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