Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| Nauticus Robotics, Inc.KITT · Entity 8200 | Director · 10% owner · Director by Deputization | December 31, 2024 | February 25, 2025 |
Disclosed balances
About these balances
Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.
Nauticus Robotics, Inc.
Report date December 31, 2024 · Filed February 25, 2025
Jointly reported with Material Impact Partners II, LLC, Material Impact Fund II, L.P.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectBy Material Impact Fund II, L.P. | 69,829 |
Reported balance
After 2023-06-22 transaction · row 2
Holding and transaction disclosures are not merged.
1 source rowRow 2 · 2023-06-22 · Grant · Acquired 7,333 · Balance 69,829 F3: Pursuant to the amendment to that certain Registration Rights Agreement, dated September 9, 2022, by and between the Issuer, MIF II and certain other parties (as amended, the "RRA") and disclosed in the Issuer's Current Report on Form 8-K filed on June 23, 2023, the Issuer delivered 7,333 shares of Common Stock to MIF II in exchange for the release of claims under any of the Transaction Documents (as defined in the RRA). The acquisition of such securities was exempted from Section 16(b) of the Act pursuant to Rule 16b-3 thereunder. F2: Securities 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. Adam Sharkawy, 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. For purposes of Section 16 of the Securities Exchange Act of 1934, as amended (the "Act"), each of MIF II, MIP II, Mr. Sharkawy and Mr. Roberts disclaims beneficial ownership of such securities, except to the extent of their respective pecuniary interests therein, and this report shall not be deemed an admission that any of them is the beneficial owner of such securities for purposes of Section 16 or for any other purpose. |
| Common StockSEC Table I · non-derivative | IndirectBy Material Impact Fund II, L.P. | 62,496 |
Reported balance
Holding disclosure · report date 2024-12-31 · row 1
Holding and transaction disclosures are not merged.
1 source rowRow 1 · Balance 62,496 F1: 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 (the "Business Combination"). F2: Securities 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. Adam Sharkawy, 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. For purposes of Section 16 of the Securities Exchange Act of 1934, as amended (the "Act"), each of MIF II, MIP II, Mr. Sharkawy and Mr. Roberts disclaims beneficial ownership of such securities, except to the extent of their respective pecuniary interests therein, and this report shall not be deemed an admission that any of them is the beneficial owner of such securities for purposes of Section 16 or for any other purpose. |
| Convertible Senior Secured Term Loan 2023SEC Table II · derivative / convertible security · Expires 2026-09-18 | IndirectBy Material Impact Fund II, L.P. | Not disclosed |
Reported balance
After 2023-09-18 transaction · row 6
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 6 · 2023-09-18 · Grant · Acquired 1,000,000 · Balance Not disclosed F8: On September 18, 2023, the Issuer entered into a convertible senior secured term loan agreement (as amended, the "2023 Agreement") with MIF II and certain other parties. Loans under the 2023 Agreement bear interest at 12.50% per annum and are convertible into Common Stock at an initial conversion price of $6.00 per share of Common Stock, on a pre-Reverse Stock Split basis, subject to certain customary anti-dilution adjustments. Pursuant to the 2023 Agreement, on September 18, 2023, the Issuer acquired convertible loans in an aggregate principal amount of $1,000,000 from MIF II (the "September Term Loan 2023"). The acquisition of such securities and any shares of Common Stock that may be acquired upon conversion of such securities were exempted from Section 16(b) of the Act pursuant to Rule 16b-3 thereunder. F2: Securities 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. Adam Sharkawy, 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. For purposes of Section 16 of the Securities Exchange Act of 1934, as amended (the "Act"), each of MIF II, MIP II, Mr. Sharkawy and Mr. Roberts disclaims beneficial ownership of such securities, except to the extent of their respective pecuniary interests therein, and this report shall not be deemed an admission that any of them is the beneficial owner of such securities for purposes of Section 16 or for any other purpose. |
| Convertible Senior Secured Term Loan 2023SEC Table II · derivative / convertible security · Expires 2026-09-18 | IndirectBy Material Impact Fund II, L.P. | Not disclosed |
Reported balance
After 2024-01-30 transaction · row 7
