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Duos Technologies Group, Inc. (Nasdaq: DUOT) has filed a preliminary prospectus supplement for a public offering of common stock and, for investors whose post-deal ownership would surpass 4.99% (optionally 9.99%), pre-funded warrants. The warrants are priced at the share offering price minus $0.001 and carry a $0.001 exercise price, are immediately exercisable, unlisted and subject to the same ownership cap. Titan Partners Group, a division of American Capital Partners, is sole bookrunner and will receive a 7% underwriting discount plus reimbursement of up to $125,000 in expenses. The underwriter holds a 30-day option to purchase additional shares and will receive five-year warrants equal to 5% of the securities sold, exercisable at 120% of the public price.

Proceeds (net amount not yet specified) will be used to “expand, accelerate and further commercializeâ€� the Company’s Edge Data Center business and for general working capital. Management plans Stage 2 deployment of more than 65 edge data centers that leverage technology originally developed for its Railcar Inspection Portal. As of March 31 2025, Duos reported $3.8 million in cash and $5.2 million in stockholdersâ€� equity against a $76.4 million accumulated deficit.

Recent strategic actions include: 1) formation of Duos Edge AI (July 2024); 2) formation of Duos Energy and a two-year Asset Management Agreement with Fortress Investment Group’s New APR Energy expected to generate approximately $42 million in revenue and a 5% equity stake; and 3) three new U.S. patents strengthening the Company’s machine-vision rail inspection portfolio. Risk factors emphasize potential dilution, lack of dividend policy, illiquidity of the warrants and broad discretion over use of proceeds. The last reported share price on July 29 2025 was $7.42.

The Bank of Nova Scotia (BNS) is offering Autocallable Buffered Equity-Linked Notes linked to the common stock of NVIDIA Corporation (NVDA). The notes are senior, unsecured and unsubordinated obligations of BNS issued under its Senior Note Program, Series A. They do not pay periodic interest and will be issued at 100% of principal on 22 July 2025 (T+5 settlement).

Key economic terms

• Principal amount: $1,000 per note; minimum investment $1,000.
• Term: approximately 24 months, maturing 14 July 2027 unless automatically called.
• Initial price of NVDA (strike): $164.92 (close on 11 July 2025).
• Automatic call observation: 23 July 2026. If NVDA closes at or above the initial price, investors receive on 27 July 2026:
  â€� $1,000 + ($1,000 Ã— 21.50%) = $1,215 per note; no further payments.
• If not called, payment at maturity depends on NVDA’s final price:
  • Above initial price â€� full upside exposure (no cap).
  • 0% to â€�20% decline â€� positive return equal to the absolute decline (max 20%), capped at $1,200.
  • Below â€�20% â€� investor loses 1.25% for every additional 1% drop (buffer rate 125%), exposing principal to up to 100% loss.
• Buffer: 20% (buffer price $131.936).
• Initial estimated value: $939.21â€�$969.21, below issue price due to selling commissions (1.50%) and hedging costs.
• Listing: none; secondary market liquidity solely at dealersâ€� discretion.
• Issuer credit: Payments depend on BNS’s ability to pay; the notes are not CDIC or FDIC insured.

Risk highlights

• Principal at risk; accelerated downside beyond 20% decline.
• No interest or dividends; return limited to 21.5% if called.
• Estimated value below offer price implies negative yield at issuance.
• Market value may be volatile and influenced by BNS hedging, NVDA price moves, interest-rate changes and BNS credit perception.
• Notes are subject to conflicts of interest: Scotia Capital (USA) Inc. (affiliate) and Goldman Sachs act as dealers and hedging counterparties.

Use of proceeds � general corporate purposes. Underwriter proceeds to BNS are 98.50% of face value.

Investors should assess suitability carefully, noting the complex payoff, potential total loss of capital and limited liquidity.

Duos Technologies Group, Inc. (DUOT) â€� Form 4 insider filing

Chief Financial Officer Adrian G. Goldfarb reported the purchase of 2,789 shares of common stock on 30 June 2025 through the company’s Employee Stock Purchase Plan (ESPP). The shares were acquired at $6.0435, reflecting the ESPP’s 15 % discount to the closing price on the measurement date. After the transaction, Goldfarb’s direct ownership rose to 3,266 shares. No dispositions were reported and no derivative transactions were disclosed.

The filing also notes that Goldfarb holds 441,275 unvested shares granted under the 2021 Equity Incentive Plan, subject to a three-year cliff vesting schedule with full vesting on 1 January 2028.

Although the purchase value is modest (about US$17 thousand), insider buying by a senior executive can signal confidence in the company’s outlook and strengthen alignment with shareholders.

