DUOT

SEC source: 0001079973-25-000587 · ownership.xml · nonDerivative · entry 2

EHRMAN KENNETH S · CIK 0001107329 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 10,000

F2 · price: These shares were granted to Mr. Ehrman pursuant to the Issuer's 2021 Equity Incentive Plan, as amended, and are subject to a one-year cliff vesting period. All of the shares vest on April 1, 2026.

SEC source: 0001079973-25-000585 · ownership.xml · nonDerivative · entry 2

MAVROMMATIS NED · CIK 0001113291 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 10,000

F2 · price: These shares were granted to Mr. Mavrommatis pursuant to the Issuer's 2021 Equity Incentive Plan, as amended, and are subject to a one-year cliff vesting period. All of the shares vest on April 1, 2026.

SEC source: 0001079973-25-000587 · ownership.xml · nonDerivative · entry 1

EHRMAN KENNETH S · CIK 0001107329 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 71,768

F1 · kind: These shares were issued to Mr. Ehrman as compensation shares for his services as a Director of the Issuer.

SEC source: 0001079973-25-000585 · ownership.xml · nonDerivative · entry 1

MAVROMMATIS NED · CIK 0001113291 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 36,447

F1 · kind: These shares were issued to Mr. Mavrommatis as compensation shares for his services as a Director of the Issuer.

SEC source: 0001079973-25-000584 · ownership.xml · nonDerivative · entry 1

Nixon James Craig · CIK 0001879177 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 57,233

F1 · kind: These shares were issued to Mr. Nixon as compensation shares for his services as a Director of the Issuer.

SEC source: 0001079973-25-000586 · ownership.xml · nonDerivative · entry 1

Lonegro Frank A · CIK 0001653042 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 18,576

F1 · kind: These shares were issued to Mr. Lonegro as compensation shares for his services as a Director of the Issuer.

SEC source: 0001079973-25-000172 · ownership.xml · nonDerivative · entry 1

King Christopher T. · CIK 0002049490 · CHIEF OPERATING OFFICER

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 225,000

F1 · kind: 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.

F1 · price: 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.

SEC source: 0001079973-25-000168 · goldfarb4.xml · nonDerivative · entry 1

Goldfarb Adrian Graham · CIK 0001427103 · CFO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 441,275

F1 · security: 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.

F1 · kind: 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.

F1 · price: 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.

SEC source: 0001079973-25-000018 · ownership.xml · nonDerivative · entry 1

EHRMAN KENNETH S · CIK 0001107329 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 69,896

F1 · kind: The shares were issued to Mr. Ehrman as compensation shares for his services as a Director of the Issuer.

SEC source: 0001079973-25-000020 · ownership.xml · nonDerivative · entry 1

MAVROMMATIS NED · CIK 0001113291 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 34,575

F1 · kind: The shares were issued to Mr. Mavrommatis as compensation shares for his services as a Director of the Issuer.

SEC source: 0001079973-25-000022 · ownership.xml · nonDerivative · entry 1

Nixon James Craig · CIK 0001879177 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 54,425

F1 · kind: These shares were issued to Mr. Nixon as compensation shares for his services as a Director of the Issuer.

SEC source: 0001079973-25-000016 · ownership.xml · nonDerivative · entry 1

Lonegro Frank A · CIK 0001653042 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 15,768

F1 · kind: These shares were issued to Mr. Lonegro as compensation shares for his services as a Director of the Issuer.

SEC source: 0001079973-25-000073 · goldfarb4.xml · nonDerivative · entry 1

Goldfarb Adrian Graham · CIK 0001427103 · CFO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 11,062

F1 · security: The reporting person is voluntarily reporting the acquisition of shares of the issuer's Common Stock pursuant to the Duos Technologies Group, Inc. Employee Stock Purchase Plan (the "ESPP"). The transaction is also exempt under Rule 16b-3(c).

F2 · price: In accordance with the ESPP, these shares were purchased based on 85% of the closing price of the Common Stock on the relevant measurement date.

SEC source: 0001079973-25-000074 · ownership.xml · nonDerivative · entry 1

Ferry Charles Parker · CIK 0001821811 · Director · CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 3,374

F1 · security: The reporting person is voluntarily reporting the acquisition of shares of the issuer's Common Stock pursuant to the Duos Technologies Group, Inc. Employee Stock Purchase Plan (the "ESPP"). The transaction is also exempt under Rule 16b-3(c).

F2 · price: In accordance with the ESPP, these shares were purchased based on 85% of the closing price of the Common Stock on the relevant measurement date.

SEC source: 0001079973-25-000168 · goldfarb4.xml · derivative · entry 6

Goldfarb Adrian Graham · CIK 0001427103 · CFO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock, $0.001 par value · 28,417 shares

Expires 2028-04-01

F2 · kind: The options were cancelled as of December 31, 2024.

F2 · price: The options were cancelled as of December 31, 2024.

F5 · derivative.exercise_date: 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.

SEC source: 0001079973-25-000168 · goldfarb4.xml · derivative · entry 5

Goldfarb Adrian Graham · CIK 0001427103 · CFO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock, $0.001 par value · 75,000 shares

Expires 2027-01-01

F2 · kind: The options were cancelled as of December 31, 2024.

