Company: KITTW
Filing Date: 2025-11-14
Form Type: 10-Q
Source: 0001849820-25-000278
Chunk: 26

Company: Nauticus Robotics, Inc.
Filing Date: 2025-11-14
Form: 10-Q
Item: Part II, Item 2
Chunk 26
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ITEM 2. UNREGISTERED SALES OF EQUITY SECURITIES AND USE OF PROCEEDS

During the third quarter of 2025, the Company: (i) issued 1,082,231 shares of common stock to ATW I (as defined above) upon their conversion of 4,600 shares of Series A Convertible Preferred Stock; and (ii) issued 3,000 shares of Series B Convertible Preferred Stock to ATW at a price per share of $980, for an aggregate offering price of approximately $2,940,000.  See Note 13 (Equity) to the Unaudited Consolidated Financial Statements with respect to the terms of conversion of the Series A Convertible Preferred Stock and the Series B Convertible Preferred Stock.

ITEM 3. DEFAULTS UPON SENIOR SECURITIES

None.

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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.