DUOT

SEC source: 0001079973-25-000170 · ownership.xml · nonDerivative · entry 1

Ferry Charles Parker · CIK 0001821811 · Director · CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 522,889

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: 0001079973-24-000016 · ownership.xml · nonDerivative · entry 1

EHRMAN KENNETH S · CIK 0001107329 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 57,384

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

SEC source: 0001079973-24-000010 · ownership.xml · nonDerivative · entry 1

MAVROMMATIS NED · CIK 0001113291 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 26,375

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

SEC source: 0001079973-24-000012 · ownership.xml · nonDerivative · entry 1

Nixon James Craig · CIK 0001879177 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 37,759

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

SEC source: 0001079973-24-000014 · ownership.xml · nonDerivative · entry 1

Lonegro Frank A · CIK 0001653042 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 4,835

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

SEC source: 0001079973-24-000055 · ownership.xml · nonDerivative · entry 1

Ferry Charles Parker · CIK 0001821811 · Director · CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,075

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 basedon 85% of the closing price of the Common Stock on the relevant measurement date.

SEC source: 0001079973-24-000053 · ownership.xml · nonDerivative · entry 1

Murphy Andrew Winslow · CIK 0001953258 · CFO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 3,199

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: 0001781002-23-000043 · 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: 11,500

Underlying: Common Stock · 833,333 shares

Expires not disclosed

F3 · derivative.exercise_price: On 11/10/2023, 21 April Fund, Ltd., 21 April Fund, LP and the Issuer entered into an agreement (the "Securities Purchase Agreement") under which 21 April Fund, Ltd. and 21 April Fund, LP purchased from the Issuer 2,500 shares of Series E at a per share price of $1,000. Each share of Series E 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.

F3 · kind: On 11/10/2023, 21 April Fund, Ltd., 21 April Fund, LP and the Issuer entered into an agreement (the "Securities Purchase Agreement") under which 21 April Fund, Ltd. and 21 April Fund, LP purchased from the Issuer 2,500 shares of Series E at a per share price of $1,000. Each share of Series E 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.

F3 · derivative.exercise_date: On 11/10/2023, 21 April Fund, Ltd., 21 April Fund, LP and the Issuer entered into an agreement (the "Securities Purchase Agreement") under which 21 April Fund, Ltd. and 21 April Fund, LP purchased from the Issuer 2,500 shares of Series E at a per share price of $1,000. Each share of Series E 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.

F3 · derivative.expiration_date: On 11/10/2023, 21 April Fund, Ltd., 21 April Fund, LP and the Issuer entered into an agreement (the "Securities Purchase Agreement") under which 21 April Fund, Ltd. and 21 April Fund, LP purchased from the Issuer 2,500 shares of Series E at a per share price of $1,000. Each share of Series E 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.

SEC source: 0001781002-23-000043 · 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: 9,000

