KITT

SEC source: 0001213900-23-038512 · ownership.xml · nonDerivative · entry 1

Radford Nicolaus · CIK 0001944857 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 2,971,137

SEC source: 0001213900-23-037032 · ownership.xml · derivative · entry 2

Bohan Donnelly A. · CIK 0001944958 · Chief Operating Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 18,530 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: Each Restricted Stock Unit ("RSU") is issued pursuant to the Company's 2022 Omnibus Incentive Plan and represents a contingent right to receive one share of common stock.

F2 · derivative.exercise_date: On April 3, the reporting person was granted 18,530 RSUs, all of which vested on May 3, 2023.

F2 · derivative.expiration_date: On April 3, the reporting person was granted 18,530 RSUs, all of which vested on May 3, 2023.

SEC source: 0001213900-23-037032 · ownership.xml · nonDerivative · entry 1

Bohan Donnelly A. · CIK 0001944958 · Chief Operating Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 71,850

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: Each Restricted Stock Unit ("RSU") is issued pursuant to the Company's 2022 Omnibus Incentive Plan and represents a contingent right to receive one share of common stock.

SEC source: 0001213900-23-037041 · ownership.xml · derivative · entry 2

Yamokoski John · CIK 0001944944 · Chief Technology Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 9,706 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: Each Restricted Stock Unit ("RSU") is issued pursuant to the Company's 2022 Omnibus Incentive Plan and represents a contingent right to receive one share of common stock.

F2 · derivative.exercise_date: On April 3, the reporting person was granted 9,706 RSUs, all of which vested on May 3, 2023.

F2 · derivative.expiration_date: On April 3, the reporting person was granted 9,706 RSUs, all of which vested on May 3, 2023.

SEC source: 0001213900-23-037041 · ownership.xml · nonDerivative · entry 1

Yamokoski John · CIK 0001944944 · Chief Technology Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 720,051

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: Each Restricted Stock Unit ("RSU") is issued pursuant to the Company's 2022 Omnibus Incentive Plan and represents a contingent right to receive one share of common stock.

SEC source: 0001213900-23-037039 · ownership.xml · derivative · entry 2

Rangan Padmanabhan · CIK 0001944956 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 17,206 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: Each Restricted Stock Unit ("RSU") is issued pursuant to the Company's 2022 Omnibus Incentive Plan and represents a contingent right to receive one share of common stock.

F2 · derivative.exercise_date: On April 3, the reporting person was granted 17,206 RSUs, all of which vested on May 3, 2023.

F2 · derivative.expiration_date: On April 3, the reporting person was granted 17,206 RSUs, all of which vested on May 3, 2023.

SEC source: 0001213900-23-037039 · ownership.xml · nonDerivative · entry 1

Rangan Padmanabhan · CIK 0001944956 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 17,206

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: Each Restricted Stock Unit ("RSU") is issued pursuant to the Company's 2022 Omnibus Incentive Plan and represents a contingent right to receive one share of common stock.

SEC source: 0001213900-23-037037 · ownership.xml · derivative · entry 2

Radford Nicolaus · CIK 0001944857 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 19,853 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: Each Restricted Stock Unit ("RSU") is issued pursuant to the Company's 2022 Omnibus Incentive Plan and represents a contingent right to receive one share of common stock.

F2 · derivative.exercise_date: On April 3, the reporting person was granted 19,853 RSUs, all of which vested on May 3, 2023.

F2 · derivative.expiration_date: On April 3, the reporting person was granted 19,853 RSUs, all of which vested on May 3, 2023.

SEC source: 0001213900-23-037037 · ownership.xml · nonDerivative · entry 1

Radford Nicolaus · CIK 0001944857 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 2,976,309

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: Each Restricted Stock Unit ("RSU") is issued pursuant to the Company's 2022 Omnibus Incentive Plan and represents a contingent right to receive one share of common stock.

SEC source: 0001213900-23-037035 · ownership.xml · derivative · entry 2

Kasmani Dilshad · CIK 0001944947 · Chief LAO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 17,206 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: Each Restricted Stock Unit ("RSU") is issued pursuant to the Company's 2022 Omnibus Incentive Plan and represents a contingent right to receive one share of common stock.

F2 · derivative.exercise_date: On April 3, the reporting person was granted 17,206 RSUs, all of which vested on May 3, 2023.

F2 · derivative.expiration_date: On April 3, the reporting person was granted 17,206 RSUs, all of which vested on May 3, 2023.

SEC source: 0001213900-23-037035 · ownership.xml · nonDerivative · entry 1

Kasmani Dilshad · CIK 0001944947 · Chief LAO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 69,564

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: Each Restricted Stock Unit ("RSU") is issued pursuant to the Company's 2022 Omnibus Incentive Plan and represents a contingent right to receive one share of common stock.

SEC source: 0001213900-23-030786 · ownership.xml · nonDerivative · entry 2

Bohan Donnelly A. · CIK 0001944958 · Chief Operating Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 53,320

SEC source: 0001213900-23-030787 · ownership.xml · nonDerivative · entry 1

Kasmani Dilshad · CIK 0001944947 · Chief LAO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 52,358

SEC source: 0001213900-23-029658 · ownership.xml · nonDerivative · entry 2

Bohan Donnelly A. · CIK 0001944958 · Chief Operating Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 54,558

SEC source: 0001213900-23-029657 · ownership.xml · derivative · entry 2

Kasmani Dilshad · CIK 0001944947 · Chief LAO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 72,011

Underlying: Common Stock · 72,010 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: Each Restricted Stock Unit ("RSU") is issued pursuant to the Company's 2022 Omnibus Incentive Plan and represents a contingent right to receive one share of common stock, and vesting (i.e., forfeiture restriction termination) generally is subject to the reporting person remaining an employee or director of the Company, its affiliates or subsidiaries.

F2 · derivative.exercise_date: On October 7, 2022, the reporting person was granted 144,021 RSUs, vesting in two equal annual installments on April 11 of each of 2023 and 2024.

