X0306 4 2020-02-13 0001396536 DUOS TECHNOLOGIES GROUP, INC. DUOT 0000923666 PESSIN NORMAN H 400 E. 51ST STREET PH 31 NEW YORK NY 10022 true 0001582758 Pessin Brian L. 310 E. 75TH STREET APARTMENT 2A NEW YORK NY 10021 true 0000936979 PESSIN SANDRA F 400 E. 51ST STREET PH 31 NEW YORK NY 10022 true Common Stock 2020-02-13 4 P 0 58300 6 A 102972 D Common Stock 71430 D Common Stock 75002 D Series B Convertible Preferred Stock 7 Common Stock 243572 1705 D 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. 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. Shares beneficially owned by Brian L. Pessin. Norman H. Pessin and Sandra F. Pessin expressly disclaim beneficial ownership of such shares. The Series B Convertible Preferred Stock ("Preferred Stock") is not currently exercisable due to a 4.99% beneficial ownership limitation with respect to Common Stock owned by Sandra F. Pessin, affiliates of Sandra F. Pessin or members of a Group with Sandra F. Pessin. Such 4.99% beneficial ownership limitation can be increased to 9.99%. The Preferred Stock has no stated maturity date. Sandra F. Pessin owns 1,705 shares of Preferred Stock convertible into 243,572 shares of Common Stock. /s/ Norman H. Pessin 2021-09-03 /s/ Sandra F. Pessin 2021-09-03 /s/ Brian L. Pessin 2021-09-03