F2 · price: The options were cancelled as of December 31, 2024.

F4 · derivative.exercise_date: These options were granted on January 1, 2022 and one-third vested and became exercisable on each of January 1, 2023, 2024 and 2025.

SEC source: 0001079973-25-000168 · goldfarb4.xml · derivative · entry 4

Goldfarb Adrian Graham · CIK 0001427103 · CFO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock, $0.001 par value · 18,929 shares

Expires 2025-04-01

F2 · kind: The options were cancelled as of December 31, 2024.

F2 · price: The options were cancelled as of December 31, 2024.

F3 · derivative.exercise_date: 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.

SEC source: 0001079973-25-000168 · goldfarb4.xml · derivative · entry 3

Goldfarb Adrian Graham · CIK 0001427103 · CFO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock, $0.001 par value · 18,929 shares

Expires 2025-04-01

F2 · kind: The options were cancelled as of December 31, 2024.

F2 · price: The options were cancelled as of December 31, 2024.

SEC source: 0001079973-25-000170 · ownership.xml · derivative · entry 6

Ferry Charles Parker · CIK 0001821811 · Director · CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock, $0.001 par value · 37,889 shares

Expires 2028-03-31

F3 · kind: The options were cancelled as of December 31, 2024.

F3 · price: The options were cancelled as of December 31, 2024.

F6 · derivative.exercise_date: 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.

SEC source: 0001079973-25-000170 · ownership.xml · derivative · entry 5

Ferry Charles Parker · CIK 0001821811 · Director · CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock, $0.001 par value · 100,000 shares

Expires 2026-11-09

F3 · kind: The options were cancelled as of December 31, 2024.

F3 · price: The options were cancelled as of December 31, 2024.

F5 · derivative.exercise_date: These options were granted on November 10, 2021. The options vested in three equal installments on each of November 10, 2022, 2023 and 2024.

SEC source: 0001079973-25-000170 · ownership.xml · derivative · entry 4

Ferry Charles Parker · CIK 0001821811 · Director · CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock, $0.001 par value · 100,000 shares

Expires 2025-08-31

F3 · kind: The options were cancelled as of December 31, 2024.

F3 · price: The options were cancelled as of December 31, 2024.

F4 · derivative.exercise_date: 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.

SEC source: 0001553350-24-000160 · ownership.xml · nonDerivative · entry 1

EHRMAN KENNETH S · CIK 0001107329 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 67,784

F1 · kind: The shares were issued to Mr. Ehrman as compensation shares for his services as a Director of the Issuer.

SEC source: 0001553350-24-000158 · ownership.xml · nonDerivative · entry 1

MAVROMMATIS NED · CIK 0001113291 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 33,307

F1 · kind: The shares were issued to Mr. Mavrommatis as compensation shares for his services as a Director of the Issuer.

SEC source: 0001553350-24-000156 · ownership.xml · nonDerivative · entry 1

Nixon James Craig · CIK 0001879177 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 52,313

F1 · kind: These shares were issued to Mr. Nixon as compensation shares for his services as a Director of the Issuer.

SEC source: 0001553350-24-000162 · ownership.xml · nonDerivative · entry 1

Lonegro Frank A · CIK 0001653042 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 14,078

F1 · kind: These shares were issued to Mr. Lonegro as compensation shares for his services as a Director of the Issuer.

SEC source: 0001781002-24-000043 · primary_doc.xml · derivative · entry 9

Bleichroeder LP · CIK 0001781002 · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · See footnote

Disclosed balance after: 12,500

Underlying: Common Stock · 4,789,272 shares

Expires not disclosed

F2 · derivative.exercise_price: On September 19, 2024, the Issuer agreed to reduce the conversion price for the Series E Convertible Preferred Stock from $3.00 to $2.61. Conversion of these shares is subject to a Beneficial Ownership Limitation of 19.99% of the number of shares of Common Stock outstanding immediately after giving effect to the issuance of shares of Common Stock issuable upon conversion.

F2 · kind: On September 19, 2024, the Issuer agreed to reduce the conversion price for the Series E Convertible Preferred Stock from $3.00 to $2.61. Conversion of these shares is subject to a Beneficial Ownership Limitation of 19.99% of the number of shares of Common Stock outstanding immediately after giving effect to the issuance of shares of Common Stock issuable upon conversion.

F2 · derivative.exercise_date: On September 19, 2024, the Issuer agreed to reduce the conversion price for the Series E Convertible Preferred Stock from $3.00 to $2.61. Conversion of these shares is subject to a Beneficial Ownership Limitation of 19.99% of the number of shares of Common Stock outstanding immediately after giving effect to the issuance of shares of Common Stock issuable upon conversion.

F2 · derivative.expiration_date: On September 19, 2024, the Issuer agreed to reduce the conversion price for the Series E Convertible Preferred Stock from $3.00 to $2.61. Conversion of these shares is subject to a Beneficial Ownership Limitation of 19.99% of the number of shares of Common Stock outstanding immediately after giving effect to the issuance of shares of Common Stock issuable upon conversion.