Underlying: Common Stock · 1,666,667 shares

Expires not disclosed

F1 · derivative.exercise_price: On 11/10/2023, 21 April Fund, Ltd. and 21 April Fund, LP exchanged, with DUOS Technologies Group, Inc. ("Issuer"), an aggregate of 5,000 shares of Series F Convertible Preferred Stock ("Series F") of the Issuer for 5,000 shares of Series E Preferred Stock ("Series E") of the Issuer per the terms of an agreement between 21 April Fund, Ltd., 21 April Fund, LP and the Issuer. Each share of Series F was convertible into shares of Common Stock at a conversion price of $6.20. Each share of Series E is convertible into shares of Common Stock at a conversion price of $3.00. Per the Articles of Amendment of the Issuer's Articles of Incorporation defining the preferences, rights and limitations of each series of preferred stock ("Articles"), conversion of these shares is subject to a Beneficial Ownership Limitation (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 · kind: On 11/10/2023, 21 April Fund, Ltd. and 21 April Fund, LP exchanged, with DUOS Technologies Group, Inc. ("Issuer"), an aggregate of 5,000 shares of Series F Convertible Preferred Stock ("Series F") of the Issuer for 5,000 shares of Series E Preferred Stock ("Series E") of the Issuer per the terms of an agreement between 21 April Fund, Ltd., 21 April Fund, LP and the Issuer. Each share of Series F was convertible into shares of Common Stock at a conversion price of $6.20. Each share of Series E is convertible into shares of Common Stock at a conversion price of $3.00. Per the Articles of Amendment of the Issuer's Articles of Incorporation defining the preferences, rights and limitations of each series of preferred stock ("Articles"), conversion of these shares is subject to a Beneficial Ownership Limitation (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 11/10/2023, 21 April Fund, Ltd. and 21 April Fund, LP exchanged, with DUOS Technologies Group, Inc. ("Issuer"), an aggregate of 5,000 shares of Series F Convertible Preferred Stock ("Series F") of the Issuer for 5,000 shares of Series E Preferred Stock ("Series E") of the Issuer per the terms of an agreement between 21 April Fund, Ltd., 21 April Fund, LP and the Issuer. Each share of Series F was convertible into shares of Common Stock at a conversion price of $6.20. Each share of Series E is convertible into shares of Common Stock at a conversion price of $3.00. Per the Articles of Amendment of the Issuer's Articles of Incorporation defining the preferences, rights and limitations of each series of preferred stock ("Articles"), conversion of these shares is subject to a Beneficial Ownership Limitation (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 11/10/2023, 21 April Fund, Ltd. and 21 April Fund, LP exchanged, with DUOS Technologies Group, Inc. ("Issuer"), an aggregate of 5,000 shares of Series F Convertible Preferred Stock ("Series F") of the Issuer for 5,000 shares of Series E Preferred Stock ("Series E") of the Issuer per the terms of an agreement between 21 April Fund, Ltd., 21 April Fund, LP and the Issuer. Each share of Series F was convertible into shares of Common Stock at a conversion price of $6.20. Each share of Series E is convertible into shares of Common Stock at a conversion price of $3.00. Per the Articles of Amendment of the Issuer's Articles of Incorporation defining the preferences, rights and limitations of each series of preferred stock ("Articles"), conversion of these shares is subject to a Beneficial Ownership Limitation (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.

SEC source: 0001781002-23-000043 · 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: 0

Underlying: Common Stock · 806,452 shares

Expires not disclosed

F1 · derivative.exercise_price: On 11/10/2023, 21 April Fund, Ltd. and 21 April Fund, LP exchanged, with DUOS Technologies Group, Inc. ("Issuer"), an aggregate of 5,000 shares of Series F Convertible Preferred Stock ("Series F") of the Issuer for 5,000 shares of Series E Preferred Stock ("Series E") of the Issuer per the terms of an agreement between 21 April Fund, Ltd., 21 April Fund, LP and the Issuer. Each share of Series F was convertible into shares of Common Stock at a conversion price of $6.20. Each share of Series E is convertible into shares of Common Stock at a conversion price of $3.00. Per the Articles of Amendment of the Issuer's Articles of Incorporation defining the preferences, rights and limitations of each series of preferred stock ("Articles"), conversion of these shares is subject to a Beneficial Ownership Limitation (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 · kind: On 11/10/2023, 21 April Fund, Ltd. and 21 April Fund, LP exchanged, with DUOS Technologies Group, Inc. ("Issuer"), an aggregate of 5,000 shares of Series F Convertible Preferred Stock ("Series F") of the Issuer for 5,000 shares of Series E Preferred Stock ("Series E") of the Issuer per the terms of an agreement between 21 April Fund, Ltd., 21 April Fund, LP and the Issuer. Each share of Series F was convertible into shares of Common Stock at a conversion price of $6.20. Each share of Series E is convertible into shares of Common Stock at a conversion price of $3.00. Per the Articles of Amendment of the Issuer's Articles of Incorporation defining the preferences, rights and limitations of each series of preferred stock ("Articles"), conversion of these shares is subject to a Beneficial Ownership Limitation (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 11/10/2023, 21 April Fund, Ltd. and 21 April Fund, LP exchanged, with DUOS Technologies Group, Inc. ("Issuer"), an aggregate of 5,000 shares of Series F Convertible Preferred Stock ("Series F") of the Issuer for 5,000 shares of Series E Preferred Stock ("Series E") of the Issuer per the terms of an agreement between 21 April Fund, Ltd., 21 April Fund, LP and the Issuer. Each share of Series F was convertible into shares of Common Stock at a conversion price of $6.20. Each share of Series E is convertible into shares of Common Stock at a conversion price of $3.00. Per the Articles of Amendment of the Issuer's Articles of Incorporation defining the preferences, rights and limitations of each series of preferred stock ("Articles"), conversion of these shares is subject to a Beneficial Ownership Limitation (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 11/10/2023, 21 April Fund, Ltd. and 21 April Fund, LP exchanged, with DUOS Technologies Group, Inc. ("Issuer"), an aggregate of 5,000 shares of Series F Convertible Preferred Stock ("Series F") of the Issuer for 5,000 shares of Series E Preferred Stock ("Series E") of the Issuer per the terms of an agreement between 21 April Fund, Ltd., 21 April Fund, LP and the Issuer. Each share of Series F was convertible into shares of Common Stock at a conversion price of $6.20. Each share of Series E is convertible into shares of Common Stock at a conversion price of $3.00. Per the Articles of Amendment of the Issuer's Articles of Incorporation defining the preferences, rights and limitations of each series of preferred stock ("Articles"), conversion of these shares is subject to a Beneficial Ownership Limitation (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.

