Form 4 for DUOT DUOS TECHNOLOGIES GROUP, INC.
Accepted 2025-01-30 00:00:00 ET · period of report 2024-12-31 · accession 0001079973-25-000170 · 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 | 2024-01-01 | DUOT | Ferry Charles Parker | CEO, Dir | A - Grant | — | +552.9K | 522.9K | New | — |
| DM | 2025-01-30 | 2024-12-31 | DUOT | Ferry Charles Parker | CEO, Dir | J - Other | — | +237.9K | 0 | New | — |
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 | 2024-01-01 | A | A | 552,889 | — | 522,889 | 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 | A | 37,889 | — | 0 | D | $4.22 · — to 2028-03-31 | 37,889 Common Stock, $0.001 par value | (F3) The options were cancelled as of December 31, 2024. (F6) These options were granted on April 1, 2023. As of the date hereof, options to purchase 12,630 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 | A | 100,000 | — | 0 | D | $4.20 · — to 2025-08-31 | 100,000 Common Stock, $0.001 par value | (F3) The options were cancelled as of December 31, 2024. (F4) These options were granted pursuant to an Employment Agreement, dated September 1, 2020, between Mr. Ferry and the Issuer. The options vested in equal installments on each of September 1, 2021 and 2022. |
| 4 | Derivative | Options to Purchase Common Stock | 2024-12-31 | J | A | 100,000 | — | 0 | D | $6.41 · — to 2026-11-09 | 100,000 Common Stock, $0.001 par value | (F3) The options were cancelled as of December 31, 2024. (F5) These options were granted on November 10, 2021. The options vested in three equal installments on each of November 10, 2022, 2023 and 2024. |