F3 · ownership.nature: This form is filed by Bleichroeder LP. The securities reported herein are directly held by 21 April Fund, Ltd. and 21 April Fund, LP. Bleichroeder LP serves as registered investment adviser to 21 April Fund, Ltd., 21 April Fund, LP and other managed accounts. Bleichroeder LP disclaims beneficial ownership of these securities except to the extent of their pecuniary interest therein, and this report shall not be deemed an admission that Bleichroeder LP is the beneficial owner of the securities for purposes of Section 16 or for any other purposes.

SEC source: 0001781002-24-000043 · primary_doc.xml · derivative · entry 8

Bleichroeder LP · CIK 0001781002 · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · See footnote

Disclosed balance after: 0

Underlying: Common Stock · 4,166,667 shares

Expires not disclosed

F2 · derivative.exercise_price: On September 19, 2024, the Issuer agreed to reduce the conversion price for the Series E Convertible Preferred Stock from $3.00 to $2.61. Conversion of these shares is subject to a Beneficial Ownership Limitation of 19.99% of the number of shares of Common Stock outstanding immediately after giving effect to the issuance of shares of Common Stock issuable upon conversion.

F2 · kind: On September 19, 2024, the Issuer agreed to reduce the conversion price for the Series E Convertible Preferred Stock from $3.00 to $2.61. Conversion of these shares is subject to a Beneficial Ownership Limitation of 19.99% of the number of shares of Common Stock outstanding immediately after giving effect to the issuance of shares of Common Stock issuable upon conversion.

F2 · derivative.exercise_date: On September 19, 2024, the Issuer agreed to reduce the conversion price for the Series E Convertible Preferred Stock from $3.00 to $2.61. Conversion of these shares is subject to a Beneficial Ownership Limitation of 19.99% of the number of shares of Common Stock outstanding immediately after giving effect to the issuance of shares of Common Stock issuable upon conversion.

F2 · derivative.expiration_date: On September 19, 2024, the Issuer agreed to reduce the conversion price for the Series E Convertible Preferred Stock from $3.00 to $2.61. Conversion of these shares is subject to a Beneficial Ownership Limitation of 19.99% of the number of shares of Common Stock outstanding immediately after giving effect to the issuance of shares of Common Stock issuable upon conversion.

F3 · ownership.nature: This form is filed by Bleichroeder LP. The securities reported herein are directly held by 21 April Fund, Ltd. and 21 April Fund, LP. Bleichroeder LP serves as registered investment adviser to 21 April Fund, Ltd., 21 April Fund, LP and other managed accounts. Bleichroeder LP disclaims beneficial ownership of these securities except to the extent of their pecuniary interest therein, and this report shall not be deemed an admission that Bleichroeder LP is the beneficial owner of the securities for purposes of Section 16 or for any other purposes.

SEC source: 0001781002-24-000043 · primary_doc.xml · derivative · entry 7

Bleichroeder LP · CIK 0001781002 · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · See footnote

Disclosed balance after: 0

Underlying: Common Stock · 44,644 shares

Expires 2024-09-25

F1 · derivative.exercise_price: On September 19, 2024, DUOS Technologies Group, Inc. (the "Issuer") and Bleichroeder LP, investment advisor to 21 April Fund, Ltd. and 21 April Fund, LP, agreed to amend (x) those certain 300,000 warrants ("2024 Warrants") to acquire Common Stock at an exercise price of $3.00 per share and (y) those certain 44,644 warrants (the "2019 Warrants") to acquire Common Stock at an exercise price of $0.55 per share (such number of shares and exercise price reflecting adjustments resulting from a 1-for-14 reverse stock split), in each case, to (i) remove a Beneficial Ownership Limitation (as defined therein) of 9.99% of the number of shares of Common Stock outstanding immediately after giving effect to the issuance of Common Stock upon exercise of the applicable warrants and (ii) amend the exercise price to $2.61 per share. On September 19, 2024, following the amendments of the 2024 Warrants and the 2019 Warrants, the Holders exercised the 2024 Warrants and the 2019 Warrants.

F3 · ownership.nature: This form is filed by Bleichroeder LP. The securities reported herein are directly held by 21 April Fund, Ltd. and 21 April Fund, LP. Bleichroeder LP serves as registered investment adviser to 21 April Fund, Ltd., 21 April Fund, LP and other managed accounts. Bleichroeder LP disclaims beneficial ownership of these securities except to the extent of their pecuniary interest therein, and this report shall not be deemed an admission that Bleichroeder LP is the beneficial owner of the securities for purposes of Section 16 or for any other purposes.

SEC source: 0001781002-24-000043 · primary_doc.xml · derivative · entry 6

Bleichroeder LP · CIK 0001781002 · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · See footnote

Disclosed balance after: 0

Underlying: Common Stock · 300,000 shares

Expires 2029-07-22

F1 · derivative.exercise_price: On September 19, 2024, DUOS Technologies Group, Inc. (the "Issuer") and Bleichroeder LP, investment advisor to 21 April Fund, Ltd. and 21 April Fund, LP, agreed to amend (x) those certain 300,000 warrants ("2024 Warrants") to acquire Common Stock at an exercise price of $3.00 per share and (y) those certain 44,644 warrants (the "2019 Warrants") to acquire Common Stock at an exercise price of $0.55 per share (such number of shares and exercise price reflecting adjustments resulting from a 1-for-14 reverse stock split), in each case, to (i) remove a Beneficial Ownership Limitation (as defined therein) of 9.99% of the number of shares of Common Stock outstanding immediately after giving effect to the issuance of Common Stock upon exercise of the applicable warrants and (ii) amend the exercise price to $2.61 per share. On September 19, 2024, following the amendments of the 2024 Warrants and the 2019 Warrants, the Holders exercised the 2024 Warrants and the 2019 Warrants.