F2 · derivative.expiration_date: On October 7, 2022, the reporting person was granted 144,021 RSUs, vesting in two equal annual installments on April 11 of each of 2023 and 2024.

SEC source: 0001213900-23-029657 · ownership.xml · nonDerivative · entry 1

Kasmani Dilshad · CIK 0001944947 · Chief LAO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 72,010

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: Each Restricted Stock Unit ("RSU") is issued pursuant to the Company's 2022 Omnibus Incentive Plan and represents a contingent right to receive one share of common stock, and vesting (i.e., forfeiture restriction termination) generally is subject to the reporting person remaining an employee or director of the Company, its affiliates or subsidiaries.

SEC source: 0001213900-23-030786 · ownership.xml · nonDerivative · entry 1

Bohan Donnelly A. · CIK 0001944958 · Chief Operating Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 54,150

SEC source: 0001213900-23-029658 · ownership.xml · derivative · entry 3

Bohan Donnelly A. · CIK 0001944958 · Chief Operating Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 72,011

Underlying: Common Stock · 72,010 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: Each Restricted Stock Unit ("RSU") is issued pursuant to the Company's 2022 Omnibus Incentive Plan and represents a contingent right to receive one share of common stock, and vesting (i.e., forfeiture restriction termination) generally is subject to the reporting person remaining an employee or director of the Company, its affiliates or subsidiaries.

F2 · derivative.exercise_date: On October 7, 2022, the reporting person was granted 144,021 RSUs, vesting in two equal annual installments on April 04 of each of 2023 and 2024.

F2 · derivative.expiration_date: On October 7, 2022, the reporting person was granted 144,021 RSUs, vesting in two equal annual installments on April 04 of each of 2023 and 2024.

SEC source: 0001213900-23-029658 · ownership.xml · nonDerivative · entry 1

Bohan Donnelly A. · CIK 0001944958 · Chief Operating Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 72,010

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: Each Restricted Stock Unit ("RSU") is issued pursuant to the Company's 2022 Omnibus Incentive Plan and represents a contingent right to receive one share of common stock, and vesting (i.e., forfeiture restriction termination) generally is subject to the reporting person remaining an employee or director of the Company, its affiliates or subsidiaries.

SEC source: 0001213900-23-027738 · ownership.xml · derivative · entry 1

Bohan Donnelly A. · CIK 0001944958 · Chief Operating Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 18,530

Underlying: Common Stock · 18,530 shares

Expires not disclosed

F1 · derivative.exercise_price: Each Restricted Stock Unit ("RSU") is issued pursuant to the Company's 2022 Omnibus Incentive Plan and represents a contingent right to receive one share of common stock.

F2 · derivative.exercise_date: 100% of the RSUs vest on May 3, 2023.

F2 · derivative.expiration_date: 100% of the RSUs vest on May 3, 2023.

SEC source: 0001213900-23-027747 · ownership.xml · derivative · entry 1

Yamokoski John · CIK 0001944944 · Chief Technology Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 9,706

Underlying: Common Stock · 9,706 shares

Expires not disclosed

F1 · derivative.exercise_price: Each Restricted Stock Unit ("RSU") is issued pursuant to the Company's 2022 Omnibus Incentive Plan and represents a contingent right to receive one share of common stock.

F2 · derivative.exercise_date: 100% of the RSUs vest on May 3, 2023.

F2 · derivative.expiration_date: 100% of the RSUs vest on May 3, 2023.

SEC source: 0001213900-23-027748 · ownership.xml · derivative · entry 1

Rangan Padmanabhan · CIK 0001944956 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 17,206

Underlying: Common Stock · 17,206 shares

Expires not disclosed

F1 · derivative.exercise_price: Each Restricted Stock Unit ("RSU") is issued pursuant to the Company's 2022 Omnibus Incentive Plan and represents a contingent right to receive one share of common stock.

F2 · derivative.exercise_date: 100% of the RSUs vest on May 3, 2023.

F2 · derivative.expiration_date: 100% of the RSUs vest on May 3, 2023.

SEC source: 0001213900-23-027744 · ownership.xml · derivative · entry 1

Radford Nicolaus · CIK 0001944857 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 19,853

Underlying: Common Stock · 19,853 shares

Expires not disclosed

F1 · derivative.exercise_price: Each Restricted Stock Unit ("RSU") is issued pursuant to the Company's 2022 Omnibus Incentive Plan and represents a contingent right to receive one share of common stock.

F2 · derivative.exercise_date: 100% of the RSUs vest on May 3, 2023.

F2 · derivative.expiration_date: 100% of the RSUs vest on May 3, 2023.

SEC source: 0001213900-23-027740 · ownership.xml · derivative · entry 1

Kasmani Dilshad · CIK 0001944947 · Chief LAO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 17,206

Underlying: Common Stock · 17,206 shares

Expires not disclosed

F1 · derivative.exercise_price: Each Restricted Stock Unit ("RSU") is issued pursuant to the Company's 2022 Omnibus Incentive Plan and represents a contingent right to receive one share of common stock.

F2 · derivative.exercise_date: 100% of the RSUs vest on May 3, 2023.

F2 · derivative.expiration_date: 100% of the RSUs vest on May 3, 2023.

SEC source: 0001213900-22-063537 · ownership.xml · derivative · entry 1

Sharkawy Adam · CIK 0001945167 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 28,805

Underlying: Common Stock · 28,805 shares

Expires not disclosed

F1 · derivative.exercise_price: Each Restricted Stock Unit ("RSU") is issued pursuant to the Company's 2022 Omnibus Incentive Plan and represents a contingent right to receive one share of common stock, and vesting (i.e., forfeiture restriction termination) generally is subject to the reporting person remaining an employee or director of the Company, its affiliates or subsidiaries.

F2 · derivative.exercise_date: The RSUs vest on the earlier of (i) October 7, 2023, or (ii) the date immediately preceding the Company's 2023 annual meeting of stockholders if the reporting person is not on the ballot for such meeting.

