Duos Technologies CEO buys 9,250 shares

Time-based portions are scheduled to vest in 2029 and 2030, while performance-based portions vest upon certification of applicable fiscal 2027 and 2028 targets.

This filing corrects an earlier one, and you can read the original Form 4 if you want to see what changed.

Rhea-AI Filing Summary

DUOS Technologies Group, Inc. (DUOT) CEO and director Frank Douglas Recker reported purchasing 9,250 common shares through his IRA on September 22, 2026, at $9.1413 per share; his reported position after the purchase was 9,250 shares held through the IRA. Recker also received an 880,000-share restricted stock grant on August 17, 2026, under the 2021 Equity Incentive Plan, as amended. The grant is described in two 440,000-share tranches, each with 176,000 time-based shares and 264,000 performance-based shares. The time-based portions vest on January 1, 2029 and January 1, 2030, respectively, subject to acceleration to April 1, 2028 and April 1, 2029 if certain targets are achieved; performance-based portions vest upon certification of applicable fiscal 2027 or 2028 targets. A further restricted-share holding entry is subject to a three-year cliff-vesting period, with vesting on January 1, 2028, subject to acceleration to April 1, 2027 if certain fiscal 2026 targets are achieved.

Insider Trade Summary

Net Buyer: 9,250 shares

Net Buy 3 txns

Insider Recker Frank Douglas

Role Chief Executive Officer

Bought 9,250 shs ($85K)

Type	Security	Shares	Price	Value
Purchase	Common Stock, $0.001 par value	9,250	$9.1413	$85K
holding	Common Stock, $0.001 par value F1	--	--	--
holding	Common Stock, $0.001 par value F2	--	--	--

Holdings After Transaction: Common Stock, $0.001 par value — 9,250 shares (Indirect, By IRA); Common Stock, $0.001 par value — 1,280,000 shares (Direct)

Footnotes (2)

1. F1. 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, subject to acceleration, under the terms of Mr. Recker's Employment Agreement, to April 1, 2027, if certain fiscal 2026 targets are achieved.
2. F2. These shares were granted pursuant to the Issuer's 2021 Equity Incentive Plan, as amended, and are subject to cliff-vesting periods. The grant was in two tranches of 440,000 shares each, with each such tranche allocated (a) 40% to time-based restricted shares (176,000 shares per tranche), vesting on January 1, 2029 and January 1, 2030 (subject to acceleration, under the terms of Mr. Recker's Employment Agreement, to April 1, 2028 and April 1, 2029, respectively, if certain targets are achieved), and (b) 60% to performance-based restricted shares (264,000 shares per tranche), vesting upon certification of achievement of the applicable fiscal year's (2027 or 2028) respective targets.

Key Figures

Common shares purchased: 9,250 shares Purchase price per share: $9.1413 per share Shares held after purchase: 9,250 shares +4 more

7 metrics

Common shares purchased 9,250 shares Purchased through an IRA on September 22, 2026

Purchase price per share $9.1413 per share Purchase on September 22, 2026

Shares held after purchase 9,250 shares Reported position through an IRA following the September 22, 2026 purchase

Restricted stock grant 880,000 shares Granted August 17, 2026

Shares per grant tranche 440,000 shares Two tranches described for the restricted stock grant

Time-based restricted shares per tranche 176,000 shares Each of the two grant tranches

Performance-based restricted shares per tranche 264,000 shares Each of the two grant tranches

Key Terms

three-year cliff vesting period, time-based restricted shares, performance-based restricted shares, 2021 Equity Incentive Plan

4 terms

three-year cliff vesting period financial

"subject to a three-year cliff vesting period"

time-based restricted shares financial

"allocated (a) 40% to time-based restricted shares"

Time-based restricted shares are company stock granted to employees or insiders that cannot be sold or fully owned until they unlock after a set period of time. Think of them like a savings account that gradually becomes accessible: they help keep key people tied to the company and can change the total number of tradable shares when they become available, which matters for investor returns and expectations about future selling pressure.

performance-based restricted shares financial

"allocated (b) 60% to performance-based restricted shares"

Performance-based restricted shares are company stock grants that only become the recipient’s to keep if the business or individual meets specific financial or operational targets over time. For investors, they matter because they align management pay with company results—encouraging goal-focused decisions—but can also affect share count and reported earnings if many shares are earned and issued.

