0001553350-19-000168.txt : 20190225 0001553350-19-000168.hdr.sgml : 20190225 20190225070040 ACCESSION NUMBER: 0001553350-19-000168 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20190222 FILED AS OF DATE: 20190225 DATE AS OF CHANGE: 20190225 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Goldfarb Adrian Graham CENTRAL INDEX KEY: 0001427103 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-55497 FILM NUMBER: 19628042 MAIL ADDRESS: STREET 1: 3515 SE LIONEL TERRACE CITY: STUART STATE: FL ZIP: 34997 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: DUOS TECHNOLOGIES GROUP, INC. CENTRAL INDEX KEY: 0001396536 STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-PREPACKAGED SOFTWARE [7372] IRS NUMBER: 650493217 STATE OF INCORPORATION: FL FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 6622 SOUTHPOINT DRIVE S STREET 2: SUITE 310 CITY: JACKSONVILLE STATE: FL ZIP: 32216 BUSINESS PHONE: 904-296-2807 MAIL ADDRESS: STREET 1: 6622 SOUTHPOINT DRIVE S STREET 2: SUITE 310 CITY: JACKSONVILLE STATE: FL ZIP: 32216 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 4 1 goldfarb4.xml OWNERSHIP DOCUMENT X0306 4 2019-02-22 0 0001396536 DUOS TECHNOLOGIES GROUP, INC. DUOT 0001427103 Goldfarb Adrian Graham 6622 SOUTHPOINT DRIVE S JACKSONVILLE FL 32216 1 1 0 0 CFO Common Stock, par value $0.001 2019-02-22 4 P 0 26407 A 64949 D Warrants to purchase Common Stock 0.65 2019-02-22 4 P 0 179179 A 2019-02-25 2023-11-13 Common Stock 179179 179179 D Warrants to purchase Common Stock 9.45 2019-02-22 4 P 0 14320 A 2019-02-25 2020-10-31 Common Stock 14320 14320 D On February 22, 2019, Mr. Goldfarb purchased in a private transaction from a shareholder of the Company, 26,407 shares of common stock, a warrant to purchase 179,179 shares of common stock with an exercise price of $0.65 per share and a warrant to purchase 14,320 shares of common stock with an exercise price of $9.45 per share in exchange for a promissory note in the principal amount of $275,000. This is equivalent to approximately $1.25 per share of common stock or common stock equivalent. Excludes 34,020 warrants to purchase common stock as previously reported by Mr. Goldfarb on December 5, 2017 and 265,000 options issued to Mr. Goldfarb on March 8, 2018. /s/ Adrian G. Goldfarb 2019-02-25