F2 · derivative.expiration_date: The RSUs vest on the earlier of (i) October 7, 2023, or (ii) the date immediately preceding the Company's 2023 annual meeting of stockholders if the reporting person is not on the ballot for such meeting.

SEC source: 0001213900-22-063538 · ownership.xml · derivative · entry 2

Bohan Donnelly A. · CIK 0001944958 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 268,840

Underlying: Common Stock · 268,840 shares

Expires not disclosed

F1 · derivative.exercise_price: Each Restricted Stock Unit ("RSU") is issued pursuant to the Company's 2022 Omnibus Incentive Plan and represents a contingent right to receive one share of common stock, and vesting (i.e., forfeiture restriction termination) generally is subject to the reporting person remaining an employee or director of the Company, its affiliates or subsidiaries.

F3 · derivative.exercise_date: 0% to 150% of these Performance RSUs may vest in two (2) equal installments on each of December 31, 2023 and December 31, 2024, based the Company's revenue, as reported on its audited income statement for the year ending December 31, 2022 ("Revenue"), relative to the Company's 2022 revenue as reported on its Form S-1 filed on September 9, 2022, as may be amended ("S-1 Revenue").

F4 · derivative.exercise_date: The percentage of Performance RSUs that may vest will be (i) at the Compensation Committee's (the "Committee") discretion if the Revenue is below $11 million; (ii) 50% if the Revenue is greater than or equal to $11 million, but less than S-1 Revenue; (iii) 100% if the Revenue is greater than or equal to the S-1 Revenue, but less than 115% of S-1 Revenue; (iv) 115% if the Revenue is greater than or equal to 115% of S-1 Revenue, but less than 125% of S-1 Revenue; (v) 125% if the Revenue is greater than or equal to 125% of S-1 Revenue, but less than 150% of S-1 Revenue; (vi) 150% if the Revenue is greater than or equal to 150% of S-1 Revenue.

F3 · derivative.expiration_date: 0% to 150% of these Performance RSUs may vest in two (2) equal installments on each of December 31, 2023 and December 31, 2024, based the Company's revenue, as reported on its audited income statement for the year ending December 31, 2022 ("Revenue"), relative to the Company's 2022 revenue as reported on its Form S-1 filed on September 9, 2022, as may be amended ("S-1 Revenue").

F4 · derivative.expiration_date: The percentage of Performance RSUs that may vest will be (i) at the Compensation Committee's (the "Committee") discretion if the Revenue is below $11 million; (ii) 50% if the Revenue is greater than or equal to $11 million, but less than S-1 Revenue; (iii) 100% if the Revenue is greater than or equal to the S-1 Revenue, but less than 115% of S-1 Revenue; (iv) 115% if the Revenue is greater than or equal to 115% of S-1 Revenue, but less than 125% of S-1 Revenue; (v) 125% if the Revenue is greater than or equal to 125% of S-1 Revenue, but less than 150% of S-1 Revenue; (vi) 150% if the Revenue is greater than or equal to 150% of S-1 Revenue.

SEC source: 0001213900-22-063538 · ownership.xml · derivative · entry 1

Bohan Donnelly A. · CIK 0001944958 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 144,021

Underlying: Common Stock · 144,021 shares

Expires not disclosed

F1 · derivative.exercise_price: Each Restricted Stock Unit ("RSU") is issued pursuant to the Company's 2022 Omnibus Incentive Plan and represents a contingent right to receive one share of common stock, and vesting (i.e., forfeiture restriction termination) generally is subject to the reporting person remaining an employee or director of the Company, its affiliates or subsidiaries.

F2 · derivative.exercise_date: 50% of the RSUs vest on April 4 of each of 2023 and 2024.

F2 · derivative.expiration_date: 50% of the RSUs vest on April 4 of each of 2023 and 2024.

SEC source: 0001213900-22-063552 · ownership.xml · derivative · entry 1

Porter Lisa J. · CIK 0001945788 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 33,605

Underlying: Common Stock · 33,605 shares

Expires not disclosed

F1 · derivative.exercise_price: Each Restricted Stock Unit ("RSU") is issued pursuant to the Company's 2022 Omnibus Incentive Plan and represents a contingent right to receive one share of common stock, and vesting (i.e., forfeiture restriction termination) generally is subject to the reporting person remaining an employee or director of the Company, its affiliates or subsidiaries.

F2 · derivative.exercise_date: The RSUs vest on the earlier of (i) October 7, 2023, or (ii) the date immediately preceding the Company's 2023 annual meeting of stockholders if the reporting person is not on the ballot for such meeting.

F2 · derivative.expiration_date: The RSUs vest on the earlier of (i) October 7, 2023, or (ii) the date immediately preceding the Company's 2023 annual meeting of stockholders if the reporting person is not on the ballot for such meeting.

SEC source: 0001213900-22-063542 · ownership.xml · derivative · entry 1

Spiro Elliot · CIK 0001875548 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 28,805

Underlying: Common Stock · 28,805 shares

Expires not disclosed

F1 · derivative.exercise_price: Each Restricted Stock Unit ("RSU") is issued pursuant to the Company's 2022 Omnibus Incentive Plan and represents a contingent right to receive one share of common stock, and vesting (i.e., forfeiture restriction termination) generally is subject to the reporting person remaining an employee or director of the Company, its affiliates or subsidiaries.

F2 · derivative.exercise_date: The RSUs vest on the earlier of (i) October 7, 2023, or (ii) the date immediately preceding the Company's 2023 annual meeting of stockholders if the reporting person is not on the ballot for such meeting.

F2 · derivative.expiration_date: The RSUs vest on the earlier of (i) October 7, 2023, or (ii) the date immediately preceding the Company's 2023 annual meeting of stockholders if the reporting person is not on the ballot for such meeting.