Duos Technologies Group, Inc. (DUOT) â€� Form 4 filing dated 07/10/2025

CEO and Director Charles P. Ferry reported the purchase of 662 common shares on 06/30/2025 through the company’s Employee Stock Purchase Plan (ESPP). The shares were acquired at $6.0435, reflecting the ESPP’s 15% discount to the market closing price. Following the transaction, Ferry’s beneficial ownership is reported as:

• 4,396 shares held directly
• 9,773 shares held jointly with spouse
• 522,889 unvested restricted shares granted under the 2021 Equity Incentive Plan (three-year cliff vesting, all shares vest on 01/01/2028)

The filing indicates voluntary disclosure and exemption under Rule 16b-3(c). No derivative security activity was reported.

Form 4 filing overview for Duos Technologies Group, Inc. (DUOT)

On 04/09/2025, former Chairman and Director Kenneth S. Ehrman reported the acquisition of 10,000 shares of DUOT common stock under the company’s 2021 Equity Incentive Plan. These shares were originally granted on 04/01/2025 with a one-year vesting schedule, but, following Mr. Ehrman’s resignation on 04/09/2025, the vesting period was accelerated to a 90-day cliff, resulting in full vesting on 07/08/2025.

After the transaction, Mr. Ehrman’s direct beneficial ownership stands at 91,768 shares. No derivative securities were reported.

The filing confirms Mr. Ehrman’s change in role � he is no longer Chairman or Director � and that the report was submitted by a single reporting person.

Potbelly Corporation (PBPB) â€� Form 4 filing: President & CEO Robert D. Wright reported three Code F transactions on 06/30/2025. Code F denotes shares surrendered to the issuer to cover tax obligations arising from the vesting of previously granted restricted stock units (RSUs).

• Shares withheld: 1,004, 537 and 641, totaling 2,182 common shares at an indicated price of $12.25.
• Post-transaction ownership: 780,254 common shares held directly.
• Context: The surrendered shares represent tax-related withholding, not open-market sales, and reduce Mr. Wright’s stake by a small fraction relative to his overall holdings.

No derivative security activity was reported, and there were no purchases or sales for investment purposes. The filing is routine and conveys minimal impact on Potbelly’s share-count or insider ownership profile.

On 2 July 2025, Enstar Group Limited (“Enstar”) filed seven Post-Effective Amendments to Form S-8 registration statements to deregister all unsold ordinary shares that had been reserved for employee and director equity plans. The affected authorisations originally covered approximately 3.16 million ordinary shares across the following programmes:

• 1,200,000 shares â€� 2006 Equity Incentive Plan (Reg. No. 333-141793)
• 460,949 shares â€� 1997 Omnibus Incentive Plan and 29,422 shares â€� 2001 Outside Directors Stock Option Plan (Reg. No. 333-148862)
• 97,862 shares â€� Deferred Compensation Plan for Non-Employee Directors (Reg. No. 333-148863)
• 200,000 shares â€� Employee Share Purchase Plan (Reg. No. 333-149551)
• 689,654 shares â€� 2016 Equity Incentive Plan (Reg. No. 333-212131)
• 84,370 shares â€� A&R 2016 Equity Incentive Plan (Reg. No. 333-237259)
• 400,000 shares â€� A&R 2016 Equity Incentive Plan (Reg. No. 333-265567)

The amendments were triggered by the completion of a merger agreement dated 29 July 2024 under which Enstar survived a series of transactions and became a wholly-owned subsidiary of Elk Bidco Limited. As no further public issuances will occur, Enstar is terminating the effectiveness of the S-8 registrations in accordance with undertakings contained in each filing. The submission is administrative and contains no new financial results. The document was signed in Hamilton, Bermuda by General Counsel Audrey B. Taranto.

On 07/01/2025, Gartner Inc. (IT) filed a Form 4 disclosing that outside director Jose M. Gutierrez converted 32 Common Stock Equivalents (CSEs) into an equal number of Gartner common shares at $0 cost. The distribution was made under the company’s Long-Term Incentive Plan (LTIP) and is coded “J,â€� indicating an ‘otherâ€� type of transaction. Immediately before the conversion, Gutierrez received a routine LTIP grant of 32 additional CSEs priced at $406.70 per unit (Code “Aâ€�), leaving him with 226 CSEs outstanding after the offsetting distribution.
Following the reported transactions, the director’s direct ownership stands at 1,663 common shares plus the remaining 226 CSEs. The 32-share increase represents an immaterial fraction of Gartner’s ~80 million diluted shares outstanding and does not affect the public float or corporate control. The filing reflects ordinary, compensation-related equity movements rather than a discretionary open-market purchase or sale, and therefore has limited signaling value for investors.