F3 · ownership.nature: This form is filed by Bleichroeder LP. The securities reported herein are directly held by 21 April Fund, Ltd. and 21 April Fund, LP. Bleichroeder LP serves as registered investment adviser to 21 April Fund, Ltd., 21 April Fund, LP and other managed accounts. Bleichroeder LP disclaims beneficial ownership of these securities except to the extent of their pecuniary interest therein, and this report shall not be deemed an admission that Bleichroeder LP is the beneficial owner of the securities for purposes of Section 16 or for any other purposes.

SEC source: 0001781002-24-000043 · primary_doc.xml · derivative · entry 5

Bleichroeder LP · CIK 0001781002 · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · See footnote

Disclosed balance after: 44,644

Underlying: Common Stock · 44,644 shares

Expires 2024-09-25

F1 · derivative.exercise_price: On September 19, 2024, DUOS Technologies Group, Inc. (the "Issuer") and Bleichroeder LP, investment advisor to 21 April Fund, Ltd. and 21 April Fund, LP, agreed to amend (x) those certain 300,000 warrants ("2024 Warrants") to acquire Common Stock at an exercise price of $3.00 per share and (y) those certain 44,644 warrants (the "2019 Warrants") to acquire Common Stock at an exercise price of $0.55 per share (such number of shares and exercise price reflecting adjustments resulting from a 1-for-14 reverse stock split), in each case, to (i) remove a Beneficial Ownership Limitation (as defined therein) of 9.99% of the number of shares of Common Stock outstanding immediately after giving effect to the issuance of Common Stock upon exercise of the applicable warrants and (ii) amend the exercise price to $2.61 per share. On September 19, 2024, following the amendments of the 2024 Warrants and the 2019 Warrants, the Holders exercised the 2024 Warrants and the 2019 Warrants.

F1 · kind: On September 19, 2024, DUOS Technologies Group, Inc. (the "Issuer") and Bleichroeder LP, investment advisor to 21 April Fund, Ltd. and 21 April Fund, LP, agreed to amend (x) those certain 300,000 warrants ("2024 Warrants") to acquire Common Stock at an exercise price of $3.00 per share and (y) those certain 44,644 warrants (the "2019 Warrants") to acquire Common Stock at an exercise price of $0.55 per share (such number of shares and exercise price reflecting adjustments resulting from a 1-for-14 reverse stock split), in each case, to (i) remove a Beneficial Ownership Limitation (as defined therein) of 9.99% of the number of shares of Common Stock outstanding immediately after giving effect to the issuance of Common Stock upon exercise of the applicable warrants and (ii) amend the exercise price to $2.61 per share. On September 19, 2024, following the amendments of the 2024 Warrants and the 2019 Warrants, the Holders exercised the 2024 Warrants and the 2019 Warrants.

F1 · price: On September 19, 2024, DUOS Technologies Group, Inc. (the "Issuer") and Bleichroeder LP, investment advisor to 21 April Fund, Ltd. and 21 April Fund, LP, agreed to amend (x) those certain 300,000 warrants ("2024 Warrants") to acquire Common Stock at an exercise price of $3.00 per share and (y) those certain 44,644 warrants (the "2019 Warrants") to acquire Common Stock at an exercise price of $0.55 per share (such number of shares and exercise price reflecting adjustments resulting from a 1-for-14 reverse stock split), in each case, to (i) remove a Beneficial Ownership Limitation (as defined therein) of 9.99% of the number of shares of Common Stock outstanding immediately after giving effect to the issuance of Common Stock upon exercise of the applicable warrants and (ii) amend the exercise price to $2.61 per share. On September 19, 2024, following the amendments of the 2024 Warrants and the 2019 Warrants, the Holders exercised the 2024 Warrants and the 2019 Warrants.

F3 · ownership.nature: This form is filed by Bleichroeder LP. The securities reported herein are directly held by 21 April Fund, Ltd. and 21 April Fund, LP. Bleichroeder LP serves as registered investment adviser to 21 April Fund, Ltd., 21 April Fund, LP and other managed accounts. Bleichroeder LP disclaims beneficial ownership of these securities except to the extent of their pecuniary interest therein, and this report shall not be deemed an admission that Bleichroeder LP is the beneficial owner of the securities for purposes of Section 16 or for any other purposes.