SEC source: 0001213900-22-063561 · ownership.xml · derivative · entry 1

Matura Tommy W · CIK 0001291243 · Vice President of Accounting

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 42,247

Underlying: Common Stock · 42,247 shares

Expires not disclosed

F1 · derivative.exercise_price: Each Restricted Stock Unit ("RSU") is issued pursuant to the Company's 2022 Omnibus Incentive Plan and represents a contingent right to receive one share of common stock, and vesting (i.e., forfeiture restriction termination) generally is subject to the reporting person remaining an employee or director of the Company, its affiliates or subsidiaries.

F2 · derivative.exercise_date: 33 1/3% of the RSUs vest on December 31 of each of 2023, 2024 and 2025.

F2 · derivative.expiration_date: 33 1/3% of the RSUs vest on December 31 of each of 2023, 2024 and 2025.

SEC source: 0001213900-22-063559 · ownership.xml · derivative · entry 2

Rangan Padmanabhan · CIK 0001944956 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 249,637

Underlying: Common Stock · 249,637 shares

Expires not disclosed

F1 · derivative.exercise_price: Each Restricted Stock Unit ("RSU") is issued pursuant to the Company's 2022 Omnibus Incentive Plan and represents a contingent right to receive one share of common stock, and vesting (i.e., forfeiture restriction termination) generally is subject to the reporting person remaining an employee or director of the Company, its affiliates or subsidiaries.

F3 · derivative.exercise_date: 0% to 150% of these Performance RSUs may vest in two (2) equal installments on each of December 31, 2023 and December 31, 2024, based the Company's revenue, as reported on its audited income statement for the year ending December 31, 2022 ("Revenue"), relative to the Company's 2022 revenue as reported on its Form S-1 filed on September 9, 2022, as may be amended ("S-1 Revenue").

F4 · derivative.exercise_date: The percentage of Performance RSUs that may vest will be (i) at the Compensation Committee's (the "Committee") discretion if the Revenue is below $11 million; (ii) 50% if the Revenue is greater than or equal to $11 million, but less than S-1 Revenue; (iii) 100% if the Revenue is greater than or equal to the S-1 Revenue, but less than 115% of S-1 Revenue; (iv) 115% if the Revenue is greater than or equal to 115% of S-1 Revenue, but less than 125% of S-1 Revenue; (v) 125% if the Revenue is greater than or equal to 125% of S-1 Revenue, but less than 150% of S-1 Revenue; (vi) 150% if the Revenue is greater than or equal to 150% of S-1 Revenue.

F3 · derivative.expiration_date: 0% to 150% of these Performance RSUs may vest in two (2) equal installments on each of December 31, 2023 and December 31, 2024, based the Company's revenue, as reported on its audited income statement for the year ending December 31, 2022 ("Revenue"), relative to the Company's 2022 revenue as reported on its Form S-1 filed on September 9, 2022, as may be amended ("S-1 Revenue").

F4 · derivative.expiration_date: The percentage of Performance RSUs that may vest will be (i) at the Compensation Committee's (the "Committee") discretion if the Revenue is below $11 million; (ii) 50% if the Revenue is greater than or equal to $11 million, but less than S-1 Revenue; (iii) 100% if the Revenue is greater than or equal to the S-1 Revenue, but less than 115% of S-1 Revenue; (iv) 115% if the Revenue is greater than or equal to 115% of S-1 Revenue, but less than 125% of S-1 Revenue; (v) 125% if the Revenue is greater than or equal to 125% of S-1 Revenue, but less than 150% of S-1 Revenue; (vi) 150% if the Revenue is greater than or equal to 150% of S-1 Revenue.

SEC source: 0001213900-22-063559 · ownership.xml · derivative · entry 1

Rangan Padmanabhan · CIK 0001944956 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 144,021

Underlying: Common Stock · 144,021 shares

Expires not disclosed

F1 · derivative.exercise_price: Each Restricted Stock Unit ("RSU") is issued pursuant to the Company's 2022 Omnibus Incentive Plan and represents a contingent right to receive one share of common stock, and vesting (i.e., forfeiture restriction termination) generally is subject to the reporting person remaining an employee or director of the Company, its affiliates or subsidiaries.

F2 · derivative.exercise_date: 50% of the RSUs vest on May 16 of each of 2023 and 2024.

F2 · derivative.expiration_date: 50% of the RSUs vest on May 16 of each of 2023 and 2024.

SEC source: 0001213900-22-063557 · ownership.xml · derivative · entry 1

Radford Nicolaus · CIK 0001944857 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 288,042

Underlying: Common Stock · 288,042 shares

Expires not disclosed

F1 · derivative.exercise_price: Each Restricted Stock Unit ("RSU") is issued pursuant to the Company's 2022 Omnibus Incentive Plan and represents a contingent right to receive one share of common stock, and vesting (i.e., forfeiture restriction termination) generally is subject to the reporting person remaining an employee or director of the Company, its affiliates or subsidiaries.

F2 · derivative.exercise_date: 0% to 150% of these Performance RSUs may vest in two (2) equal installments on each of December 31, 2023 and December 31, 2024, based the Company's revenue, as reported on its audited income statement for the year ending December 31, 2022 ("Revenue"), relative to the Company's 2022 revenue as reported on its Form S-1 filed on September 9, 2022, as may be amended ("S-1 Revenue").

F3 · derivative.exercise_date: The percentage of Performance RSUs that may vest will be (i) at the Compensation Committee's (the "Committee") discretion if the Revenue is below $11 million; (ii) 50% if the Revenue is greater than or equal to $11 million, but less than S-1 Revenue; (iii) 100% if the Revenue is greater than or equal to the S-1 Revenue, but less than 115% of S-1 Revenue; (iv) 115% if the Revenue is greater than or equal to 115% of S-1 Revenue, but less than 125% of S-1 Revenue; (v) 125% if the Revenue is greater than or equal to 125% of S-1 Revenue, but less than 150% of S-1 Revenue; (vi) 150% if the Revenue is greater than or equal to 150% of S-1 Revenue.

