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DUOS TECHNOLOGIES GROUP, INC. — Director's Dealing 2025
Jan 30, 2025
33877_dirs_2025-01-30_31126d5d-496a-4881-abe3-f3b3d89fd4f0.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: 2024-12-31
Reporting Person: Goldfarb Adrian Graham (CFO)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2025-01-01 | Common Stock, $0.001 par value | A | 441275 | — | Acquired | 441275 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2024-12-31 | Options to Purchase Common Stock | $6.00 | J | 18929 | Disposed | 2025-04-01 | Common Stock, $0.001 par value (18929) | Direct |
| 2024-12-31 | Options to Purchase Common Stock | $4.74 | J | 18929 | Disposed | 2025-04-01 | Common Stock, $0.001 par value (18929) | Direct |
| 2024-12-31 | Options to Purchase Common Stock | $6.41 | J | 75000 | Disposed | 2027-01-01 | Common Stock, $0.001 par value (75000) | Direct |
| 2024-12-31 | Options to Purchase Common Stock | $4.22 | J | 28417 | Disposed | 2028-04-01 | Common Stock, $0.001 par value (28417) | Direct |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock, $0.001 par value | 11062 | Direct |
Footnotes
F1: 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.
F2: The options were cancelled as of December 31, 2024.
F3: These options were granted on April 1, 2020. Options to purchase 9,465 shares of Common Stock vested and became exercisable on January 1, 2021, and options to purchase 9,464 shares of Common Stock vested and became exercisable on January 1, 2022.
F4: These options were granted on January 1, 2022 and one-third vested and became exercisable on each of January 1, 2023, 2024 and 2025.
F5: These options were granted on April 1, 2023. As of the date hereof, options to purchase 9,473 shares have vested and are exercisable. One-half of the remaining options would have vested and become exercisable on April 1, 2025 and the other half would have vested and become exercisable on April 1, 2026.