[Form 4] Duos Technologies Group, Inc. Insider Trading Activity

Rhea-AI Filing Summary

Duos Technologies Group, Inc. (DUOT) – Form 4 insider filing

Chief Financial Officer Adrian G. Goldfarb reported the purchase of 2,789 shares of common stock on 30 June 2025 through the company’s Employee Stock Purchase Plan (ESPP). The shares were acquired at $6.0435, reflecting the ESPP’s 15 % discount to the closing price on the measurement date. After the transaction, Goldfarb’s direct ownership rose to 3,266 shares. No dispositions were reported and no derivative transactions were disclosed.

The filing also notes that Goldfarb holds 441,275 unvested shares granted under the 2021 Equity Incentive Plan, subject to a three-year cliff vesting schedule with full vesting on 1 January 2028.

Although the purchase value is modest (about US$17 thousand), insider buying by a senior executive can signal confidence in the company’s outlook and strengthen alignment with shareholders.

Positive

• CFO insider purchase: 2,789 shares acquired at $6.0435, lifting direct ownership to 3,266 shares and demonstrating management confidence.
• No insider sales: The Form 4 reports only acquisitions, providing a neutral-to-positive signal for investors.

Negative

• None.

Insights

Securities Analyst

TL;DR: Small ESPP buy by DUOT CFO increases direct stake; signal of alignment but limited financial significance.

The filing shows the CFO acquiring 2,789 shares at $6.0435 under the ESPP, a transaction exempt under Rule 16b-3. The purchase boosts direct ownership to 3,266 shares and involves no sales, which removes potential negative sentiment. However, at roughly $17k, the transaction is unlikely to materially influence liquidity or valuation. Investors may view it as a mild positive indicator of insider confidence, yet the scale is too small to change the investment thesis. The large unvested grant (441,275 shares) represents future dilution but is already part of the equity plan and vests in 2028.

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^*

Goldfarb Adrian Graham

(Last) (First) (Middle)

7660 CENTURION PARKWAY

SUITE 100

(Street)

JACKSONVILLE FL 32256

(City) (State) (Zip)

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

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

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

3. Date of Earliest Transaction (Month/Day/Year)
06/30/2025

4. 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 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(1)	06/30/2025		A	V	2,789	A	$6.0435(2)	3,266	D
Common Stock, $0.001 par value(3)								441,275	D

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. The reporting person is voluntarily reporting the acquisition of shares of the Issuer's Common Stock pursuant to the Duos Technologies Group, Inc. Employee Stock Purchase Plan (the "ESPP"). The transaction is also exempt under Rule 16b-3(c).

2. In accordance with the ESPP, these shares were purchased based on 85% of the closing price of the Common Stock on the relevant measurement date.

3. 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.

	/s/ Adrian G. Goldfarb	07/10/2025
	** 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 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.

FAQ

How many DUOT shares did CFO Adrian G. Goldfarb buy on 30 June 2025?

He purchased 2,789 common shares according to the Form 4 filing.

At what price were the Duos Technologies shares purchased under the ESPP?

The shares were bought at $6.0435, reflecting the ESPP’s 15% discount.

What is the CFO's direct ownership in DUOT after the transaction?

Following the purchase, Goldfarb directly owns 3,266 DUOT shares.

Were any shares sold by the CFO in this Form 4 filing?

No. The filing reports only acquisitions; there were no sales.

When will the unvested equity incentive shares vest?

The 441,275 shares granted under the 2021 Equity Incentive Plan will vest on January 1, 2028.