SEC source: 0001079973-23-001369 · ownership.xml · nonDerivative · entry 1

EHRMAN KENNETH S · CIK 0001107329 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 54,938

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

SEC source: 0001079973-23-001371 · ownership.xml · nonDerivative · entry 1

MAVROMMATIS NED · CIK 0001113291 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 23,929

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

SEC source: 0001079973-23-001373 · ownership.xml · nonDerivative · entry 1

Nixon James Craig · CIK 0001879177 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 33,682

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

SEC source: 0001079973-23-001367 · ownership.xml · nonDerivative · entry 1

Lonegro Frank A · CIK 0001653042 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,573

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

SEC source: 0001781002-23-000036 · 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: 5,000

Underlying: Common Stock · 806,452 shares

Expires not disclosed

F1 · derivative.exercise_price: On August 1, 2023, 21 April Fund, Ltd., 21 April Fund, LP and DUOS Technologies Group, Inc. (the "Issuer") entered into an agreement (the "Securities Purchase Agreement") under which 21 April Fund, Ltd. and 21 April Fund, LP purchased from the Issuer 5,000 shares of Series F Convertible Preferred Stock at a per share price of $1,000. Each share of Series F Convertible Preferred Stock is convertible into shares of Common Stock at a conversion price of $6.20. In accordance with the Certificate of Designation, conversion of these shares is subject to a Beneficial Ownership Limitation (as defined in the agreement) 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 August 1, 2023, 21 April Fund, Ltd., 21 April Fund, LP and DUOS Technologies Group, Inc. (the "Issuer") entered into an agreement (the "Securities Purchase Agreement") under which 21 April Fund, Ltd. and 21 April Fund, LP purchased from the Issuer 5,000 shares of Series F Convertible Preferred Stock at a per share price of $1,000. Each share of Series F Convertible Preferred Stock is convertible into shares of Common Stock at a conversion price of $6.20. In accordance with the Certificate of Designation, conversion of these shares is subject to a Beneficial Ownership Limitation (as defined in the agreement) 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 August 1, 2023, 21 April Fund, Ltd., 21 April Fund, LP and DUOS Technologies Group, Inc. (the "Issuer") entered into an agreement (the "Securities Purchase Agreement") under which 21 April Fund, Ltd. and 21 April Fund, LP purchased from the Issuer 5,000 shares of Series F Convertible Preferred Stock at a per share price of $1,000. Each share of Series F Convertible Preferred Stock is convertible into shares of Common Stock at a conversion price of $6.20. In accordance with the Certificate of Designation, conversion of these shares is subject to a Beneficial Ownership Limitation (as defined in the agreement) 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.

