Form 4 for KITT Nauticus Robotics, Inc.
Accepted 2022-09-13 00:00:00 ET · period of report 2022-09-09 · accession 0001213900-22-055765 · SEC index · Original document
Summary rows
Aggregated the way they appear in lists: one row per insider, transaction code and security table.
| X | Filed | Traded | Ticker | Insider | Title | Type | Price | Qty | Owned | ΔOwn | Value |
|---|---|---|---|---|---|---|---|---|---|---|---|
| DI | 2022-09-13 | 2022-09-09 | KITT | Spiro Elliot | Dir | A - Grant | $0.00 | +2.60M | 2.60M | New | $0 |
| DMI | 2022-09-13 | 2021-07-19+ | KITT | Spiro Elliot | Dir | P - Purchase | $1.00 | +4.78M | 4.33M | New | +$4.78M |
Purchase Sale Sale after option exercise All abbreviations
Every reported transaction
| # | Table | Security | Date | Code | A/D | Shares | Price | Owned after | Own | Exercise / expiry | Underlying | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|---|
| 1 | Common | Common Stock | 2022-09-09 | A | A | 2,595,000 | $0.00 | 2,595,000 | I CleanTech Sponsor I LLC | — | — | (F1) The securities were acquired in connection with the business combination of CleanTech Acquisition Corp. ("CLAQ"), CleanTech Merger Sub, Inc., a wholly owned subsidiary of CLAQ, and Nauticus Robotics, Inc., dated December 16, 2021 and consummated on September 9, 2022. (F2) Shares held directly by CleanTech Sponsor I LLC. The Reporting Person, as the managing member of CleanTech Sponsor I LLC, may be deemed to share voting and dispositive power over the shares held by CleanTech Sponsor I LLC. The Reporting Person disclaims beneficial ownership of shares held by CleanTech Sponsor I LLC, except to the extent of any pecuniary interest therein. |
| 2 | Derivative | Private Warrant | 2021-07-28 | P | A | 450,000 | $1.00 | 4,783,333 | I CleanTech Sponsor I LLC | $11.50 · 2022-09-09 to 2026-07-14 | 450,000 Common Stock | (F2) Shares held directly by CleanTech Sponsor I LLC. The Reporting Person, as the managing member of CleanTech Sponsor I LLC, may be deemed to share voting and dispositive power over the shares held by CleanTech Sponsor I LLC. The Reporting Person disclaims beneficial ownership of shares held by CleanTech Sponsor I LLC, except to the extent of any pecuniary interest therein. |
| 3 | Derivative | Private Warrant | 2021-07-19 | P | A | 4,333,333 | $1.00 | 4,333,333 | I CleanTech Sponsor I LLC | $11.50 · 2022-09-09 to 2026-07-14 | 4,333,333 Common Stock | (F2) Shares held directly by CleanTech Sponsor I LLC. The Reporting Person, as the managing member of CleanTech Sponsor I LLC, may be deemed to share voting and dispositive power over the shares held by CleanTech Sponsor I LLC. The Reporting Person disclaims beneficial ownership of shares held by CleanTech Sponsor I LLC, except to the extent of any pecuniary interest therein. |