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 7 · 2024-01-30 · Grant · Acquired 1,000,000 · Balance Not disclosed F9: Pursuant to the 2023 Agreement, on January 30, 2024, the Issuer acquired convertible loans in an aggregate principal amount of $1,000,000 from MIF II (the "January Term Loan 2023" and collectively, with the September Term Loan 2023, the "2023 Loans"). The acquisition of such securities and any shares of Common Stock that may be acquired upon conversion of such securities were exempted from Section 16(b) of the Act pursuant to Rule 16b-3 thereunder. F8: On September 18, 2023, the Issuer entered into a convertible senior secured term loan agreement (as amended, the "2023 Agreement") with MIF II and certain other parties. Loans under the 2023 Agreement bear interest at 12.50% per annum and are convertible into Common Stock at an initial conversion price of $6.00 per share of Common Stock, on a pre-Reverse Stock Split basis, subject to certain customary anti-dilution adjustments. Pursuant to the 2023 Agreement, on September 18, 2023, the Issuer acquired convertible loans in an aggregate principal amount of $1,000,000 from MIF II (the "September Term Loan 2023"). The acquisition of such securities and any shares of Common Stock that may be acquired upon conversion of such securities were exempted from Section 16(b) of the Act pursuant to Rule 16b-3 thereunder. F2: Securities 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. Adam Sharkawy, 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. For purposes of Section 16 of the Securities Exchange Act of 1934, as amended (the "Act"), each of MIF II, MIP II, Mr. Sharkawy and Mr. Roberts disclaims beneficial ownership of such securities, except to the extent of their respective pecuniary interests therein, and this report shall not be deemed an admission that any of them is the beneficial owner of such securities for purposes of Section 16 or for any other purpose. |
| Convertible Senior Secured Term Loan 2024SEC Table II · derivative / convertible security · Expires 2027-01-30 | IndirectBy Material Impact Fund II, L.P. | Not disclosed |
Reported balance
After 2024-01-30 transaction · row 8
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 8 · 2024-01-30 · Grant · Acquired 2,000,000 · Balance Not disclosed F10: On January 30, 2024, the Issuer entered into a new convertible senior secured term loan agreement (as amended, the "2024 Agreement") with MIF II and certain other parties. Loans under the 2024 Agreement bear interest at 15% per annum and are convertible into Common Stock at an initial conversion price of $0.4582 per share of Common Stock, on a pre-Reverse Stock Split basis, subject to certain customary anti-dilution adjustments. Pursuant to the 2024 Agreement, on January 30, 2024, the Issuer acquired convertible loans in an aggregate principal amount of $2,000,000 from MIF II (the "2024 Loan"). The acquisition of such securities and any shares of Common Stock that may be acquired upon conversion of such securities were exempted from Section 16(b) of the Act pursuant to Rule 16b-3 thereunder. F2: Securities 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. Adam Sharkawy, 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. For purposes of Section 16 of the Securities Exchange Act of 1934, as amended (the "Act"), each of MIF II, MIP II, Mr. Sharkawy and Mr. Roberts disclaims beneficial ownership of such securities, except to the extent of their respective pecuniary interests therein, and this report shall not be deemed an admission that any of them is the beneficial owner of such securities for purposes of Section 16 or for any other purpose. |
| Convertible Senior Secured Term Loan 2024SEC Table II · derivative / convertible security · Expires 2027-01-30 | IndirectBy Material Impact Fund II, L.P. | 0 |
Reported balance
After 2025-01-03 transaction · row 15
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 15 · 2025-01-03 · Disposition to issuer · Disposed 2,000,000 · Balance 0 F10: On January 30, 2024, the Issuer entered into a new convertible senior secured term loan agreement (as amended, the "2024 Agreement") with MIF II and certain other parties. Loans under the 2024 Agreement bear interest at 15% per annum and are convertible into Common Stock at an initial conversion price of $0.4582 per share of Common Stock, on a pre-Reverse Stock Split basis, subject to certain customary anti-dilution adjustments. Pursuant to the 2024 Agreement, on January 30, 2024, the Issuer acquired convertible loans in an aggregate principal amount of $2,000,000 from MIF II (the "2024 Loan"). The acquisition of such securities and any shares of Common Stock that may be acquired upon conversion of such securities were exempted from Section 16(b) of the Act pursuant to Rule 16b-3 thereunder. F16: On January 3, 2025, pursuant to the terms of the 2024 Agreement, the Issuer voluntarily, with