SEC source: 0001079973-23-000909 · ownership.xml · nonDerivative · entry 1

EHRMAN KENNETH S · CIK 0001107329 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 52,501

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

SEC source: 0001079973-23-000907 · ownership.xml · nonDerivative · entry 1

MAVROMMATIS NED · CIK 0001113291 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 22,466

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

SEC source: 0001079973-23-000905 · ownership.xml · nonDerivative · entry 1

Nixon James Craig · CIK 0001879177 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 31,245

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

SEC source: 0001079973-23-000998 · ownership.xml · nonDerivative · entry 1

Murphy Andrew Winslow · CIK 0001953258 · CFO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 2,288

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: 0001553350-23-000346 · ownership.xml · derivative · entry 2

Murphy Andrew Winslow · CIK 0001953258 · CFO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 30,311

Underlying: Common Stock · 30,311 shares

Expires 2028-03-31

F1 · derivative.exercise_date: The options vest over three years, with 1/3 vesting on each anniversary of the date of grant.

SEC source: 0001553350-23-000345 · ownership.xml · derivative · entry 2

Ferry Charles Parker · CIK 0001821811 · Director · CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 37,889

Underlying: Common Stock · 37,889 shares

Expires 2028-03-31

F2 · derivative.exercise_date: The options vest over three years, with 1/3 vesting on each anniversary of the date of grant.

SEC source: 0001079973-23-000439 · ownership.xml · nonDerivative · entry 1

EHRMAN KENNETH S · CIK 0001107329 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 50,330

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

SEC source: 0001079973-23-000437 · ownership.xml · nonDerivative · entry 1

MAVROMMATIS NED · CIK 0001113291 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 21,163

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

SEC source: 0001079973-23-000441 · ownership.xml · nonDerivative · entry 1

Nixon James Craig · CIK 0001879177 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 29,074

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

SEC source: 0001781002-23-000030 · 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: 4,000

Underlying: Common Stock · 1,333,334 shares

Expires not disclosed

F1 · derivative.exercise_price: On March 23, 2023, 21 April Fund, Ltd., 21 April Fund, LP, and DUOS Technologies Group, Inc. (the "Issuer") entered into an agreement (the "Securities Purchase Agreement") under which21 April Fund, Ltd. and 21 April Fund, LP purchased from the Issuer 4000 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 Certificate of Designation, conversion of these shares is subject to a Beneficial Ownership Limitation (as defined in the agreement) 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 23, 2023, 21 April Fund, Ltd., 21 April Fund, LP, and DUOS Technologies Group, Inc. (the "Issuer") entered into an agreement (the "Securities Purchase Agreement") under which21 April Fund, Ltd. and 21 April Fund, LP purchased from the Issuer 4000 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 Certificate of Designation, conversion of these shares is subject to a Beneficial Ownership Limitation (as defined in the agreement) 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 23, 2023, 21 April Fund, Ltd., 21 April Fund, LP, and DUOS Technologies Group, Inc. (the "Issuer") entered into an agreement (the "Securities Purchase Agreement") under which21 April Fund, Ltd. and 21 April Fund, LP purchased from the Issuer 4000 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 Certificate of Designation, conversion of these shares is subject to a Beneficial Ownership Limitation (as defined in the agreement) 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.

SEC source: 0001781002-23-000029 · 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: 4,000

Underlying: Common Stock · 1,333,334 shares

Expires not disclosed

F1 · derivative.exercise_price: On March 23, 2023, 21 April Fund, Ltd., 21 April Fund, LP, and DUOS Technologies Group, Inc. (the "Issuer") entered into an agreement (the "Securities Purchase Agreement") under which 21 April Fund, Ltd. and 21 April Fund, LP purchased from the Issuer 4000 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 Certificate of Designation, conversion of these shares is subject to a Beneficial Ownership Limitation (as defined in the agreement) 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 23, 2023, 21 April Fund, Ltd., 21 April Fund, LP, and DUOS Technologies Group, Inc. (the "Issuer") entered into an agreement (the "Securities Purchase Agreement") under which 21 April Fund, Ltd. and 21 April Fund, LP purchased from the Issuer 4000 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 Certificate of Designation, conversion of these shares is subject to a Beneficial Ownership Limitation (as defined in the agreement) 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 23, 2023, 21 April Fund, Ltd., 21 April Fund, LP, and DUOS Technologies Group, Inc. (the "Issuer") entered into an agreement (the "Securities Purchase Agreement") under which 21 April Fund, Ltd. and 21 April Fund, LP purchased from the Issuer 4000 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 Certificate of Designation, conversion of these shares is subject to a Beneficial Ownership Limitation (as defined in the agreement) 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.