2021 Equity Incentive Plan financial

"pursuant to the Issuer's 2021 Equity Incentive Plan"

FAQ

AI-generated questions and answers. How Rhea-AI works. Not financial advice.

How many DUOT shares did Frank Douglas Recker buy, and at what price?

Frank Douglas Recker purchased 9,250 shares through his IRA on September 22, 2026, at $9.1413 per share. His reported position after the purchase was 9,250 shares held through the IRA; no Rule 10b5-1 plan is reported.

How does Frank Douglas Recker's 880,000-share DUOT grant vest?

The 880,000-share grant is split into two 440,000-share tranches. Each tranche includes 176,000 time-based restricted shares and 264,000 performance-based restricted shares. The time-based portions vest on January 1, 2029 and January 1, 2030, subject to acceleration to April 1, 2028 and April 1, 2029 if certain targets are achieved; performance-based portions vest upon certification of applicable fiscal 2027 or 2028 targets.

AI-generated analysis. How Rhea-AI works. Not financial advice.

Form 4 Insider Transactions: What Each Field Means →

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Available on EDGAR 10/15/2026 - 04:16 PM EDT Accepted by SEC EDGAR 10/15/2026 - 04:16 PM EDT Learn about SEC filing dates

SEC Form 4

FORM 4

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

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

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:			3235-0287
Estimated average burden
hours per response:			0.5

Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).

Check this box to indicate that a transaction was made pursuant to a contract, instruction or written plan for the purchase or sale of equity securities of the issuer that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c). See Instruction 10.

1. Name and Address of Reporting Person^*

Recker Frank Douglas

(Last) (First) (Middle)

6651 GATE PARKWAY, 4TH FLOOR

(Street)

JACKSONVILLE FLORIDA 32256

(City) (State) (Zip)

UNITED STATES

(Country)

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

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

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

2a. Foreign Trading Symbol

3. Date of Earliest Transaction (Month/Day/Year)
09/22/2026

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

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

4. If Amendment, Date of Original Filed (Month/Day/Year)
09/23/2026

Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1. Title of Security (Instr. 3)	2. Transaction Date (Month/Day/Year)	2A. Deemed Execution Date, if any (Month/Day/Year)	3. Transaction Code (Instr. 8)		4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5)			5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)	6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	7. Nature of Indirect Beneficial Ownership (Instr. 4)
			Code	V	Amount	(A) or (D)	Price
Common Stock, $0.001 par value	09/22/2026		P		9,250	A	$9.1413	9,250	I	By IRA
Common Stock, $0.001 par value								400,000	D(1)
Common Stock, $0.001 par value								880,000	D(2)

Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 3)	2. Conversion or Exercise Price of Derivative Security	3. Transaction Date (Month/Day/Year)	3A. Deemed Execution Date, if any (Month/Day/Year)	4. Transaction Code (Instr. 8)		5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)		6. Date Exercisable and Expiration Date (Month/Day/Year)		7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4)		8. Price of Derivative Security (Instr. 5)	9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4)	10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	11. Nature of Indirect Beneficial Ownership (Instr. 4)
				Code	V	(A)	(D)	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, subject to acceleration, under the terms of Mr. Recker's Employment Agreement, to April 1, 2027, if certain fiscal 2026 targets are achieved.

2. These shares were granted pursuant to the Issuer's 2021 Equity Incentive Plan, as amended, and are subject to cliff-vesting periods. The grant was in two tranches of 440,000 shares each, with each such tranche allocated (a) 40% to time-based restricted shares (176,000 shares per tranche), vesting on January 1, 2029 and January 1, 2030 (subject to acceleration, under the terms of Mr. Recker's Employment Agreement, to April 1, 2028 and April 1, 2029, respectively, if certain targets are achieved), and (b) 60% to performance-based restricted shares (264,000 shares per tranche), vesting upon certification of achievement of the applicable fiscal year's (2027 or 2028) respective targets.

Remarks:

This Amendment is being filed to reflect and include the 880,000 restricted shares of common stock granted to Mr. Recker on August 17, 2026 pursuant to the Issuer's 2021 Equity Incentive Plan, as amended.

	/s/ Frank Douglas Recker	10/15/2026
	** 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 4 (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 4: SEC 1474 (03-26)