Spiro Elliot

SEC source: 0001849820-26-000115 · primary_doc.xml · derivative · entry 1

Spiro Elliot · CIK 0001875548 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 48,241

Underlying: Common Stock · 48,241 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 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) May 27, 2027, or (ii) the date immediately preceding the Company's 2027 annual meeting of stockholders.

F2 · derivative.expiration_date: The RSUs vest on the earlier of (i) May 27, 2027, or (ii) the date immediately preceding the Company's 2027 annual meeting of stockholders.

SEC source: 0001849820-26-000119 · primary_doc.xml · derivative · entry 2

Spiro Elliot · CIK 0001875548 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 2,162 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.

F2 · 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 generally is subject to the reporting person remaining an employee or director of the Company, its affiliates or subsidiaries.

F1 · shares: Adjusted to reflect 1 for 8 reverse stock split on April 21, 2026.

F3 · derivative.exercise_date: The RSUs vest on the earlier of (i) May 27, 2026, or (ii) the date immediately preceding the Company's 2026 annual meeting of stockholders.

F3 · derivative.expiration_date: The RSUs vest on the earlier of (i) May 27, 2026, or (ii) the date immediately preceding the Company's 2026 annual meeting of stockholders.

SEC source: 0001849820-26-000119 · primary_doc.xml · nonDerivative · entry 1

Spiro Elliot · CIK 0001875548 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 2,530

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 · shares: Adjusted to reflect 1 for 8 reverse stock split on April 21, 2026.

SEC source: 0001849820-25-000181 · wk-form4_1753735164.xml · derivative · entry 1

Spiro Elliot · CIK 0001875548 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 155,593

Underlying: Common Stock · 155,593 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 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) June 25, 2026, or (ii) the date immediately preceding the Company's 2026 annual meeting of stockholders.

F2 · derivative.expiration_date: The RSUs vest on the earlier of (i) June 25, 2026, or (ii) the date immediately preceding the Company's 2026 annual meeting of stockholders.

SEC source: 0001849820-25-000150 · wk-form4_1748617080.xml · derivative · entry 2

Spiro Elliot · CIK 0001875548 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 25,286 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.

F2 · 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 generally is subject to the reporting person remaining an employee or director of the Company, its affiliates or subsidiaries.

F1 · shares: Adjusted to reflect 1 for 36 reverse stock split on July 18, 2024.

F3 · derivative.exercise_date: The RSUs vest on the earlier of (i) May 28, 2025, or (ii) the date immediately preceding the Company's 2025 annual meeting of stockholders.

F3 · derivative.expiration_date: The RSUs vest on the earlier of (i) May 28, 2025, or (ii) the date immediately preceding the Company's 2025 annual meeting of stockholders.

SEC source: 0001849820-25-000150 · wk-form4_1748617080.xml · nonDerivative · entry 1

Spiro Elliot · CIK 0001875548 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 27,425

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 · shares: Adjusted to reflect 1 for 36 reverse stock split on July 18, 2024.

SEC source: 0001849820-24-000184 · wk-form4_1721437983.xml · derivative · entry 1

Spiro Elliot · CIK 0001875548 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 910,288

Underlying: Common Stock · 910,288 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) May 28, 2025, or (ii) the date immediately preceding the Company's 2025 annual meeting of stockholders.

F2 · derivative.expiration_date: The RSUs vest on the earlier of (i) May 28, 2025, or (ii) the date immediately preceding the Company's 2025 annual meeting of stockholders.

SEC source: 0001849820-25-000056 · wk-form5_1739580708.xml · derivative · entry 6

Spiro Elliot · CIK 0001875548 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 25,286

Underlying: Common Stock · 1,338 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 generally is subject to the reporting person remaining an employee or director of the Company, its affiliates or subsidiaries.

F8 · derivative.exercise_date: RSUs granted on November 7, 2023 and vested on May 28, 2024.

F8 · derivative.expiration_date: RSUs granted on November 7, 2023 and vested on May 28, 2024.

F2 · balance_after: Reflects holdings as of the date of this Form.

SEC source: 0001849820-25-000056 · wk-form5_1739580708.xml · nonDerivative · entry 2

Spiro Elliot · CIK 0001875548 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 2,139

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 generally is subject to the reporting person remaining an employee or director of the Company, its affiliates or subsidiaries.

F2 · balance_after: Reflects holdings as of the date of this Form.

SEC source: 0001213900-23-085420 · ownership.xml · derivative · entry 1

Spiro Elliot · CIK 0001875548 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 48,166

Underlying: Common Stock · 48,166 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) November 7, 2024, or (ii) the date immediately preceding the Company's 2024 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) November 7, 2024, or (ii) the date immediately preceding the Company's 2024 annual meeting of stockholders if the reporting person is not on the ballot for such meeting.

SEC source: 0001849820-25-000056 · wk-form5_1739580708.xml · derivative · entry 5

Spiro Elliot · CIK 0001875548 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 25,286

Underlying: Common Stock · 801 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 generally is subject to the reporting person remaining an employee or director of the Company, its affiliates or subsidiaries.

F7 · derivative.exercise_date: RSUs issued on October 7, 2022 and vested on October 7, 2023.

F7 · derivative.expiration_date: RSUs issued on October 7, 2022 and vested on October 7, 2023.

F2 · balance_after: Reflects holdings as of the date of this Form.

SEC source: 0001849820-25-000056 · wk-form5_1739580708.xml · nonDerivative · entry 1

Spiro Elliot · CIK 0001875548 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 2,139

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 generally is subject to the reporting person remaining an employee or director of the Company, its affiliates or subsidiaries.