SEC source: 0001553350-23-000007 · ownership.xml · nonDerivative · entry 1

EHRMAN KENNETH S · CIK 0001107329 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 45,536

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

SEC source: 0001553350-23-000008 · ownership.xml · nonDerivative · entry 1

MAVROMMATIS NED · CIK 0001113291 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 18,287

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

SEC source: 0001553350-23-000009 · ownership.xml · nonDerivative · entry 4

Nixon James Craig · CIK 0001879177 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 24,280

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

SEC source: 0001553350-23-000010 · ownership.xml · nonDerivative · entry 1

Harris Edmond L · CIK 0001728038 · Former Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 13,932

F1 · kind: These shares were issued to Mr. Harris as compensation shares for his services as a Director of the Issuer. Mr. Harris resigned as a Director effective November 28, 2022.

SEC source: 0001553350-22-001001 · ownership.xml · nonDerivative · entry 1

Murphy Andrew Winslow · CIK 0001953258 · CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 750

SEC source: 0001553350-23-000009 · ownership.xml · nonDerivative · entry 3

Nixon James Craig · CIK 0001879177 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 18,835

SEC source: 0001553350-23-000009 · ownership.xml · nonDerivative · entry 2

Nixon James Craig · CIK 0001879177 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,835

SEC source: 0001079973-22-001496 · ownership.xml · nonDerivative · entry 1

Murphy Andrew Winslow · CIK 0001953258 · CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 625

SEC source: 0001079973-22-001501 · goldfarb4.xml · nonDerivative · entry 1

Goldfarb Adrian Graham · CIK 0001427103 · Former CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,831

F1 · price: The price reported in Column 4 is a weighted price. These shares were purchased in multiple transactions at prices ranging from $2.08 to $2.15 per share. The reporting person undertakes to provide upon request by the issuer, any security holder of the issuer or the staff of the Securities and Exchange Commission full information regarding the number of shares purchased at each separate price within the range set forth in this footnote to this Form 4.

SEC source: 0001553350-23-000009 · ownership.xml · nonDerivative · entry 1

Nixon James Craig · CIK 0001879177 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,335

SEC source: 0001553350-22-000950 · goldfarb4.xml · nonDerivative · entry 2

Goldfarb Adrian Graham · CIK 0001427103 · Former CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,538

F2 · price: The price reported in Column 4 is a weighted price. These shares were purchased in multiple transactions at prices ranging from $2.75 to $2.80 per share. The reporting person undertakes to provide upon request by the issuer, any security holder of the issuer or the staff of the Securities and Exchange Commission full information regarding the number of shares purchased at each separate price within the range set forth in this footnote to this Form 4.

SEC source: 0001553350-22-000938 · ownership.xml · nonDerivative · entry 1

Murphy Andrew Winslow · CIK 0001953258 · CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 425

SEC source: 0001553350-22-000950 · goldfarb4.xml · nonDerivative · entry 1

Goldfarb Adrian Graham · CIK 0001427103 · Former CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,520

F1 · price: The price reported in Column 4 is a weighted price. These shares were purchased in multiple transactions at prices ranging from $2.81 to $2.85 per share. The reporting person undertakes to provide upon request by the issuer, any security holder of the issuer or the staff of the Securities and Exchange Commission full information regarding the number of shares purchased at each separate price within the range set forth in this footnote to this Form 4.

SEC source: 0001781002-22-000067 · primary_doc.xml · derivative · entry 1

Bleichroeder LP · CIK 0001781002 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 999

