Welcome to our dedicated page for Duos Technologies Group SEC filings (Ticker: DUOT), a comprehensive resource for investors and traders seeking official regulatory documents including 10-K annual reports, 10-Q quarterly earnings, 8-K material events, and insider trading forms.
Duos Technologies Group, Inc. filings document governance, capital structure, material agreements, executive compensation, and operating results for a Nasdaq-listed technology infrastructure company. Proxy materials cover annual meeting matters and board oversight, while Form 8-K reports disclose leadership changes, employment and equity compensation arrangements, and other governance events.
The company’s filings also record public offering activity, shelf registration and prospectus supplement disclosures, common stock financing, preliminary financial results, and material agreements tied to Duos Edge AI and high-density GPU infrastructure. These documents frame the company’s reporting around edge data centers, AI infrastructure, machine-vision technology, and related risk and financing matters.
James Brian J., identified as a director of Duos Technologies Group, Inc. (DUOT), filed an initial Form 3 reporting his relationship to the company and stating that he does not beneficially own any securities of the issuer. The filing declares no direct or indirect ownership, and no derivative positions are reported. This is an initial ownership disclosure required for corporate insiders and confirms that the reporting person currently holds zero shares or options in DUOT.
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.
Duos Technologies Group appointed Douglas Recker as President effective September 15, 2025. He has over 30 years of experience in telecommunications and data centers and has led the company’s Duos Edge AI subsidiary since July 2024. In connection with this role, he is resigning from his commercial officer position at New APR Energy to focus on Duos.
The company entered into a new three-year employment agreement with Mr. Recker, providing a $325,000 annual base salary and eligibility for an annual performance bonus of up to 80% of salary based on revenue, profitability and other goals. He previously received 225,000 restricted shares that cliff vest on December 31, 2027, and has now been granted an additional 175,000 restricted shares that cliff vest on September 30, 2028, with accelerated vesting on certain termination or change-of-control events.
Also effective September 15, 2025, Christopher King resigned as Chief Operating Officer of Duos to focus on his COO role at New APR. Of his 225,000 restricted shares, 112,500 will be forfeited, while the remaining 112,500 continue to vest on December 31, 2027, conditioned on his continued employment with New APR.
Duos Technologies Group, Inc. reported that its Board of Directors elected Brian J. James as a new director, effective September 5, 2025. The Board determined that he qualifies as an independent director under Nasdaq listing standards, although he has not yet been assigned to any Board committees.
Mr. James is an entrepreneurial leader with more than 20 years of experience in the fiber and data center industries, holding senior roles at several fiber infrastructure and distribution businesses, including NAT Tech LLC, Fiber Data Warehouse LLC, Fiber Connect LLC and previously BCDC Connect LLC. He will receive the standard compensation package for non-employee directors as described in the company’s April 14, 2025 proxy statement.
The company states there are no special arrangements, family relationships or related-party transactions involving Mr. James that require disclosure. A press release announcing his election is included as an exhibit to the report.
Duos Technologies Group, Inc. reported that it released its financial and operating results for the quarter and six months ended June 30, 2025. The company shared these results in a press release and discussed them on a public earnings conference call.
The press release is furnished as Exhibit 99.1 and the full transcript of the earnings call with CEO Chuck Ferry and CFO Adrian G. Goldfarb is furnished as Exhibit 99.2. These materials are provided as “furnished” information under the securities laws and are also available on the company’s website.
Duos Technologies Group, Inc. (DUOT) reported operational progress and material financing activity in its Form 10-Q. The company recorded $7.2 million of contract liabilities and an equity-method investment tied to an Asset Management Agreement (AMA), with revenue recognition under that AMA beginning January 1, 2025 and approximately $1.8 million recognized for the six months ended June 30, 2025. The company had a working capital deficit of $8.3 million and an accumulated deficit of $79.97 million as of June 30, 2025. Cash flow highlights include $11.5 million from preferred stock sales and multiple ATM placements in 2024–2025, plus a subsequent public offering that raised approximately $37.1 million (net) closed August 1, 2025. The filing discloses customer concentration in revenues and receivables, lease financing activities, several convertible preferred stock series and related conversion mechanics, and commitments for Edge Data Center deployments and Duos Energy expansion.