SEC source: 0001781002-24-000043 · primary_doc.xml · derivative · entry 4

Bleichroeder LP · CIK 0001781002 · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · See footnote

Disclosed balance after: 300,000

Underlying: Common Stock · 300,000 shares

Expires 2029-07-22

F1 · derivative.exercise_price: On September 19, 2024, DUOS Technologies Group, Inc. (the "Issuer") and Bleichroeder LP, investment advisor to 21 April Fund, Ltd. and 21 April Fund, LP, agreed to amend (x) those certain 300,000 warrants ("2024 Warrants") to acquire Common Stock at an exercise price of $3.00 per share and (y) those certain 44,644 warrants (the "2019 Warrants") to acquire Common Stock at an exercise price of $0.55 per share (such number of shares and exercise price reflecting adjustments resulting from a 1-for-14 reverse stock split), in each case, to (i) remove a Beneficial Ownership Limitation (as defined therein) of 9.99% of the number of shares of Common Stock outstanding immediately after giving effect to the issuance of Common Stock upon exercise of the applicable warrants and (ii) amend the exercise price to $2.61 per share. On September 19, 2024, following the amendments of the 2024 Warrants and the 2019 Warrants, the Holders exercised the 2024 Warrants and the 2019 Warrants.

F1 · kind: On September 19, 2024, DUOS Technologies Group, Inc. (the "Issuer") and Bleichroeder LP, investment advisor to 21 April Fund, Ltd. and 21 April Fund, LP, agreed to amend (x) those certain 300,000 warrants ("2024 Warrants") to acquire Common Stock at an exercise price of $3.00 per share and (y) those certain 44,644 warrants (the "2019 Warrants") to acquire Common Stock at an exercise price of $0.55 per share (such number of shares and exercise price reflecting adjustments resulting from a 1-for-14 reverse stock split), in each case, to (i) remove a Beneficial Ownership Limitation (as defined therein) of 9.99% of the number of shares of Common Stock outstanding immediately after giving effect to the issuance of Common Stock upon exercise of the applicable warrants and (ii) amend the exercise price to $2.61 per share. On September 19, 2024, following the amendments of the 2024 Warrants and the 2019 Warrants, the Holders exercised the 2024 Warrants and the 2019 Warrants.

F1 · price: On September 19, 2024, DUOS Technologies Group, Inc. (the "Issuer") and Bleichroeder LP, investment advisor to 21 April Fund, Ltd. and 21 April Fund, LP, agreed to amend (x) those certain 300,000 warrants ("2024 Warrants") to acquire Common Stock at an exercise price of $3.00 per share and (y) those certain 44,644 warrants (the "2019 Warrants") to acquire Common Stock at an exercise price of $0.55 per share (such number of shares and exercise price reflecting adjustments resulting from a 1-for-14 reverse stock split), in each case, to (i) remove a Beneficial Ownership Limitation (as defined therein) of 9.99% of the number of shares of Common Stock outstanding immediately after giving effect to the issuance of Common Stock upon exercise of the applicable warrants and (ii) amend the exercise price to $2.61 per share. On September 19, 2024, following the amendments of the 2024 Warrants and the 2019 Warrants, the Holders exercised the 2024 Warrants and the 2019 Warrants.

F3 · ownership.nature: This form is filed by Bleichroeder LP. The securities reported herein are directly held by 21 April Fund, Ltd. and 21 April Fund, LP. Bleichroeder LP serves as registered investment adviser to 21 April Fund, Ltd., 21 April Fund, LP and other managed accounts. Bleichroeder LP disclaims beneficial ownership of these securities except to the extent of their pecuniary interest therein, and this report shall not be deemed an admission that Bleichroeder LP is the beneficial owner of the securities for purposes of Section 16 or for any other purposes.

SEC source: 0001781002-24-000043 · primary_doc.xml · derivative · entry 3

Bleichroeder LP · CIK 0001781002 · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · See footnote

Disclosed balance after: 0

Underlying: Common Stock · 44,644 shares

Expires 2024-09-25

F1 · derivative.exercise_price: On September 19, 2024, DUOS Technologies Group, Inc. (the "Issuer") and Bleichroeder LP, investment advisor to 21 April Fund, Ltd. and 21 April Fund, LP, agreed to amend (x) those certain 300,000 warrants ("2024 Warrants") to acquire Common Stock at an exercise price of $3.00 per share and (y) those certain 44,644 warrants (the "2019 Warrants") to acquire Common Stock at an exercise price of $0.55 per share (such number of shares and exercise price reflecting adjustments resulting from a 1-for-14 reverse stock split), in each case, to (i) remove a Beneficial Ownership Limitation (as defined therein) of 9.99% of the number of shares of Common Stock outstanding immediately after giving effect to the issuance of Common Stock upon exercise of the applicable warrants and (ii) amend the exercise price to $2.61 per share. On September 19, 2024, following the amendments of the 2024 Warrants and the 2019 Warrants, the Holders exercised the 2024 Warrants and the 2019 Warrants.

F1 · kind: On September 19, 2024, DUOS Technologies Group, Inc. (the "Issuer") and Bleichroeder LP, investment advisor to 21 April Fund, Ltd. and 21 April Fund, LP, agreed to amend (x) those certain 300,000 warrants ("2024 Warrants") to acquire Common Stock at an exercise price of $3.00 per share and (y) those certain 44,644 warrants (the "2019 Warrants") to acquire Common Stock at an exercise price of $0.55 per share (such number of shares and exercise price reflecting adjustments resulting from a 1-for-14 reverse stock split), in each case, to (i) remove a Beneficial Ownership Limitation (as defined therein) of 9.99% of the number of shares of Common Stock outstanding immediately after giving effect to the issuance of Common Stock upon exercise of the applicable warrants and (ii) amend the exercise price to $2.61 per share. On September 19, 2024, following the amendments of the 2024 Warrants and the 2019 Warrants, the Holders exercised the 2024 Warrants and the 2019 Warrants.

