0001079973-24-000629.txt : 20240501 0001079973-24-000629.hdr.sgml : 20240501 20240501173203 ACCESSION NUMBER: 0001079973-24-000629 CONFORMED SUBMISSION TYPE: 3 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20240429 FILED AS OF DATE: 20240501 DATE AS OF CHANGE: 20240501 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Goldfarb Adrian Graham CENTRAL INDEX KEY: 0001427103 ORGANIZATION NAME: FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 001-39227 FILM NUMBER: 24904255 MAIL ADDRESS: STREET 1: 7660 CENTURION PARKWAY STREET 2: SUITE 100 CITY: JACKSONVILLE STATE: FL ZIP: 32256 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: DUOS TECHNOLOGIES GROUP, INC. CENTRAL INDEX KEY: 0001396536 STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-PREPACKAGED SOFTWARE [7372] ORGANIZATION NAME: 06 Technology IRS NUMBER: 650493217 STATE OF INCORPORATION: FL FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 7660 CENTURION PARKWAY STREET 2: SUITE 100 CITY: JACKSONVILLE STATE: FL ZIP: 32256 BUSINESS PHONE: 904-296-2807 MAIL ADDRESS: STREET 1: 7660 CENTURION PARKWAY STREET 2: SUITE 100 CITY: JACKSONVILLE STATE: FL ZIP: 32256 FORMER COMPANY: FORMER CONFORMED NAME: DUOS TECHNOLOGY GROUP, INC. DATE OF NAME CHANGE: 20150710 FORMER COMPANY: FORMER CONFORMED NAME: INFORMATION SYSTEMS ASSOCIATES, INC. DATE OF NAME CHANGE: 20070416 3 1 goldfarb4.xml OWNERSHIP DOCUMENT X0206 3 2024-04-29 0 0001396536 DUOS TECHNOLOGIES GROUP, INC. DUOT 0001427103 Goldfarb Adrian Graham 7660 CENTURION PARKWAY SUITE 100 JACKSONVILLE FL 32256 0 1 0 0 Chief Financial Officer Common Stock, $0.001 par value 10079 D Options to Purchase Shares of Common Stock 6.00 2020-04-01 2025-04-01 Common Stock, $0.001 par value 18929 D Options to Purchase Shares of Common Stock 4.74 2025-04-01 Common Stock, $0.001 par value 18929 D Options to Purchase Shares of Common Stock 6.41 2027-01-01 Common Stock, $0.001 par value 75000 D Options to Purchase Shares of Common Stock 4.22 2028-04-01 Common Stock, $0.001 par value 28417 D 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. These options were granted on January 1, 2022. As of the date hereof, options to purchase 50,002 shares of Common Stock have vested and are exercisable. The remaining options will vest and become exercisable on January 1, 2025. 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 will vest and become exercisable on April 1, 2025, and the other half will vest and become exercisable on April 1, 2026. Mr. Goldfarb previously served as Chief Financial Officer of the Issuer through November 15, 2022. He was re-appointed as Chief Financial Officer effective April 29, 2024. /s/ Adrian G. Goldfarb 2024-05-01