Nauticus Robotics, Inc. — Director's Dealing 2022

Sep 14, 2022

SEC Form 4 — Statement of Changes in Beneficial Ownership

Issuer: Nauticus Robotics, Inc. (KITT)
CIK: 0001849820
Period of Report: 2022-09-09

Reporting Person: Spiro Elliot (Director)

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2022-09-09	Common Stock	A	2595000	—	Acquired	2595000	Indirect

Derivative Transactions

Date	Security	Exercise Price	Code	Shares	A/D	Expiration	Underlying	Ownership
2021-07-19	Private Warrant	$11.50	P	4333333	Acquired	2026-07-14	Common Stock (4333333)	Indirect
2021-07-28	Private Warrant	$11.50	P	450000	Acquired	2026-07-14	Common Stock (450000)	Indirect

Footnotes

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.

F3: The securities were acquired in connection with the initial public offering of CLAQ on July 19, 2021.

F4: The securities were acquired in connection with the underwriter's non-concurrent exercise of its over-allotment option on July 28, 2021, in connection with the initial public offering of CLAQ on July 19, 2021.