Underlying: Common Stock · 333,000 shares

Expires not disclosed

F1 · derivative.exercise_price: On September 30, 2022, 21 April Fund, Ltd., 21 April Fund, LP, certain other purchasers and DUOS Technologies Group, Inc. (the "Issuer") entered into an agreement (the "Securities Purchase Agreement") under which 21 April Fund, Ltd. and 21 April Fund, LP purchased from the Issuer 999 shares of Series D Convertible Preferred Stock at a per share price of $1,000. Each share of Series D Convertible Preferred Stock is convertible into shares of Common Stock at a conversion price of $3.00. In accordance with the Certificate of Designation, conversion of these shares is subject to a Beneficial Ownership Limitation (as defined in the agreement) of 19.9% 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 September 30, 2022, 21 April Fund, Ltd., 21 April Fund, LP, certain other purchasers and DUOS Technologies Group, Inc. (the "Issuer") entered into an agreement (the "Securities Purchase Agreement") under which 21 April Fund, Ltd. and 21 April Fund, LP purchased from the Issuer 999 shares of Series D Convertible Preferred Stock at a per share price of $1,000. Each share of Series D Convertible Preferred Stock is convertible into shares of Common Stock at a conversion price of $3.00. In accordance with the Certificate of Designation, conversion of these shares is subject to a Beneficial Ownership Limitation (as defined in the agreement) of 19.9% 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 September 30, 2022, 21 April Fund, Ltd., 21 April Fund, LP, certain other purchasers and DUOS Technologies Group, Inc. (the "Issuer") entered into an agreement (the "Securities Purchase Agreement") under which 21 April Fund, Ltd. and 21 April Fund, LP purchased from the Issuer 999 shares of Series D Convertible Preferred Stock at a per share price of $1,000. Each share of Series D Convertible Preferred Stock is convertible into shares of Common Stock at a conversion price of $3.00. In accordance with the Certificate of Designation, conversion of these shares is subject to a Beneficial Ownership Limitation (as defined in the agreement) of 19.9% 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.

SEC source: 0001553350-22-000805 · ownership.xml · nonDerivative · entry 1

EHRMAN KENNETH S · CIK 0001107329 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 40,091

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

SEC source: 0001140361-22-036627 · form4.xml · nonDerivative · entry 3

PESSIN NORMAN H · CIK 0000923666 · 10% owner

Pessin Brian L. · CIK 0001582758 · 10% owner

PESSIN SANDRA F · CIK 0000936979 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,221,062

F1 · security: This Form 4 is filed jointly by Norman H. Pessin, Brian L. Pessin and Sandra F. Pessin (collectively, the "Reporting Persons"). Each Reporting Person may be deemed to be a member of a Section 13(d) group that may be deemed to collectively beneficially own more than 10% of the Issuer's outstanding shares of common stock. Each Reporting Person disclaims beneficial ownership of the shares of common stock reported herein except to the extent of his or her pecuniary interest therein, and this report shall not be deemed to be an admission that any Reporting Person is the beneficial owner of such shares of common stock for purposes of Section 16 or for any other purpose.

F2 · ownership.direct: Shares beneficially owned by Sandra F. Pessin, Norman H. Pessin's spouse. Norman H. Pessin expressly disclaims beneficial ownership of such shares except to the extent of his pecuniary interest therein.

F5 · ownership.direct: Sandra F. Pessin purchased 333,334 shares of Common Stock through a private placement on September 30, 2022.

SEC source: 0001140361-22-036596 · form4.xml · nonDerivative · entry 3

PESSIN NORMAN H · CIK 0000923666 · 10% owner

Pessin Brian L. · CIK 0001582758 · 10% owner

PESSIN SANDRA F · CIK 0000936979 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,221,062

F1 · security: This Form 4 is filed jointly by Norman H. Pessin, Brian L. Pessin and Sandra F. Pessin (collectively, the "Reporting Persons"). Each Reporting Person may be deemed to be a member of a Section 13(d) group that may be deemed to collectively beneficially own more than 10% of the Issuer's outstanding shares of common stock. Each Reporting Person disclaims beneficial ownership of the shares of common stock reported herein except to the extent of his or her pecuniary interest therein, and this report shall not be deemed to be an admission that any Reporting Person is the beneficial owner of such shares of common stock for purposes of Section 16 or for any other purpose.

F2 · ownership.direct: Shares beneficially owned by Sandra F. Pessin, Norman H. Pessin's spouse. Norman H. Pessin expressly disclaims beneficial ownership of such shares except to the extent of his pecuniary interest therein.

F5 · ownership.direct: Sandra F. Pessin purchased 333,334 shares of Common Stock through a private placement on September 30, 2022.

