Duos Technologies CEO buys 9,250 shares

A separate 400,000-share direct holding is scheduled to vest January 1, 2028, with acceleration to April 1, 2027, if certain fiscal 2026 targets are achieved.

Available on EDGAR 09/23/2026 - 04:31 PM EDT Accepted by SEC EDGAR 09/23/2026 - 04:30 PM EDT Learn about SEC filing dates

The filer has since corrected this document, so the figures below are the ones originally reported and some of them may have changed. Read the amended Form 4/A for what the company says now.

Rhea-AI Filing Summary

DUOS TECHNOLOGIES GROUP, INC. Chief Executive Officer Frank Douglas Recker purchased 9,250 shares of common stock indirectly through an IRA on September 22, 2026, at $9.1413 per share; his reported indirect holdings after the purchase were 9,250 shares. Separately, his reported direct holding was 400,000 shares granted under the 2021 Equity Incentive Plan, as amended, and subject to cliff vesting. Those shares vest January 1, 2028, with acceleration to April 1, 2027, if certain fiscal 2026 targets are achieved.

Insider Trade Summary

Net Buyer: 9,250 shares

Net Buy 1 txn

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	--	--	--

Holdings After Transaction: Common Stock, $0.001 par value — 9,250 shares (Indirect, By IRA); Common Stock, $0.001 par value — 400,000 shares (Direct)

Footnotes (1)

1. F1. These shares were granted pursuant to the Issuer's 2021 Equity Incentive Plan, as amended, and are subject to a 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 purchased: 9,250 shares Purchase price: $9.1413 per share Indirect shares following purchase: 9,250 shares +3 more

6 metrics

Shares purchased 9,250 shares Indirect purchase through an IRA on September 22, 2026

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

Indirect shares following purchase 9,250 shares Reported after the September 22, 2026 purchase

Direct shares held 400,000 shares Reported holding associated with a grant under the 2021 Equity Incentive Plan, as amended

Scheduled vesting date January 1, 2028 400,000 direct shares

Conditional acceleration date April 1, 2027 If certain fiscal 2026 targets are achieved

Key Terms

2021 Equity Incentive Plan, cliff vesting period, acceleration

3 terms

2021 Equity Incentive Plan technical

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

cliff vesting period technical

"subject to a cliff vesting period"

acceleration technical

"subject to acceleration"

FAQ

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

How many DUOT shares did the CEO purchase, and at what price?

Frank Douglas Recker, Chief Executive Officer, reported purchasing 9,250 shares indirectly through an IRA on September 22, 2026, at $9.1413 per share. His reported indirect holdings after the purchase were 9,250 shares.

When do the DUOT CEO's 400,000 direct shares vest?

The 400,000-share direct holding is scheduled to vest on January 1, 2028. The vesting may accelerate to April 1, 2027, if certain fiscal 2026 targets are achieved.

Was the DUOT CEO's purchase made under a Rule 10b5-1 plan?

No Rule 10b5-1 plan is reported for the purchase.

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

Form 4 Insider Transactions: What Each Field Means →

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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)

6551 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)

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)

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 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	09/23/2026
	** 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)