F2 · derivative.expiration_date: 0% to 150% of these Performance RSUs may vest in two (2) equal installments on each of December 31, 2023 and December 31, 2024, based the Company's revenue, as reported on its audited income statement for the year ending December 31, 2022 ("Revenue"), relative to the Company's 2022 revenue as reported on its Form S-1 filed on September 9, 2022, as may be amended ("S-1 Revenue").

F3 · derivative.expiration_date: The percentage of Performance RSUs that may vest will be (i) at the Compensation Committee's (the "Committee") discretion if the Revenue is below $11 million; (ii) 50% if the Revenue is greater than or equal to $11 million, but less than S-1 Revenue; (iii) 100% if the Revenue is greater than or equal to the S-1 Revenue, but less than 115% of S-1 Revenue; (iv) 115% if the Revenue is greater than or equal to 115% of S-1 Revenue, but less than 125% of S-1 Revenue; (v) 125% if the Revenue is greater than or equal to 125% of S-1 Revenue, but less than 150% of S-1 Revenue; (vi) 150% if the Revenue is greater than or equal to 150% of S-1 Revenue.

SEC source: 0001213900-22-063555 · ownership.xml · derivative · entry 1

Mey Mark-Anthony Lovell · CIK 0001499267 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 28,805

Underlying: Common Stock · 28,805 shares

Expires not disclosed

F1 · derivative.exercise_price: Each Restricted Stock Unit ("RSU") is issued pursuant to the Company's 2022 Omnibus Incentive Plan and represents a contingent right to receive one share of common stock, and vesting (i.e., forfeiture restriction termination) generally is subject to the reporting person remaining an employee or director of the Company, its affiliates or subsidiaries.

F2 · derivative.exercise_date: The RSUs vest on the earlier of (i) October 7, 2023, or (ii) the date immediately preceding the Company's 2023 annual meeting of stockholders if the reporting person is not on the ballot for such meeting.

F2 · derivative.expiration_date: The RSUs vest on the earlier of (i) October 7, 2023, or (ii) the date immediately preceding the Company's 2023 annual meeting of stockholders if the reporting person is not on the ballot for such meeting.

SEC source: 0001213900-22-063550 · ownership.xml · derivative · entry 1

Yamokoski John · CIK 0001944944 · Chief Technology Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 158,424

Underlying: Common Stock · 158,424 shares

Expires not disclosed

F1 · derivative.exercise_price: Each Restricted Stock Unit ("RSU") is issued pursuant to the Company's 2022 Omnibus Incentive Plan and represents a contingent right to receive one share of common stock, and vesting (i.e., forfeiture restriction termination) generally is subject to the reporting person remaining an employee or director of the Company, its affiliates or subsidiaries.

F2 · derivative.exercise_date: 0% to 150% of these Performance RSUs may vest in two (2) equal installments on each of December 31, 2023 and December 31, 2024, based the Company's revenue, as reported on its audited income statement for the year ending December 31, 2022 ("Revenue"), relative to the Company's 2022 revenue as reported on its Form S-1 filed on September 9, 2022, as may be amended ("S-1 Revenue").

F3 · derivative.exercise_date: The percentage of Performance RSUs that may vest will be (i) at the Compensation Committee's (the "Committee") discretion if the Revenue is below $11 million; (ii) 50% if the Revenue is greater than or equal to $11 million, but less than S-1 Revenue; (iii) 100% if the Revenue is greater than or equal to the S-1 Revenue, but less than 115% of S-1 Revenue; (iv) 115% if the Revenue is greater than or equal to 115% of S-1 Revenue, but less than 125% of S-1 Revenue; (v) 125% if the Revenue is greater than or equal to 125% of S-1 Revenue, but less than 150% of S-1 Revenue; (vi) 150% if the Revenue is greater than or equal to 150% of S-1 Revenue.

F2 · derivative.expiration_date: 0% to 150% of these Performance RSUs may vest in two (2) equal installments on each of December 31, 2023 and December 31, 2024, based the Company's revenue, as reported on its audited income statement for the year ending December 31, 2022 ("Revenue"), relative to the Company's 2022 revenue as reported on its Form S-1 filed on September 9, 2022, as may be amended ("S-1 Revenue").

F3 · derivative.expiration_date: The percentage of Performance RSUs that may vest will be (i) at the Compensation Committee's (the "Committee") discretion if the Revenue is below $11 million; (ii) 50% if the Revenue is greater than or equal to $11 million, but less than S-1 Revenue; (iii) 100% if the Revenue is greater than or equal to the S-1 Revenue, but less than 115% of S-1 Revenue; (iv) 115% if the Revenue is greater than or equal to 115% of S-1 Revenue, but less than 125% of S-1 Revenue; (v) 125% if the Revenue is greater than or equal to 125% of S-1 Revenue, but less than 150% of S-1 Revenue; (vi) 150% if the Revenue is greater than or equal to 150% of S-1 Revenue.

SEC source: 0001213900-22-063548 · ownership.xml · derivative · entry 1

GIBSON JOHN W JR · CIK 0001189981 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 28,805

Underlying: Common Stock · 28,805 shares

Expires not disclosed

F1 · derivative.exercise_price: Each Restricted Stock Unit ("RSU") is issued pursuant to the Company's 2022 Omnibus Incentive Plan and represents a contingent right to receive one share of common stock, and vesting (i.e., forfeiture restriction termination) generally is subject to the reporting person remaining an employee or director of the Company, its affiliates or subsidiaries.

F2 · derivative.exercise_date: 100% of the RSUs vest on the earlier of (i) October 7, 2023, or (ii) the date immediately preceding the Company's 2023 annual meeting of stockholders if the reporting person is not on the ballot for such meeting.

F2 · derivative.expiration_date: 100% of the RSUs vest on the earlier of (i) October 7, 2023, or (ii) the date immediately preceding the Company's 2023 annual meeting of stockholders if the reporting person is not on the ballot for such meeting.

