Form 4 for DUOT DUOS TECHNOLOGIES GROUP, INC.
Accepted 2025-01-30 00:00:00 ET · period of report 2024-12-31 · accession 0001079973-25-000168 · SEC index · Original document
Summary rows
Aggregated the way they appear in lists: one row per insider, transaction code and security table.
| X | Filed | Traded | Ticker | Insider | Title | Type | Price | Qty | Owned | ΔOwn | Value |
|---|---|---|---|---|---|---|---|---|---|---|---|
| D | 2025-01-30 | 2025-01-01 | DUOT | Goldfarb Adrian Graham | CFO | A - Grant | — | +441.3K | 441.3K | New | — |
| DM | 2025-01-30 | 2024-12-31 | DUOT | Goldfarb Adrian Graham | CFO | J - Other | — | -141.3K | 0 | -100% | — |
Purchase Sale Sale after option exercise All abbreviations
Every reported transaction
| # | Table | Security | Date | Code | A/D | Shares | Price | Owned after | Own | Exercise / expiry | Underlying | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|---|
| 1 | Common | Common Stock, $0.001 par value | 2025-01-01 | A | A | 441,275 | — | 441,275 | D | — | — | (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. |
| 2 | Derivative | Options to Purchase Common Stock | 2024-12-31 | J | D | 28,417 | — | 0 | D | $4.22 · — to 2028-04-01 | 28,417 Common Stock, $0.001 par value | (F2) The options were cancelled as of December 31, 2024. (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. |
| 3 | Derivative | Options to Purchase Common Stock | 2024-12-31 | J | D | 75,000 | — | 0 | D | $6.41 · — to 2027-01-01 | 75,000 Common Stock, $0.001 par value | (F2) The options were cancelled as of December 31, 2024. (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. |
| 4 | Derivative | Options to Purchase Common Stock | 2024-12-31 | J | D | 18,929 | — | 0 | D | $4.74 · — to 2025-04-01 | 18,929 Common Stock, $0.001 par value | (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. |
| 5 | Derivative | Options to Purchase Common Stock | 2024-12-31 | J | D | 18,929 | — | 0 | D | $6.00 · 2020-04-01 to 2025-04-01 | 18,929 Common Stock, $0.001 par value | (F2) The options were cancelled as of December 31, 2024. |