Duos Technologies grants CEO 880,000 shares

The award divides each tranche between time-based and performance-based restricted shares, with vesting tied to specified dates and performance targets.

Rhea-AI Filing Summary

DUOS TECHNOLOGIES GROUP, INC. (DUOT) Chief Executive Officer Frank Douglas Recker was granted 880,000 shares directly on August 17, 2026, under the company’s 2021 Equity Incentive Plan, as amended. The award comprises two 440,000-share tranches, each allocating 40% (176,000 shares) to time-based restricted shares and 60% (264,000 shares) to performance-based restricted shares. A directly held common-stock position is also described as an award under the plan subject to a three-year cliff vesting period.

Insider Trade Summary

Grant/Award: 880,000 shares

Grant/Award 2 txns

Insider Recker Frank Douglas

Role Chief Executive Officer

Type	Security	Shares	Price	Value
Grant/Award	Common Stock, $0.001 par value F1	880,000	--	--
holding	Common Stock, $0.001 par value F2	--	--	--

Holdings After Transaction: 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 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.
2. F2. 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.

Key Figures

Shares granted: 880,000 shares Award tranches: 2 tranches Time-based restricted shares: 40% (176,000 shares per tranche) +2 more

5 metrics

Shares granted 880,000 shares August 17, 2026

Award tranches 2 tranches Each tranche is 440,000 shares

Time-based restricted shares 40% (176,000 shares per tranche) Allocation within each tranche

Performance-based restricted shares 60% (264,000 shares per tranche) Allocation within each tranche

Cliff-vesting period Three years Directly held common-stock position

Key Terms

2021 Equity Incentive Plan, cliff-vesting periods, time-based restricted shares, performance-based restricted shares

4 terms

2021 Equity Incentive Plan financial

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

cliff-vesting periods financial

"are subject to cliff-vesting periods"

time-based restricted shares financial

"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

"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.

FAQ

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

How many shares did DUOT CEO Frank Douglas Recker receive?

Frank Douglas Recker received a direct grant of 880,000 shares on August 17, 2026.

When do Frank Douglas Recker’s DUOT shares vest?

For the 880,000-share grant, the 176,000 time-based shares in each tranche vest on January 1, 2029 and January 1, 2030, respectively, with acceleration to April 1, 2028 and April 1, 2029 if certain targets are achieved. The 264,000 performance-based shares in each tranche vest upon certification of the applicable fiscal 2027 or 2028 targets. The separately listed directly held common-stock position is described as vesting on January 1, 2028, subject to acceleration to April 1, 2027 if certain fiscal 2026 targets are achieved.

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

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Available on EDGAR 10/15/2026 - 04:15 PM EDT Accepted by SEC EDGAR 10/15/2026 - 04:15 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)
08/17/2026

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)

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	08/17/2026		A(1)		880,000	A	(1)	880,000	D
Common Stock, $0.001 par value								400,000	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 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.

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 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.

	/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)