F1 · price: On September 19, 2024, DUOS Technologies Group, Inc. (the "Issuer") and Bleichroeder LP, investment advisor to 21 April Fund, Ltd. and 21 April Fund, LP, agreed to amend (x) those certain 300,000 warrants ("2024 Warrants") to acquire Common Stock at an exercise price of $3.00 per share and (y) those certain 44,644 warrants (the "2019 Warrants") to acquire Common Stock at an exercise price of $0.55 per share (such number of shares and exercise price reflecting adjustments resulting from a 1-for-14 reverse stock split), in each case, to (i) remove a Beneficial Ownership Limitation (as defined therein) of 9.99% of the number of shares of Common Stock outstanding immediately after giving effect to the issuance of Common Stock upon exercise of the applicable warrants and (ii) amend the exercise price to $2.61 per share. On September 19, 2024, following the amendments of the 2024 Warrants and the 2019 Warrants, the Holders exercised the 2024 Warrants and the 2019 Warrants.

F3 · ownership.nature: This form is filed by Bleichroeder LP. The securities reported herein are directly held by 21 April Fund, Ltd. and 21 April Fund, LP. Bleichroeder LP serves as registered investment adviser to 21 April Fund, Ltd., 21 April Fund, LP and other managed accounts. Bleichroeder LP disclaims beneficial ownership of these securities except to the extent of their pecuniary interest therein, and this report shall not be deemed an admission that Bleichroeder LP is the beneficial owner of the securities for purposes of Section 16 or for any other purposes.

SEC source: 0001781002-24-000043 · primary_doc.xml · derivative · entry 2

Bleichroeder LP · CIK 0001781002 · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · See footnote

Disclosed balance after: 0

Underlying: Common Stock · 300,000 shares

Expires 2029-07-22

F1 · derivative.exercise_price: On September 19, 2024, DUOS Technologies Group, Inc. (the "Issuer") and Bleichroeder LP, investment advisor to 21 April Fund, Ltd. and 21 April Fund, LP, agreed to amend (x) those certain 300,000 warrants ("2024 Warrants") to acquire Common Stock at an exercise price of $3.00 per share and (y) those certain 44,644 warrants (the "2019 Warrants") to acquire Common Stock at an exercise price of $0.55 per share (such number of shares and exercise price reflecting adjustments resulting from a 1-for-14 reverse stock split), in each case, to (i) remove a Beneficial Ownership Limitation (as defined therein) of 9.99% of the number of shares of Common Stock outstanding immediately after giving effect to the issuance of Common Stock upon exercise of the applicable warrants and (ii) amend the exercise price to $2.61 per share. On September 19, 2024, following the amendments of the 2024 Warrants and the 2019 Warrants, the Holders exercised the 2024 Warrants and the 2019 Warrants.

F1 · kind: On September 19, 2024, DUOS Technologies Group, Inc. (the "Issuer") and Bleichroeder LP, investment advisor to 21 April Fund, Ltd. and 21 April Fund, LP, agreed to amend (x) those certain 300,000 warrants ("2024 Warrants") to acquire Common Stock at an exercise price of $3.00 per share and (y) those certain 44,644 warrants (the "2019 Warrants") to acquire Common Stock at an exercise price of $0.55 per share (such number of shares and exercise price reflecting adjustments resulting from a 1-for-14 reverse stock split), in each case, to (i) remove a Beneficial Ownership Limitation (as defined therein) of 9.99% of the number of shares of Common Stock outstanding immediately after giving effect to the issuance of Common Stock upon exercise of the applicable warrants and (ii) amend the exercise price to $2.61 per share. On September 19, 2024, following the amendments of the 2024 Warrants and the 2019 Warrants, the Holders exercised the 2024 Warrants and the 2019 Warrants.

F1 · price: On September 19, 2024, DUOS Technologies Group, Inc. (the "Issuer") and Bleichroeder LP, investment advisor to 21 April Fund, Ltd. and 21 April Fund, LP, agreed to amend (x) those certain 300,000 warrants ("2024 Warrants") to acquire Common Stock at an exercise price of $3.00 per share and (y) those certain 44,644 warrants (the "2019 Warrants") to acquire Common Stock at an exercise price of $0.55 per share (such number of shares and exercise price reflecting adjustments resulting from a 1-for-14 reverse stock split), in each case, to (i) remove a Beneficial Ownership Limitation (as defined therein) of 9.99% of the number of shares of Common Stock outstanding immediately after giving effect to the issuance of Common Stock upon exercise of the applicable warrants and (ii) amend the exercise price to $2.61 per share. On September 19, 2024, following the amendments of the 2024 Warrants and the 2019 Warrants, the Holders exercised the 2024 Warrants and the 2019 Warrants.

