Company: KITTW
Filing Date: 2025-11-14
Form Type: 10-Q
Source: 0001849820-25-000278
Chunk: 29

Company: Nauticus Robotics, Inc.
Filing Date: 2025-11-14
Form: 10-Q
Item: Part II, Item 3
Chunk 29
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ITEM 3. DEFAULTS UPON SENIOR SECURITIES

None.

46

Table of Contents

ITEM 4. MINE SAFETY DISCLOSURES

Not applicable.

ITEM 5. OTHER INFORMATION

Trading Plans

During the three months ended September 30, 2025, no director or Section 16 officer of the Company adopted or terminated a “Rule 10b5-1 trading arrangement” or “non-Rule 10b5-1 trading arrangement,” as each term is defined in Item 408(a) of Regulation S-K.

ITEM 6. EXHIBITSIncorporated by ReferenceExhibit DescriptionSchedule/ FormFile NumberExhibitsFiling Date3.1Second Amended and Restated Certificate of Incorporation of Nauticus Robotics, Inc.Form 8-K001-406113.1September 15, 20223.2Certificate of Amendment to the Second Amended and Restated Certificate of Incorporation of Nauticus Robotics, Inc.Form 8-K001-406113.2July 18, 20243.3Certificate of Designations of Rights and Preferences of Series A Convertible Preferred Stock of Nauticus Robotics, Inc.Form 8-K 001-406113.3December 27, 20243.4Amended and Restated Bylaws of Nauticus Robotics, Inc (as of May 11, 2023).Form 8-K001-406113.4May 15, 20233.5Certificate of Amendment to the Second Amended and Restated Certificate of Incorporation of Nauticus Robotics, Inc.Form 8-K001-406113.5August 15, 20253.6Certificate of Amendment to the Second Amended and Restated Certificate of Incorporation of Nauticus Robotics, Inc.Form 8-K001-406113.6September 2, 20253.7Certificate of Designations of Rights and Preferences of Series B Convertible Preferred Stock of Nauticus Robotics, Inc.Form 8-K001-406113.7August 7, 20253.8Amendment No. 1 to the Amended and Restated By-laws of Nauticus Robotics, Inc.Form 8-K001-406113.8August 19, 202510.1Securities Purchase Agreement dated August 6, 2025 by and among Nauticus Robotics, Inc. and each investor listed thereinForm 8-K001-406111