5//SEC Filing
Spiro Elliot 5
Accession 0001849820-25-000056
CIK 0001849820other
Filed
Feb 13, 7:00 PM ET
Accepted
Feb 14, 7:51 PM ET
Size
267.8 KB
Accession
0001849820-25-000056
Insider Transaction Report
Form 5
Spiro Elliot
Director
Transactions
- Exercise/Conversion
Common Stock
2023-10-07+801→ 2,139 total - Exercise/Conversion
Common Stock
2024-05-28+1,338→ 2,139 total - Other
Common Stock
2023-06-07+4,642→ 4,642 total(indirect: By Dumby I. L.P.) - Other
Common Stock
2023-06-07−72,084→ 0 total(indirect: By LLC) - Exercise/Conversion
Restricted Stock Units
2023-10-07−801→ 25,286 total→ Common Stock (801 underlying) - Other
Private Warrant
2023-06-07−4,783,333→ 0 total(indirect: By LLC)Exercise: $11.50From: 2022-09-09Exp: 2026-07-14→ Common Stock (132,871 underlying) - Exercise/Conversion
Restricted Stock Units
2024-05-28−1,338→ 25,286 total→ Common Stock (1,338 underlying) - Award
Private Warrant
2023-06-07+200,000→ 200,000 total(indirect: By Dumby I L.P.)Exercise: $11.50From: 2022-09-09Exp: 2027-09-09→ Common Stock (5,556 underlying)
Footnotes (11)
- [F1]Each Restricted Stock Unit ("RSU") is issued pursuant to the Company's 2022 Omnibus Incentive Plan and represents a contingent right to receive one share of common stock, and vesting generally is subject to the reporting person remaining an employee or director of the Company, its affiliates or subsidiaries.
- [F10]On June 7, 2023, CleanTech Sponsor I LLC and CleanTech Investments, LLC (the "Co-Sponsors"), transferred an aggregate of 2,695,000 shares of Common Stock of the Company and 4,783,333 private warrants of the Company to certain transferees. Among those transfers, the Co-Sponsor's transferred 200,000 private warrants to Dumby I, LLP.
- [F11]The reporting person indirectly owns 200,000 warrants held by Dumby I L.P. Mr. Spiro's wife is General Partner of Dumby I L.P. and Mr. Spiro is not a Limited Partner of Dumby I L.P. Mr. Spiro disclaims beneficial ownership of the shares held indirectly, except to the extent of his pecuniary interest therein.
- [F2]Reflects holdings as of the date of this Form.
- [F3]On June 7, 2023, CleanTech Sponsor I LLC and CleanTech Investments, LLC (the "Co-Sponsors"), transferred an aggregate of 2,695,000 shares of Common Stock of the Company and 4,783,333 private warrants of the Company to certain transferees. Among those transfers, the Co-Sponsors transferred 4,642 shares to Dumby I, L.P.
- [F4]The reporting person indirectly owns 4,642 shares held by Dumby I L.P. Mr. Spiro's wife is General Partner of Dumby I L.P. and Mr. Spiro is not a Limited Partner of Dumby I L.P. Mr. Spiro disclaims beneficial ownership of the shares held indirectly, except to the extent of his pecuniary interest therein.
- [F5]On June 7, 2023, CleanTech Sponsor I LLC and CleanTech Investments, LLC (the "Co-Sponsors"), transferred an aggregate of 2,695,000 shares of Common Stock of the Company and 4,783,333 private warrants of the Company to certain transferees.
- [F6]Securities held by CleanTech Sponsor I, LLC, of which the reporting person is a managing member. The reporting person disclaims beneficial ownership of the shares held indirectly, except to the extent of his pecuniary interest therein.
- [F7]RSUs issued on October 7, 2022 and vested on October 7, 2023.
- [F8]RSUs granted on November 7, 2023 and vested on May 28, 2024.
- [F9]For every 36 Private Warrants, the registered holder is entitled to purchase one share of Common Stock at a price of $11.50 per full share, subject to adjustment.
Issuer
Nauticus Robotics, Inc.
CIK 0001849820
Entity typeother
Related Parties
1- filerCIK 0001875548
Filing Metadata
- Form type
- 5
- Filed
- Feb 13, 7:00 PM ET
- Accepted
- Feb 14, 7:51 PM ET
- Size
- 267.8 KB