SEC source: 0001213900-22-063547 · ownership.xml · derivative · entry 1

Dyer Joseph Wendell · CIK 0001343118 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 28,805

Underlying: Common Stock · 28,805 shares

Expires not disclosed

F1 · derivative.exercise_price: Each Restricted Stock Unit ("RSU") is issued pursuant to the Company's 2022 Omnibus Incentive Plan and represents a contingent right to receive one share of common stock, and vesting (i.e., forfeiture restriction termination) generally is subject to the reporting person remaining an employee or director of the Company, its affiliates or subsidiaries.

F2 · derivative.exercise_date: The RSUs vest on the earlier of (i) October 7, 2023, or (ii) the date immediately preceding the Company's 2023 annual meeting of stockholders if the reporting person is not on the ballot for such meeting.

F2 · derivative.expiration_date: The RSUs vest on the earlier of (i) October 7, 2023, or (ii) the date immediately preceding the Company's 2023 annual meeting of stockholders if the reporting person is not on the ballot for such meeting.

SEC source: 0001213900-22-063544 · ownership.xml · derivative · entry 1

Bellingham Jim · CIK 0001946341 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 28,805

Underlying: Common Stock · 28,805 shares

Expires not disclosed

F1 · derivative.exercise_price: Each Restricted Stock Unit ("RSU") is issued pursuant to the Company's 2022 Omnibus Incentive Plan and represents a contingent right to receive one share of common stock, and vesting (i.e., forfeiture restriction termination) generally is subject to the reporting person remaining an employee or director of the Company, its affiliates or subsidiaries.

F2 · derivative.exercise_date: The RSUs vest on the earlier of (i) October 7, 2023, or (ii) the date immediately preceding the Company's 2023 annual meeting of stockholders if the reporting person is not on the ballot for such meeting.

F2 · derivative.expiration_date: The RSUs vest on the earlier of (i) October 7, 2023, or (ii) the date immediately preceding the Company's 2023 annual meeting of stockholders if the reporting person is not on the ballot for such meeting.

SEC source: 0001213900-22-063540 · ownership.xml · derivative · entry 2

Kasmani Dilshad · CIK 0001944947 · Chief LAO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 249,637

Underlying: Common Stock · 249,637 shares

Expires not disclosed

F1 · derivative.exercise_price: Each Restricted Stock Unit ("RSU") is issued pursuant to the Company's 2022 Omnibus Incentive Plan and represents a contingent right to receive one share of common stock, and vesting (i.e., forfeiture restriction termination) generally is subject to the reporting person remaining an employee or director of the Company, its affiliates or subsidiaries.

F3 · derivative.exercise_date: 0% to 150% of these Performance RSUs may vest in two (2) equal installments on each of December 31, 2023 and December 31, 2024, based the Company's revenue, as reported on its audited income statement for the year ending December 31, 2022 ("Revenue"), relative to the Company's 2022 revenue as reported on its Form S-1 filed on September 9, 2022, as may be amended ("S-1 Revenue").

F4 · derivative.exercise_date: The percentage of Performance RSUs that may vest will be (i) at the Compensation Committee's (the "Committee") discretion if the Revenue is below $11 million; (ii) 50% if the Revenue is greater than or equal to $11 million, but less than S-1 Revenue; (iii) 100% if the Revenue is greater than or equal to the S-1 Revenue, but less than 115% of S-1 Revenue; (iv) 115% if the Revenue is greater than or equal to 115% of S-1 Revenue, but less than 125% of S-1 Revenue; (v) 125% if the Revenue is greater than or equal to 125% of S-1 Revenue, but less than 150% of S-1 Revenue; (vi) 150% if the Revenue is greater than or equal to 150% of S-1 Revenue.

F3 · derivative.expiration_date: 0% to 150% of these Performance RSUs may vest in two (2) equal installments on each of December 31, 2023 and December 31, 2024, based the Company's revenue, as reported on its audited income statement for the year ending December 31, 2022 ("Revenue"), relative to the Company's 2022 revenue as reported on its Form S-1 filed on September 9, 2022, as may be amended ("S-1 Revenue").

F4 · derivative.expiration_date: The percentage of Performance RSUs that may vest will be (i) at the Compensation Committee's (the "Committee") discretion if the Revenue is below $11 million; (ii) 50% if the Revenue is greater than or equal to $11 million, but less than S-1 Revenue; (iii) 100% if the Revenue is greater than or equal to the S-1 Revenue, but less than 115% of S-1 Revenue; (iv) 115% if the Revenue is greater than or equal to 115% of S-1 Revenue, but less than 125% of S-1 Revenue; (v) 125% if the Revenue is greater than or equal to 125% of S-1 Revenue, but less than 150% of S-1 Revenue; (vi) 150% if the Revenue is greater than or equal to 150% of S-1 Revenue.

SEC source: 0001213900-22-063540 · ownership.xml · derivative · entry 1

Kasmani Dilshad · CIK 0001944947 · Chief LAO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 144,021

Underlying: Common Stock · 144,021 shares

Expires not disclosed

F1 · derivative.exercise_price: Each Restricted Stock Unit ("RSU") is issued pursuant to the Company's 2022 Omnibus Incentive Plan and represents a contingent right to receive one share of common stock, and vesting (i.e., forfeiture restriction termination) generally is subject to the reporting person remaining an employee or director of the Company, its affiliates or subsidiaries.

F2 · derivative.exercise_date: 50% of the RSUs vest on April 11 of each of 2023 and 2024.

F2 · derivative.expiration_date: 50% of the RSUs vest on April 11 of each of 2023 and 2024.

SEC source: 0001213900-22-055764 · ownership.xml · derivative · entry 3

Sharkawy Adam · CIK 0001945167 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By Material Impact Fund II, L.P.

Disclosed balance after: 408,160

Underlying: Common Stock · 408,160 shares

Expires 2026-09-09

F4 · security: The Debentures were acquired pursuant to the terms of the Purchase Agreement.

