DUOS Technologies (DUOT) Insider Filing: 400K Shares Reported by President Recker

Rhea-AI Filing Summary

Frank Douglas Recker filed an Initial Statement of Beneficial Ownership reporting ownership of 400,000 shares of DUOS TECHNOLOGIES GROUP, INC. (DUOT) common stock in two non-derivative holdings. The filing shows 225,000 shares granted under the company’s 2021 Equity Incentive Plan vesting on January 1, 2028, and 175,000 shares granted under the same plan vesting on October 1, 2028. The form identifies Mr. Recker as an officer (President) and a director, and the statement was signed on September 17, 2025 for an event dated September 15, 2025. No derivative securities or amendments are reported. The filing discloses the grant dates and three-year cliff vesting schedule for the reported equity awards.

Positive

• Full disclosure of beneficial ownership by an officer and director, meeting Section 16 reporting requirements
• Equity grants use time-based three-year cliff vesting, indicating retention/alignment incentives

Negative

• None.

Insights

Financial Analyst

TL;DR: Routine insider equity disclosure showing 400,000 restricted shares with multi-year cliff vesting; neutral for near-term valuation.

The Form 3 documents an initial beneficial ownership disclosure by the company President and director, Frank Douglas Recker, totaling 400,000 shares of common stock granted under the 2021 Equity Incentive Plan. Both grants are non-derivative and subject to three-year cliff vesting with specified vesting dates in 2028, which indicates these awards are time-based retention incentives rather than immediately liquid holdings. There are no exercised options, disposals, or derivative instruments disclosed. For investors, this is a standard governance transparency filing and does not by itself change the company’s reported share count or immediate market float.

Corporate Governance Expert

TL;DR: Standard Section 16 filing by an officer/director; shows alignment through time‑based equity awards, not an immediate change in control.

The filing confirms Mr. Recker’s officer and director status and reports equity grants under the issuer’s incentive plan with clear vesting dates. The three‑year cliff vesting structure aligns management incentives with multi‑year performance and retention objectives. The disclosure meets Section 16 requirements for initial ownership reporting. There are no red flags such as immediate sales, pledging, or derivative positions disclosed; therefore this report is governance-compliant and informational.

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

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1. Name and Address of Reporting Person^*

Recker Frank Douglas

(Last) (First) (Middle)

7660 CENTURION PARKWAY, SUITE 100

(Street)

JACKSONVILLE FL 32256

(City) (State) (Zip)

2. Date of Event Requiring Statement (Month/Day/Year)
09/15/2025

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

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

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

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

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	225,000	D(1)
Common Stock, $0.001 par value	175,000	D(2)

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. These 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 these shares vest on January 1, 2028.

2. These 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 these shares vest on October 1, 2028.

	/s/ Frank Douglas Recker	09/17/2025
	** 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.
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FAQ

What did Frank Douglas Recker report on Form 3 for DUOT?

He reported beneficial ownership of 400,000 shares of DUOS TECHNOLOGIES GROUP common stock, composed of 225,000 and 175,000 share grants.

When do the reported shares vest?

The 225,000 shares vest on January 1, 2028 and the 175,000 shares vest on October 1, 2028, each subject to a three-year cliff vesting schedule.

What role does the reporting person hold at DUOS TECHNOLOGIES GROUP?

The filer is identified as an officer (President) and a director of the issuer.

Does the Form 3 show any derivative securities or sales?

No. The filing reports only non-derivative common stock grants and does not disclose derivative securities, sales, or amendments.

When was the Form 3 signed and what is the event date?

The event date is September 15, 2025 and the form was signed on September 17, 2025.