Company: KITTW
Filing Date: 2025-12-09
Form Type: 8-K
Source: 0001849820-25-000304
Chunk: 3

Company: Nauticus Robotics, Inc.
Filing Date: 2025-12-09
Form: 8-K
Item: Item 5.03
Chunk 3
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Item 5.03 Amendments to Articles of Incorporation or Bylaws; Change in Fiscal Year.

As previously disclosed by the Company in its filings with the SEC, on December 3, 2025, the Company entered into the Amendment and Exchange Agreements (the “ Exchange Agreements”), by and among the Company and certain institutional investors, pursuant to which such investors may exchange (collectively, the "Exchanges"), in one or more exchanges, portions of certain secured convertible term loans of the Company (the “ Existing Convertible Securities”) and certain original issue discount senior secured convertible debentures due 2026 of the Company (the “ Existing Debentures”, and together with the Existing Convertible Securities, the “ Existing Securities”), into 3,814 shares of Series C preferred convertible stock (the “ Series C Preferred Stock”), as set forth and subject to the terms and conditions in the Exchange Agreements, in reliance on the exemption from registration provided by Section 3(a)(9) of the Securities Act of 1933, as amended (the “ Securities Act”). On December 3, 2025, the Company filed a certificate of designations with respect to the Series C Preferred Stock with the Secretary of State of the State of Delaware, and the Company and three (3) institutional investors closed the Exchange. The Company issued 3,814 shares of Series C Preferred Stock to such investors.

Item 9.01. Financial Statements and Exhibits.

(d) Exhibits.

  Exhibit      Description                                                                                                               
 ─────────────────────────────────────────────────────────────────────────────────────────────────────────────────────────────────────────
      3.1      Certificate of Designations of Rights and Preferences of Series C Convertible Preferred Stock of Nauticus Robotics, Inc.  
      104      Cover Page Interactive Data File (embedded within the Inline XBRL document).                                              

SIGNATURE

Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.

  Dated: December 9, 2025      Nauticus Robotics, Inc.                                               
 ─────────────────────────────────────────────────────────────────────────────────────────────────────
                               By:                          /s/ John Symington                       
                                                            Name:                   John Symington   
                                                            Title:                  General Counsel