F3 · ownership.nature: This form is filed by Bleichroeder LP. The securities reported herein are directly held by 21 April Fund, Ltd. and 21 April Fund, LP. Bleichroeder LP serves as registered investment adviser to 21 April Fund, Ltd., 21 April Fund, LP and other managed accounts. Bleichroeder LP disclaims beneficial ownership of these securities except to the extent of their pecuniary interest therein, and this report shall not be deemed an admission that Bleichroeder LP is the beneficial owner of the securities for purposes of Section 16 or for any other purposes.

SEC source: 0001781002-24-000043 · primary_doc.xml · nonDerivative · entry 1

Bleichroeder LP · CIK 0001781002 · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · See footnote

Disclosed balance after: 1,627,806

F3 · ownership.nature: This form is filed by Bleichroeder LP. The securities reported herein are directly held by 21 April Fund, Ltd. and 21 April Fund, LP. Bleichroeder LP serves as registered investment adviser to 21 April Fund, Ltd., 21 April Fund, LP and other managed accounts. Bleichroeder LP disclaims beneficial ownership of these securities except to the extent of their pecuniary interest therein, and this report shall not be deemed an admission that Bleichroeder LP is the beneficial owner of the securities for purposes of Section 16 or for any other purposes.

SEC source: 0001781002-24-000038 · primary_doc.xml · derivative · entry 1

Bleichroeder LP · CIK 0001781002 · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · See footnote

Disclosed balance after: 300,000

Underlying: Common Stock · 300,000 shares

Expires 2029-07-22

F1 · derivative.exercise_price: On July 22, 2024, in connection with the issuance of promissory notes to 21 April Fund, Ltd. and 21 April Fund, LP by DUOS Technologies Group, Inc. (the "Issuer"), 21 April Fund, Ltd. and 21 April Fund, LP were issued an aggregate of 300,000 warrants ("Warrants") to acquire Common Stock of the Issuer at an exercise price of $3.00 per share of Common Stock, subject to adjustment in certain circumstances. Exercise of the Warrants is subject to a Beneficial Ownership Limitation (as defined therein) of 9.99% of the number of shares of Common Stock outstanding immediately after giving effect to the issuance of shares of Common Stock issuable upon exercise of the Warrants.

F1 · price: On July 22, 2024, in connection with the issuance of promissory notes to 21 April Fund, Ltd. and 21 April Fund, LP by DUOS Technologies Group, Inc. (the "Issuer"), 21 April Fund, Ltd. and 21 April Fund, LP were issued an aggregate of 300,000 warrants ("Warrants") to acquire Common Stock of the Issuer at an exercise price of $3.00 per share of Common Stock, subject to adjustment in certain circumstances. Exercise of the Warrants is subject to a Beneficial Ownership Limitation (as defined therein) of 9.99% of the number of shares of Common Stock outstanding immediately after giving effect to the issuance of shares of Common Stock issuable upon exercise of the Warrants.

F2 · ownership.nature: This form is filed by Bleichroeder LP. Bleichroeder LP serves as registered investment adviser to 21 April Fund, Ltd., 21 April Fund, LP and other managed accounts. Bleichroeder LP disclaims beneficial ownership of these securities except to the extent of their pecuniary interest therein, and this report shall not be deemed an admission that Bleichroeder LP is the beneficial owner of the securities for purposes of Section 16 or for any other purposes.

SEC source: 0001079973-24-001014 · ownership.xml · nonDerivative · entry 1

EHRMAN KENNETH S · CIK 0001107329 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 63,539

F1 · kind: The shares were issued to Mr. Ehrman as compensation shares for his services as a Director of the Issuer.

SEC source: 0001079973-24-001011 · ownership.xml · nonDerivative · entry 1

MAVROMMATIS NED · CIK 0001113291 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 30,760

F1 · kind: The shares were issued to Mr. Mavrommatis as compensation shares for his services as a Director of the Issuer.

SEC source: 0001079973-24-001012 · ownership.xml · nonDerivative · entry 4

Nixon James Craig · CIK 0001879177 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 48,068

F1 · kind: These shares were issued to Mr. Nixon as compensation shares for his services as a Director of the Issuer.

SEC source: 0001079973-24-001013 · ownership.xml · nonDerivative · entry 1

Lonegro Frank A · CIK 0001653042 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 10,682

F1 · kind: These shares were issued to Mr. Lonegro as compensation shares for his services as a Director of the Issuer.

SEC source: 0001079973-24-001038 · goldfarb4.xml · nonDerivative · entry 1

Goldfarb Adrian Graham · CIK 0001427103 · CFO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 10,585

F1 · security: The reporting person is voluntarily reporting the acquisition of shares of the issuer's Common Stock pursuant to the Duos Technologies Group, Inc. Employee Stock Purchase Plan (the "ESPP"). The transaction is also exempt under Rule 16b-3(c).

F2 · price: In accordance with the ESPP, these shares were purchased based on 85% of the closing price of the Common Stock on the relevant measurement date.