F2 · balance_after: Reflects holdings as of the date of this Form.

SEC source: 0001849820-25-000056 · wk-form5_1739580708.xml · derivative · entry 8

Spiro Elliot · CIK 0001875548 · Director

10b5-1 filing: No plan indicated

Ownership: Indirect · By CleanTech Sponsor I LLC

Disclosed balance after: 0

Underlying: Common Stock · 132,871 shares

Expires 2026-07-14

F9 · derivative.exercise_price: For every 36 Private Warrants, the registered holder is entitled to purchase one share of Common Stock at a price of $11.50 per full share, subject to adjustment.

F5 · kind: On June 7, 2023, CleanTech Sponsor I LLC and CleanTech Investments, LLC (the "Co-Sponsors"), transferred an aggregate of 2,695,000 shares of Common Stock of the Company and 4,783,333 private warrants of the Company to certain transferees.

F5 · price: On June 7, 2023, CleanTech Sponsor I LLC and CleanTech Investments, LLC (the "Co-Sponsors"), transferred an aggregate of 2,695,000 shares of Common Stock of the Company and 4,783,333 private warrants of the Company to certain transferees.

F6 · ownership.nature: Securities held by CleanTech Sponsor I, LLC, of which the reporting person is a managing member. The reporting person disclaims beneficial ownership of the shares held indirectly, except to the extent of his pecuniary interest therein.

SEC source: 0001849820-25-000056 · wk-form5_1739580708.xml · derivative · entry 7

Spiro Elliot · CIK 0001875548 · Director

10b5-1 filing: No plan indicated

Ownership: Indirect · By Dumby I L.P.

Disclosed balance after: 200,000

Underlying: Common Stock · 5,556 shares

Expires 2027-09-09

F9 · derivative.exercise_price: For every 36 Private Warrants, the registered holder is entitled to purchase one share of Common Stock at a price of $11.50 per full share, subject to adjustment.

F10 · price: On June 7, 2023, CleanTech Sponsor I LLC and CleanTech Investments, LLC (the "Co-Sponsors"), transferred an aggregate of 2,695,000 shares of Common Stock of the Company and 4,783,333 private warrants of the Company to certain transferees. Among those transfers, the Co-Sponsor's transferred 200,000 private warrants to Dumby I, LLP.

F11 · ownership.nature: The reporting person indirectly owns 200,000 warrants held by Dumby I L.P. Mr. Spiro's wife is General Partner of Dumby I L.P. and Mr. Spiro is not a Limited Partner of Dumby I L.P. Mr. Spiro disclaims beneficial ownership of the shares held indirectly, except to the extent of his pecuniary interest therein.

SEC source: 0001849820-25-000056 · wk-form5_1739580708.xml · nonDerivative · entry 4

Spiro Elliot · CIK 0001875548 · Director

10b5-1 filing: No plan indicated

Ownership: Indirect · By CleanTech Sponsor I LLC

Disclosed balance after: 0

F5 · kind: On June 7, 2023, CleanTech Sponsor I LLC and CleanTech Investments, LLC (the "Co-Sponsors"), transferred an aggregate of 2,695,000 shares of Common Stock of the Company and 4,783,333 private warrants of the Company to certain transferees.

F5 · price: On June 7, 2023, CleanTech Sponsor I LLC and CleanTech Investments, LLC (the "Co-Sponsors"), transferred an aggregate of 2,695,000 shares of Common Stock of the Company and 4,783,333 private warrants of the Company to certain transferees.

F6 · ownership.nature: Securities held by CleanTech Sponsor I, LLC, of which the reporting person is a managing member. The reporting person disclaims beneficial ownership of the shares held indirectly, except to the extent of his pecuniary interest therein.

SEC source: 0001849820-25-000056 · wk-form5_1739580708.xml · nonDerivative · entry 3

Spiro Elliot · CIK 0001875548 · Director

10b5-1 filing: No plan indicated

Ownership: Indirect · By Dumby I. L.P.

Disclosed balance after: 4,642

F3 · kind: On June 7, 2023, CleanTech Sponsor I LLC and CleanTech Investments, LLC (the "Co-Sponsors"), transferred an aggregate of 2,695,000 shares of Common Stock of the Company and 4,783,333 private warrants of the Company to certain transferees. Among those transfers, the Co-Sponsors transferred 4,642 shares to Dumby I, L.P.

F4 · ownership.nature: The reporting person indirectly owns 4,642 shares held by Dumby I L.P. Mr. Spiro's wife is General Partner of Dumby I L.P. and Mr. Spiro is not a Limited Partner of Dumby I L.P. Mr. Spiro disclaims beneficial ownership of the shares held indirectly, except to the extent of his pecuniary interest therein.

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: 0001213900-22-055765 · 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: 0001213900-22-055765 · ownership.xml · derivative · entry 3

Spiro Elliot · CIK 0001875548 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · CleanTech Sponsor I LLC

Disclosed balance after: 4,783,333

Underlying: Common Stock · 450,000 shares

Expires 2026-07-14

F4 · derivative.underlying_shares: 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.

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: 0001213900-22-055765 · ownership.xml · derivative · entry 2

Spiro Elliot · CIK 0001875548 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · CleanTech Sponsor I LLC

Disclosed balance after: 4,333,333

Underlying: Common Stock · 4,333,333 shares

Expires 2026-07-14

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

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.