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DUOS TECHNOLOGIES GROUP, INC. — Director's Dealing 2020
Jul 14, 2020
33877_dirs_2020-07-14_6b38bc43-316d-4726-876b-d366e678cfed.zip
Director's Dealing
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SEC Form 4 — Statement of Changes in Beneficial Ownership
Issuer: DUOS TECHNOLOGIES GROUP, INC. (DUOT)
CIK: 0001396536
Period of Report: 2020-04-01
Reporting Person: Fonda Blair Madison (Director, Audit Committee Chairman)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2020-04-01 | Common Stock, par value $0.001 | A | 537 | $4.66 | Acquired | 6996 | Direct |
| 2020-07-08 | Common Stock, par value $0.001 | A | 544 | $4.60 | Acquired | 7540 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2020-04-01 | Options to purchase Common Stock | $14.00 | D | 8572 | Disposed | Common Stock (8572) | Direct | |
| 2020-04-01 | Options to purchase Common Stock | $6.00 | A | 8572 | Acquired | 2025-04-01 | Common Stock (8572) | Direct |
| 2020-04-01 | Options to purchase Common Stock | $4.74 | A | 8572 | Acquired | 2025-04-01 | Common Stock (8572) | Direct |
Footnotes
F1: The shares were issued to Mr. Fonda as compensation shares for his services as a Director of the Issuer.
F2: 8,572 previously issued Options to purchase shares of Common Stock were cancelled by the issuer, and 8,572 Options to purchase shares of Common Stock at a lower exercise price were issued as a replacement.
F3: 4,286 Options to purchase Shares of Common Stock shall vest and become exercisable on 01/01/2021. The remaining 4,286 Options to purchase Shares of Common Stock shall vest and become exercisable on 01/01/2022.