2. The shares are held under the Duos Technologies Group, Inc. Employee Stock Purchase Plan.

Remarks:

Mr. Goldfarb previously served as Chief Financial Officer of the Issuer through November 15, 2025. He was appointed as Interim Chief Financial Officer effective June 8, 2026.

	/s/ Adrian G. Goldfarb	06/10/2026
	** Signature of Reporting Person	Date
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 5 (b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number.
* Form 3: SEC 1473 (03-26)

FAQ

What does Adrian Graham Goldfarb’s Form 3 for DUOT report?

The Form 3 reports interim CFO Adrian Graham Goldfarb’s existing holdings of Duos Technologies common stock. It lists multiple direct ownership entries, including plan-based awards and purchases, without indicating any new open-market buys or sells in this filing.

How many Duos Technologies (DUOT) shares does the Form 3 show?

The Form 3 shows three direct ownership line items: 715 shares, 441,275 shares, and 1,000 shares of Duos Technologies common stock. These entries reflect different holdings categories, including equity awards and employee purchase plan shares, as of the reported date.

What are the terms of the DUOT 2021 Equity Incentive Plan grant?

The filing states that some shares were granted under the 2021 Equity Incentive Plan. These shares are subject to a three-year cliff vesting period, with all of them vesting on January 1, 2028, meaning no portion vests before that date.

What is the significance of the DUOT Employee Stock Purchase Plan in this Form 3?

The Form 3 notes that certain shares are held under the Duos Technologies Group, Inc. Employee Stock Purchase Plan. This indicates the interim CFO has acquired some stock through an employee purchase program rather than solely through option grants or market transactions.

Does the DUOT Form 3 indicate any insider buying or selling activity?

No specific buy or sell transactions are identified in this Form 3. The transactions are classified as holdings entries with an unknown transaction code, indicating the filing focuses on reporting existing ownership at the time, rather than new trades in the market.