F4 · price: The Debentures were acquired pursuant to the terms of the Purchase Agreement.

F2 · ownership.direct: Shares held by Material Impact Fund II, L.P. ("MIF II"). Material Impact Partners II, LLC ("MIP II") is the general partner of MIF II and may be deemed to have voting and investment power with respect to the securities held by MIF II. The Reporting Person, a member of the Issuer's board of directors, and Carmichael Roberts are the managing members of MIP II and may be deemed to share voting and investment power with respect to the securities held by MIF II. Each of MIF II, MIP II, the Reporting Person and the Reporting Person disclaim beneficial ownership of such shares and this report shall not be deemed an admission that any of them is the beneficial owner of such shares for purposes of Section 16 or for any other purpose, except to the extent of their respective pecuniary interests therein.

SEC source: 0001213900-22-055764 · ownership.xml · derivative · entry 2

Sharkawy Adam · CIK 0001945167 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By Material Impact Fund II, L.P.

Disclosed balance after: 408,160

Underlying: Common Stock · 408,160 shares

Expires 2032-09-09

F3 · security: The Private Warrants were acquired pursuant to the terms of the Securities Purchase Agreement dated as of December 16, 2021 with CLAQ, and Nauticus Robotics, Inc. (the "Purchase Agreement").

F3 · price: The Private Warrants were acquired pursuant to the terms of the Securities Purchase Agreement dated as of December 16, 2021 with CLAQ, and Nauticus Robotics, Inc. (the "Purchase Agreement").

F2 · ownership.direct: Shares held by Material Impact Fund II, L.P. ("MIF II"). Material Impact Partners II, LLC ("MIP II") is the general partner of MIF II and may be deemed to have voting and investment power with respect to the securities held by MIF II. The Reporting Person, a member of the Issuer's board of directors, and Carmichael Roberts are the managing members of MIP II and may be deemed to share voting and investment power with respect to the securities held by MIF II. Each of MIF II, MIP II, the Reporting Person and the Reporting Person disclaim beneficial ownership of such shares and this report shall not be deemed an admission that any of them is the beneficial owner of such shares for purposes of Section 16 or for any other purpose, except to the extent of their respective pecuniary interests therein.

SEC source: 0001213900-22-055764 · ownership.xml · nonDerivative · entry 1

Sharkawy Adam · CIK 0001945167 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By Material Impact Fund II, L.P.

Disclosed balance after: 2,249,835

F1 · shares: 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. consummated on September 9, 2022.

F2 · ownership.direct: Shares held by Material Impact Fund II, L.P. ("MIF II"). Material Impact Partners II, LLC ("MIP II") is the general partner of MIF II and may be deemed to have voting and investment power with respect to the securities held by MIF II. The Reporting Person, a member of the Issuer's board of directors, and Carmichael Roberts are the managing members of MIP II and may be deemed to share voting and investment power with respect to the securities held by MIF II. Each of MIF II, MIP II, the Reporting Person and the Reporting Person disclaim beneficial ownership of such shares and this report shall not be deemed an admission that any of them is the beneficial owner of such shares for purposes of Section 16 or for any other purpose, except to the extent of their respective pecuniary interests therein.

SEC source: 0001213900-22-055765 · ownership.xml · nonDerivative · entry 1

Spiro Elliot · CIK 0001875548 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · CleanTech Sponsor I LLC

Disclosed balance after: 2,595,000

F1 · shares: 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 · ownership.direct: 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.

SEC source: 0001213900-22-055766 · ownership.xml · nonDerivative · entry 1

Yamokoski John · CIK 0001944944 · Chief Technology Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 710,345

F1 · shares: 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.

SEC source: 0001213900-22-055762 · ownership.xml · nonDerivative · entry 1

Mey Mark-Anthony Lovell · CIK 0001499267 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Transocean Inc.

Disclosed balance after: 9,079,492

F1 · shares: 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 · ownership.direct: Shares held directly by Transocean Inc. The Reporting Person, as an executive officer of Transocean Inc., may be deemed to share voting and dispositive power over the shares held by Transocean Inc. The Reporting Person disclaims beneficial ownership of shares held by Transocean Inc., except to the extent of any pecuniary interest therein.

SEC source: 0001213900-22-055763 · ownership.xml · nonDerivative · entry 1

Radford Nicolaus · CIK 0001944857 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,956,456

F1 · shares: 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.

SEC source: 0001213900-22-056038 · ownership.xml · derivative · entry 1

Sharkawy Adam · CIK 0001945167 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By Material Impact Fund II, L.P.

Disclosed balance after: 499,437

Underlying: Common Stock · 499,437 shares

Expires not disclosed

F1 · derivative.exercise_date: Reflects Earn-Out Shares issued 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. pursuant to the Merger Agreement dated December 16, 2021 and consummated on September 9, 2022 ("Merger Agreement"). Earn-Out Shares will be released as follows: (i) one-half will be released if, within a five-year period following the signing date of the Merger Agreement, the volume-weighted average price of the common stock equals or exceeds $15.00 per share, over any 20 trading days within a 30-day trading period; (ii) one-quarter will be released if, within a five-year period following the signing date of the Merger Agreement, the volume-weighted average price of common stock equals or exceeds $17.50 per share over any 20 trading days within a 30-day trading period; and (iii) one-quarter will be released if, within a five-year period following the signing date of the Merger Agreement, the volume-weighted average price of the common stock equals or exceeds $20.00 per share over any 20 trading days within a 30-day trading period. Any shares not eligible to be released within five years of December 16, 2021, will be forfeited and canceled. This amendment is being filed to include the Earn-Out Shares that were inadvertently omitted from the original Form 4 filed by the Reporting Person on September 13, 2022.

