DUOS Technologies insider files Form 4 after COO resignation and share forfeiture

Rhea-AI Filing Summary

Christopher T. King, formerly Chief Operating Officer of Duos Technologies Group, Inc. (DUOT), resigned effective September 15, 2025. In connection with his resignation he forfeited 112,500 restricted shares from a 225,000-share award under the company’s 2021 Equity Incentive Plan. Following the forfeiture, Mr. King is recorded as beneficially owning 112,500 restricted shares. The remaining restricted shares continue to be subject to the original cliff vesting schedule and are slated to vest on January 1, 2028. The Form 4 was signed on September 16, 2025.

Positive

• Remaining 112,500 restricted shares remain eligible to vest on January 1, 2028, providing potential future alignment
• Transaction disclosed promptly via Form 4, ensuring regulatory transparency

Negative

• Resignation of the COO reduces executive leadership continuity
• Forfeiture of 112,500 shares lowers the reporting person’s immediate stake and may reflect departure terms

Insights

Financial Analyst

TL;DR Insider resignation with partial forfeiture reduces near-term insider stake but leaves future potential vesting.

Mr. King's resignation and forfeiture of half of his restricted shares reduces his immediate economic interest in DUOT by 112,500 shares. The remaining 112,500 shares remain unvested until January 1, 2028, preserving a potential future alignment between the former COO and shareholders if vesting conditions are met. This disclosure is routine for executive departures and is material for ownership calculations, but the filing does not include additional financial metrics, severance details, or reasons for departure, limiting assessment of operational impact.

Corporate Governance Expert

TL;DR Departure triggers standard equity forfeiture; governance impact depends on context not disclosed in this filing.

The Form 4 documents a common post-employment equity adjustment: forfeiture of unvested restricted stock upon resignation and continuation of a cliff vest for remaining awards. From a governance perspective, the filing confirms enforcement of the equity plan's terms. The filing lacks details on transition arrangements, replacement plans, or any change in board-level oversight, so its governance implications are limited to the change in insider holdings disclosed.

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
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X

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

1. Name and Address of Reporting Person^*

King Christopher T.

(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
	Officer (give title below)	X	Other (specify below)
			FORMER CHIEF OPERATING OFFICER

3. Date of Earliest Transaction (Month/Day/Year)
09/15/2025

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	09/15/2025		D(1)		112,500	D	(1)	112,500	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. Effective September 15, 2025, Mr. King resigned as Chief Operating Officer. In connection with his resignation, Mr. King forfeited 112,500 of the 225,000 restricted shares of common stock he had been granted under the Issuer's 2021 Equity Incentive Plan, as amended. The remaining 112,500 restricted shares he had been granted remain subject to the same cliff vesting schedule and will vest on January 1, 2028.

	/s/ Christopher T. King	09/16/2025
	** 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

What transaction did Christopher T. King report on Form 4 for DUOT?

The Form 4 reports that Mr. King resigned as Chief Operating Officer effective September 15, 2025 and forfeited 112,500 restricted shares from a 225,000-share grant.

How many restricted shares does Mr. King still beneficially own after the reported transaction?

After the forfeiture, Mr. King beneficially owns 112,500 restricted shares of DUOT common stock.

When will the remaining restricted shares vest?

The remaining 112,500 restricted shares are subject to the original cliff vesting schedule and will vest on January 1, 2028.

When was the Form 4 signed and filed?

The Form 4 was signed by Christopher T. King on September 16, 2025 reporting the September 15, 2025 transaction.

Does the filing disclose severance or reasons for resignation?

No. The Form 4 only discloses the resignation, forfeiture of shares, and remaining vesting schedule; it does not provide severance details or reasons for resignation.