Duos Technologies Group, Inc. (DUOT) reported operational progress and material financing activity in its Form 10-Q. The company recorded $7.2 million of contract liabilities and an equity-method investment tied to an Asset Management Agreement (AMA), with revenue recognition under that AMA beginning January 1, 2025 and approximately $1.8 million recognized for the six months ended June 30, 2025. The company had a working capital deficit of $8.3 million and an accumulated deficit of $79.97 million as of June 30, 2025. Cash flow highlights include $11.5 million from preferred stock sales and multiple ATM placements in 2024–2025, plus a subsequent public offering that raised approximately $37.1 million (net) closed August 1, 2025. The filing discloses customer concentration in revenues and receivables, lease financing activities, several convertible preferred stock series and related conversion mechanics, and commitments for Edge Data Center deployments and Duos Energy expansion.
Duos Technologies Group, Inc. (Nasdaq: DUOT) has filed a preliminary prospectus supplement for a public offering of common stock and, for investors whose post-deal ownership would surpass 4.99% (optionally 9.99%), pre-funded warrants. The warrants are priced at the share offering price minus $0.001 and carry a $0.001 exercise price, are immediately exercisable, unlisted and subject to the same ownership cap. Titan Partners Group, a division of American Capital Partners, is sole bookrunner and will receive a 7% underwriting discount plus reimbursement of up to $125,000 in expenses. The underwriter holds a 30-day option to purchase additional shares and will receive five-year warrants equal to 5% of the securities sold, exercisable at 120% of the public price.
Proceeds (net amount not yet specified) will be used to “expand, accelerate and further commercialize” the Company’s Edge Data Center business and for general working capital. Management plans Stage 2 deployment of more than 65 edge data centers that leverage technology originally developed for its Railcar Inspection Portal. As of March 31 2025, Duos reported $3.8 million in cash and $5.2 million in stockholders’ equity against a $76.4 million accumulated deficit.
Recent strategic actions include: 1) formation of Duos Edge AI (July 2024); 2) formation of Duos Energy and a two-year Asset Management Agreement with Fortress Investment Group’s New APR Energy expected to generate approximately $42 million in revenue and a 5% equity stake; and 3) three new U.S. patents strengthening the Company’s machine-vision rail inspection portfolio. Risk factors emphasize potential dilution, lack of dividend policy, illiquidity of the warrants and broad discretion over use of proceeds. The last reported share price on July 29 2025 was $7.42.
Duos Technologies Group, Inc. (Nasdaq: DUOT) has filed a preliminary prospectus supplement for a public offering of common stock and, for investors whose post-deal ownership would surpass 4.99% (optionally 9.99%), pre-funded warrants. The warrants are priced at the share offering price minus $0.001 and carry a $0.001 exercise price, are immediately exercisable, unlisted and subject to the same ownership cap. Titan Partners Group, a division of American Capital Partners, is sole bookrunner and will receive a 7% underwriting discount plus reimbursement of up to $125,000 in expenses. The underwriter holds a 30-day option to purchase additional shares and will receive five-year warrants equal to 5% of the securities sold, exercisable at 120% of the public price.
Proceeds (net amount not yet specified) will be used to “expand, accelerate and further commercialize” the Company’s Edge Data Center business and for general working capital. Management plans Stage 2 deployment of more than 65 edge data centers that leverage technology originally developed for its Railcar Inspection Portal. As of March 31 2025, Duos reported $3.8 million in cash and $5.2 million in stockholders’ equity against a $76.4 million accumulated deficit.
Recent strategic actions include: 1) formation of Duos Edge AI (July 2024); 2) formation of Duos Energy and a two-year Asset Management Agreement with Fortress Investment Group’s New APR Energy expected to generate approximately $42 million in revenue and a 5% equity stake; and 3) three new U.S. patents strengthening the Company’s machine-vision rail inspection portfolio. Risk factors emphasize potential dilution, lack of dividend policy, illiquidity of the warrants and broad discretion over use of proceeds. The last reported share price on July 29 2025 was $7.42.
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.