SEC source: 0001553350-22-000806 · ownership.xml · nonDerivative · entry 1

MAVROMMATIS NED · CIK 0001113291 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,020

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

SEC source: 0001553350-22-000807 · ownership.xml · nonDerivative · entry 1

Nixon James Craig · CIK 0001879177 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,835

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

SEC source: 0001553350-22-000804 · ownership.xml · nonDerivative · entry 1

Harris Edmond L · CIK 0001728038 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,754

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

SEC source: 0001140361-22-036627 · form4.xml · derivative · entry 5

PESSIN NORMAN H · CIK 0000923666 · 10% owner

Pessin Brian L. · CIK 0001582758 · 10% owner

PESSIN SANDRA F · CIK 0000936979 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 121,571 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F4 · security: Sandra F. Pessin converted 851 shares of Series B Preferred Stock into 121,571 shares of Common Stock on September 27, 2022. The Series B Preferred Stock has no stated maturity date.

F4 · derivative.exercise_date: Sandra F. Pessin converted 851 shares of Series B Preferred Stock into 121,571 shares of Common Stock on September 27, 2022. The Series B Preferred Stock has no stated maturity date.

F4 · derivative.expiration_date: Sandra F. Pessin converted 851 shares of Series B Preferred Stock into 121,571 shares of Common Stock on September 27, 2022. The Series B Preferred Stock has no stated maturity date.

SEC source: 0001140361-22-036627 · form4.xml · nonDerivative · entry 2

PESSIN NORMAN H · CIK 0000923666 · 10% owner

Pessin Brian L. · CIK 0001582758 · 10% owner

PESSIN SANDRA F · CIK 0000936979 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 887,728

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · security: This Form 4 is filed jointly by Norman H. Pessin, Brian L. Pessin and Sandra F. Pessin (collectively, the "Reporting Persons"). Each Reporting Person may be deemed to be a member of a Section 13(d) group that may be deemed to collectively beneficially own more than 10% of the Issuer's outstanding shares of common stock. Each Reporting Person disclaims beneficial ownership of the shares of common stock reported herein except to the extent of his or her pecuniary interest therein, and this report shall not be deemed to be an admission that any Reporting Person is the beneficial owner of such shares of common stock for purposes of Section 16 or for any other purpose.

F2 · ownership.direct: Shares beneficially owned by Sandra F. Pessin, Norman H. Pessin's spouse. Norman H. Pessin expressly disclaims beneficial ownership of such shares except to the extent of his pecuniary interest therein.

F4 · ownership.direct: Sandra F. Pessin converted 851 shares of Series B Preferred Stock into 121,571 shares of Common Stock on September 27, 2022. The Series B Preferred Stock has no stated maturity date.

SEC source: 0001140361-22-036596 · form4.xml · nonDerivative · entry 2

PESSIN NORMAN H · CIK 0000923666 · 10% owner

Pessin Brian L. · CIK 0001582758 · 10% owner

PESSIN SANDRA F · CIK 0000936979 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 887,728

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · security: This Form 4 is filed jointly by Norman H. Pessin, Brian L. Pessin and Sandra F. Pessin (collectively, the "Reporting Persons"). Each Reporting Person may be deemed to be a member of a Section 13(d) group that may be deemed to collectively beneficially own more than 10% of the Issuer's outstanding shares of common stock. Each Reporting Person disclaims beneficial ownership of the shares of common stock reported herein except to the extent of his or her pecuniary interest therein, and this report shall not be deemed to be an admission that any Reporting Person is the beneficial owner of such shares of common stock for purposes of Section 16 or for any other purpose.

F2 · ownership.direct: Shares beneficially owned by Sandra F. Pessin, Norman H. Pessin's spouse. Norman H. Pessin expressly disclaims beneficial ownership of such shares except to the extent of his pecuniary interest therein.

F4 · ownership.direct: Sandra F. Pessin converted 851 shares of Series B Preferred Stock into 121,571 shares of Common Stock on September 27, 2022.

SEC source: 0001553350-22-000587 · ownership.xml · nonDerivative · entry 6

EHRMAN KENNETH S · CIK 0001107329 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 37,042