F1 · derivative.expiration_date: Reflects Earn-Out Shares issued 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. pursuant to the Merger Agreement dated December 16, 2021 and consummated on September 9, 2022 ("Merger Agreement"). Earn-Out Shares will be released as follows: (i) one-half will be released if, within a five-year period following the signing date of the Merger Agreement, the volume-weighted average price of the common stock equals or exceeds $15.00 per share, over any 20 trading days within a 30-day trading period; (ii) one-quarter will be released if, within a five-year period following the signing date of the Merger Agreement, the volume-weighted average price of common stock equals or exceeds $17.50 per share over any 20 trading days within a 30-day trading period; and (iii) one-quarter will be released if, within a five-year period following the signing date of the Merger Agreement, the volume-weighted average price of the common stock equals or exceeds $20.00 per share over any 20 trading days within a 30-day trading period. Any shares not eligible to be released within five years of December 16, 2021, will be forfeited and canceled. This amendment is being filed to include the Earn-Out Shares that were inadvertently omitted from the original Form 4 filed by the Reporting Person on September 13, 2022.

F2 · ownership.direct: Shares held by Material Impact Fund II, L.P. ("MIF II"). Material Impact Partners II, LLC ("MIP II") is the general partner of MIF II and may be deemed to have voting and investment power with respect to the securities held by MIF II. The Reporting Person, a member of the Issuer's board of directors, and Carmichael Roberts are the managing members of MIP II and may be deemed to share voting and investment power with respect to the securities held by MIF II. Each of MIF II, MIP II, the Reporting Person and Mr. Roberts disclaim beneficial ownership of such shares and this report shall not be deemed an admission that any of them is the beneficial owner of such shares for purposes of Section 16 or for any other purpose, except to the extent of their respective pecuniary interests therein.

SEC source: 0001213900-22-056039 · ownership.xml · derivative · entry 2

Mey Mark-Anthony Lovell · CIK 0001499267 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Transocean Inc.

Disclosed balance after: 2,080,203

Underlying: Common Stock · 2,080,203 shares

Expires not disclosed

F1 · derivative.exercise_date: Reflects Earn-Out Shares issued 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. pursuant to the Merger Agreement dated December 16, 2021 and consummated on September 9, 2022 ("Merger Agreement"). Earn-Out Shares will be released as follows: (i) one-half will be released if, within a five-year period following the signing date of the Merger Agreement, the volume-weighted average price of the common stock equals or exceeds $15.00 per share, over any 20 trading days within a 30-day trading period; (ii) one-quarter will be released if, within a five-year period following the signing date of the Merger Agreement, the volume-weighted average price of common stock equals or exceeds $17.50 per share over any 20 trading days within a 30-day trading period; and (iii) one-quarter will be released if, within a five-year period following the signing date of the Merger Agreement, the volume-weighted average price of the common stock equals or exceeds $20.00 per share over any 20 trading days within a 30-day trading period. Any shares not eligible to be released within five years of December 16, 2021 will be forfeited and canceled. This amendment is being filed to include the Earn-Out Shares that were inadvertently omitted from the original Form 4 filed by the Reporting Person on September 13, 2022.

F1 · derivative.expiration_date: Reflects Earn-Out Shares issued 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. pursuant to the Merger Agreement dated December 16, 2021 and consummated on September 9, 2022 ("Merger Agreement"). Earn-Out Shares will be released as follows: (i) one-half will be released if, within a five-year period following the signing date of the Merger Agreement, the volume-weighted average price of the common stock equals or exceeds $15.00 per share, over any 20 trading days within a 30-day trading period; (ii) one-quarter will be released if, within a five-year period following the signing date of the Merger Agreement, the volume-weighted average price of common stock equals or exceeds $17.50 per share over any 20 trading days within a 30-day trading period; and (iii) one-quarter will be released if, within a five-year period following the signing date of the Merger Agreement, the volume-weighted average price of the common stock equals or exceeds $20.00 per share over any 20 trading days within a 30-day trading period. Any shares not eligible to be released within five years of December 16, 2021 will be forfeited and canceled. This amendment is being filed to include the Earn-Out Shares that were inadvertently omitted from the original Form 4 filed by the Reporting Person on September 13, 2022.

F2 · ownership.direct: Shares held directly by Transocean Inc. The Reporting Person, as an executive officer of Transocean Inc., may be deemed to share voting and dispositive power over the shares held by Transocean Inc. The Reporting Person disclaims beneficial ownership of shares held by Transocean Inc., except to the extent of any pecuniary interest therein.

SEC source: 0001213900-22-056039 · ownership.xml · nonDerivative · entry 1

Mey Mark-Anthony Lovell · CIK 0001499267 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Transocean Inc.

Disclosed balance after: 9,079,492

F1 · shares: Reflects Earn-Out Shares issued 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. pursuant to the Merger Agreement dated December 16, 2021 and consummated on September 9, 2022 ("Merger Agreement"). Earn-Out Shares will be released as follows: (i) one-half will be released if, within a five-year period following the signing date of the Merger Agreement, the volume-weighted average price of the common stock equals or exceeds $15.00 per share, over any 20 trading days within a 30-day trading period; (ii) one-quarter will be released if, within a five-year period following the signing date of the Merger Agreement, the volume-weighted average price of common stock equals or exceeds $17.50 per share over any 20 trading days within a 30-day trading period; and (iii) one-quarter will be released if, within a five-year period following the signing date of the Merger Agreement, the volume-weighted average price of the common stock equals or exceeds $20.00 per share over any 20 trading days within a 30-day trading period. Any shares not eligible to be released within five years of December 16, 2021 will be forfeited and canceled. This amendment is being filed to include the Earn-Out Shares that were inadvertently omitted from the original Form 4 filed by the Reporting Person on September 13, 2022.

F2 · ownership.direct: Shares held directly by Transocean Inc. The Reporting Person, as an executive officer of Transocean Inc., may be deemed to share voting and dispositive power over the shares held by Transocean Inc. The Reporting Person disclaims beneficial ownership of shares held by Transocean Inc., except to the extent of any pecuniary interest therein.