RCB EQUITIES 1, LLC 3
3 · Nauticus Robotics, Inc. · Filed Jul 2, 2026
Insider Transaction Report
Form 3
RCB EQUITIES 1, LLC
10% Owner
Holdings
- 782,829
COMMON STOCK, $0.0001 PAR VALUE
SERIES C CONVERTIBLE PREFERRED STOCK
[F1][F2]Exercise: $7.60→ COMMON STOCK, $0.0001 PAR VALUE (631,579 underlying)
Footnotes (2)
- [F1]Exercisable upon stockholder approval. Reporting person holds 4,800 shares of Series C Convertible Preferred Stock (stated value $1,000 per share; aggregate stated value $4,800,000) acquired on June 26, 2026 pursuant to an Exchange Agreement with Nauticus Robotics, Inc. The Series C Preferred Stock is convertible into shares of Common Stock at $7.60 per share (631,579 shares as-converted). Conversion requires stockholder approval pursuant to Nasdaq Listing Rule 5635. The Series C Preferred Stock was acquired as part of a conversion of $4,000,000 of outstanding indebtedness under a Senior Secured Term Loan Agreement dated September 18, 2023, at a 20% premium.
- [F2]No expiration date.
Signature
BRIAN ISAAC DROR|2026-07-02