SEC source: 0001079973-24-001039 · ownership.xml · nonDerivative · entry 1

Ferry Charles Parker · CIK 0001821811 · Director · CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 2,258

F1 · security: The reporting person is voluntarily reporting the acquisition of shares of the issuer's Common Stock pursuant to the Duos Technologies Group, Inc. Employee Stock Purchase Plan (the "ESPP"). The transaction is also exempt under Rule 16b-3(c).

F2 · price: In accordance with the ESPP, these shares were purchased based on 85% of the closing price of the Common Stock on the relevant measurement date.

SEC source: 0001079973-24-001012 · ownership.xml · nonDerivative · entry 3

Nixon James Craig · CIK 0001879177 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 43,644

SEC source: 0001079973-24-001012 · ownership.xml · nonDerivative · entry 2

Nixon James Craig · CIK 0001879177 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 42,644

SEC source: 0001553350-24-000027 · ownership.xml · nonDerivative · entry 1

Ferry Charles Parker · CIK 0001821811 · Director · CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 9,773

F1 · ownership.direct: The shares owned by the reporting person are held in a joint account with the reporting person's spouse.

SEC source: 0001079973-24-001012 · ownership.xml · nonDerivative · entry 1

Nixon James Craig · CIK 0001879177 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 41,644

SEC source: 0001079973-24-000495 · ownership.xml · nonDerivative · entry 1

EHRMAN KENNETH S · CIK 0001107329 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 59,115

F1 · kind: The shares were issued to Mr. Ehrman as compensation shares for his services as a Director of the Issuer.

SEC source: 0001079973-24-000492 · ownership.xml · nonDerivative · entry 1

MAVROMMATIS NED · CIK 0001113291 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 28,106

F1 · kind: The shares were issued to Mr. Mavrommatis as compensation shares for his services as a Director of the Issuer.

SEC source: 0001079973-24-000493 · ownership.xml · nonDerivative · entry 1

Nixon James Craig · CIK 0001879177 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 40,644

F1 · kind: These shares were issued to Mr. Nixon as compensation shares for his services as a Director of the Issuer.

SEC source: 0001079973-24-000494 · ownership.xml · nonDerivative · entry 1

Lonegro Frank A · CIK 0001653042 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 7,143

F1 · kind: These shares were issued to Mr. Lonegro as compensation shares for his services as a Director of the Issuer.

SEC source: 0001781002-24-000026 · primary_doc.xml · derivative · entry 1

Bleichroeder LP · CIK 0001781002 · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · See footnote (2)

Disclosed balance after: 12,500

Underlying: Common Stock · 333,334 shares

Expires not disclosed

F1 · derivative.exercise_price: On March 22, 2024, each of 21 April Fund, Ltd. and 21 April Fund, LP entered into an agreement (the "Securities Purchase Agreement") with DUOS Technologies Group, Inc. (the "Issuer") under which 21 April Fund, Ltd. and 21 April Fund, LP purchased from the Issuer an aggregate of 1,000 shares of Series E Convertible Preferred Stock at a per share price of $1,000. Each share of Series E Convertible Preferred Stock is convertible into shares of Common Stock at a conversion price of $3.00. In accordance with the Articles, conversion of these shares is subject to a Beneficial Ownership Limitation (as defined therein) of 19.99% of the number of shares of Common Stock outstanding immediately after giving effect to the issuance of shares of Common Stock issuable upon conversion.

F1 · derivative.exercise_date: On March 22, 2024, each of 21 April Fund, Ltd. and 21 April Fund, LP entered into an agreement (the "Securities Purchase Agreement") with DUOS Technologies Group, Inc. (the "Issuer") under which 21 April Fund, Ltd. and 21 April Fund, LP purchased from the Issuer an aggregate of 1,000 shares of Series E Convertible Preferred Stock at a per share price of $1,000. Each share of Series E Convertible Preferred Stock is convertible into shares of Common Stock at a conversion price of $3.00. In accordance with the Articles, conversion of these shares is subject to a Beneficial Ownership Limitation (as defined therein) of 19.99% of the number of shares of Common Stock outstanding immediately after giving effect to the issuance of shares of Common Stock issuable upon conversion.

F1 · derivative.expiration_date: On March 22, 2024, each of 21 April Fund, Ltd. and 21 April Fund, LP entered into an agreement (the "Securities Purchase Agreement") with DUOS Technologies Group, Inc. (the "Issuer") under which 21 April Fund, Ltd. and 21 April Fund, LP purchased from the Issuer an aggregate of 1,000 shares of Series E Convertible Preferred Stock at a per share price of $1,000. Each share of Series E Convertible Preferred Stock is convertible into shares of Common Stock at a conversion price of $3.00. In accordance with the Articles, conversion of these shares is subject to a Beneficial Ownership Limitation (as defined therein) of 19.99% of the number of shares of Common Stock outstanding immediately after giving effect to the issuance of shares of Common Stock issuable upon conversion.

F2 · ownership.nature: This form is filed by Bleichroeder LP. Bleichroeder LP serves as registered investment adviser to 21 April Fund, Ltd., 21 April Fund, LP and other managed accounts. Bleichroeder LP disclaims beneficial ownership of these securities except to the extent of their pecuniary interest therein, and this report shall not be deemed an admission that Bleichroeder LP is the beneficial owner of the securities for purposes of Section 16 or for any other purposes.