Duos Technologies (NASDAQ: DUOT) interim CFO receives 1,532-share equity grant

Rhea-AI Filing Summary

Goldfarb Adrian Graham reported acquisition or exercise transactions in this Form 4 filing.

Duos Technologies Group Interim CFO Adrian Graham Goldfarb reported new equity compensation in the company’s stock. He received a grant of 1,532 shares of common stock at $9.18 per share, increasing his directly held position in this account to 2,247 shares.

The filing notes that the shares were granted under the company’s 2021 Equity Incentive Plan and are subject to a three-year cliff vesting schedule, with all shares vesting on January 1, 2028. Footnotes also reference participation in the Employee Stock Purchase Plan, where shares are purchased at 85% of the closing price on the measurement date.

Insider Trade Summary

3 transactions reported

Mixed 3 txns

Insider Goldfarb Adrian Graham

Role Interim CFO

Type	Security	Shares	Price	Value
Grant/Award	Common Stock, $0.001 par value	1,532	$9.18	$14K
holding	Common Stock, $0.001 par value	--	--	--
holding	Common Stock, $0.001 par value	--	--	--

Holdings After Transaction: Common Stock, $0.001 par value — 2,247 shares (Direct, null)

Footnotes (1)

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). 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. 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.

Key Figures

Shares granted: 1,532 shares Grant price: $9.18 per share Post-grant holdings (account 1): 2,247 shares +4 more

7 metrics

Shares granted 1,532 shares Equity grant under 2021 Equity Incentive Plan

Grant price $9.18 per share Price for the 1,532-share common stock award

Post-grant holdings (account 1) 2,247 shares Total direct common shares after grant in that line item

Additional direct holding 1,000 shares Separate direct common stock position reported

Large direct position 441,275 shares Another direct common stock holding reported for the insider

Vesting date January 1, 2028 All granted shares vest on this date after three-year cliff

ESPP discount 85% of closing price Pricing mechanism for ESPP share purchases

Key Terms

Employee Stock Purchase Plan, Rule 16b-3(c), three-year cliff vesting period, 2021 Equity Incentive Plan, +1 more

5 terms

Employee Stock Purchase Plan financial

"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"

An employee stock purchase plan is a company program that lets workers buy shares through small payroll deductions, often at a discount to the market price and after a set offering period. Think of it like a workplace savings plan that turns into ownership: it encourages employees to share in the company’s success and can create predictable buying or selling of stock that investors watch because it affects supply, demand and employee incentives.

Rule 16b-3(c) regulatory

"The transaction is also exempt under Rule 16b-3(c)."

An SEC rule that lets corporate insiders avoid automatic "short‑swing" profit recovery when they buy or sell their company’s stock under a pre‑approved, written plan that meets specific conditions. For investors, it matters because it clarifies when insider trades are treated as routine, reducing legal uncertainty and helping distinguish trades made for ordinary compensation or pre‑planned reasons from those that might signal opportunistic or timely insider advantage.

three-year cliff vesting period financial

"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."

2021 Equity Incentive Plan financial

"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."

closing price financial

"these shares were purchased based on 85% of the closing price of the Common Stock on the relevant measurement date."

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Form 4 Insider Transactions: What Each Field Means →

Available on EDGAR 07/02/2026 - 05:37 PM Accepted by SEC EDGAR 07/02/2026 - 05:36 PM 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^*

Goldfarb Adrian Graham

(Last) (First) (Middle)

7660 CENTURION PARKWAY

SUITE 100

(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)

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

2a. Foreign Trading Symbol

3. Date of Earliest Transaction (Month/Day/Year)
06/30/2026

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(1)	06/30/2026		A	V	1,532	A	$9.18(2)	2,247	D
Common Stock, $0.001 par value(3)								441,275	D
Common Stock, $0.001 par value								1,000	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	07/02/2026
	** 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)

FAQ

What insider transaction did Duos Technologies (DUOT) report for its Interim CFO?

Duos Technologies reported an equity grant to Interim CFO Adrian Graham Goldfarb. He received 1,532 shares of common stock at $9.18 per share, raising his directly held balance in that account to 2,247 shares as part of his compensation package.

How many Duos Technologies (DUOT) shares did the Interim CFO hold after the latest grant?

After the reported grant, one of the Interim CFO’s direct holdings totaled 2,247 shares. Another direct line item in the filing shows 1,000 shares, and a separate direct position lists 441,275 shares of common stock, reflecting multiple direct ownership accounts.

What was the price for the 1,532 Duos Technologies (DUOT) shares granted to the Interim CFO?

The 1,532 granted shares were recorded at $9.18 per share. This price applies to the common stock awarded as part of his compensation, reported under transaction code A, which indicates a grant, award, or other acquisition rather than an open-market purchase.

Under which equity plan were the new Duos Technologies (DUOT) shares granted to the Interim CFO?

The new shares were granted under the 2021 Equity Incentive Plan, as amended. The filing states that these common stock shares are part of this plan, linking the award to the company’s long-term incentive framework for executives and key employees.

When do the newly granted Duos Technologies (DUOT) shares to the Interim CFO vest?

The granted shares are subject to a three-year cliff vesting period. According to the filing, all of these shares vest on January 1, 2028, meaning none vest before that date and the entire award becomes exercisable at once.

How does the Duos Technologies (DUOT) Employee Stock Purchase Plan price employee share purchases?

The Employee Stock Purchase Plan prices shares at 85% of the closing price. The filing explains that shares acquired through the ESPP are purchased based on 85% of the common stock’s closing price on the relevant measurement date, offering a built-in discount to participants.