the consent of the required lenders and for no additional consideration, reduced the conversion price of the 2024 Loan to $1.59, which was the closing price of the Issuer's Common Stock on January 2, 2025. The reduction of the conversion price is reported herein as the disposition of 2024 Loan and the acquisition of a "new" term loan (the "New 2024 Loan") with the reduced conversion price. MIF II did not actually dispose of the 2024 Loan or securities underlying the 2024 Loan nor did MIF II actually acquire the New 2024 Loan or any of the securities underlying the New 2024 Loan. F17: (Continued from footnote 16 ) The disposition or deemed disposition of the 2024 Loan and any shares of Common Stock that may have been be acquired upon conversion of such securities and the acquisition or deemed acquisition of the New 2024 Loan and any shares of Common Stock that may be acquired upon conversion of such securities were exempted from Section 16(b) of the Act pursuant to Rule 16b-3 thereunder. F2: Securities 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. Adam Sharkawy, 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. For purposes of Section 16 of the Securities Exchange Act of 1934, as amended (the "Act"), each of MIF II, MIP II, Mr. Sharkawy and Mr. Roberts disclaims beneficial ownership of such securities, except to the extent of their respective pecuniary interests therein, and this report shall not be deemed an admission that any of them is the beneficial owner of such securities for purposes of Section 16 or for any other purpose. |
| 2021 DebenturesSEC Table II · derivative / convertible security · Expires 2026-09-09 | IndirectBy Material Impact Fund II, L.P. | 0 |
Reported balance
After 2024-01-30 transaction · row 9
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 9 · 2024-01-30 · Disposition to issuer · Disposed 5,102,000 · Balance 0 F5: Pursuant to the 2021 SPA, MIF II purchased debentures that were initially convertible into 408,160 shares of Common Stock, on a pre-Reverse Stock Split Basis (the "2021 Debentures"), and warrants to purchase 408,160 shares of Common Stock, on a pre-Reverse Stock Split Basis (the "Old Private Warrants"). The acquisition of such securities and any shares of Common Stock that may be acquired upon conversion of such securities were exempted from Section 16(b) of the Act pursuant to Rule 16b-3 thereunder. F11: On January 30, 2024, the Issuer entered into an amendment and exchange agreement with MIF II (the "Exchange Agreement"), pursuant to which MIF II transferred the 2021 Debentures to the Issuer in exchange for new debentures in the aggregate principal amount of $5,102,000 and initially convertible into 1,936,978 shares of Common Stock, on a pre-Reverse Stock Split basis (the "2024 Debentures"). The exchange is reported as a disposition of the 2021 Debentures and an acquisition of the 2024 Debentures. The disposition or deemed disposition of the 2021 Debentures and any shares of Common Stock that may have been be acquired upon conversion of such securities and the acquisition or deemed acquisition of the 2024 Debentures and any shares of Common Stock that may be acquired upon conversion of such securities were exempted from Section 16(b) of the Act pursuant to Rule 16b-3 thereunder. F2: Securities 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. Adam Sharkawy, 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. For purposes of Section 16 of the Securities Exchange Act of 1934, as amended (the "Act"), each of MIF II, MIP II, Mr. Sharkawy and Mr. Roberts disclaims beneficial ownership of such securities, except to the extent of their respective pecuniary interests therein, and this report shall not be deemed an admission that any of them is the beneficial owner of such securities for purposes of Section 16 or for any other purpose. |
| 2021 DebenturesSEC Table II · derivative / convertible security · Expires 2026-09-09 | IndirectBy Material Impact Fund II, L.P. | Not disclosed |
Reported balance
Holding disclosure · report date 2024-12-31 · row 4
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 4 · Balance Not disclosed F5: Pursuant to the 2021 SPA, MIF II purchased debentures that were initially convertible into 408,160 shares of Common Stock, on a pre-Reverse Stock Split Basis (the "2021 Debentures"), and warrants to purchase 408,160 shares of Common Stock, on a pre-Reverse Stock Split Basis (the "Old Private Warrants"). The acquisition of such securities and any shares of Common Stock that may be acquired upon conversion of such securities were exempted from Section 16(b) of the Act pursuant to Rule 16b-3 thereunder. F2: Securities 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. Adam Sharkawy, 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. For purposes of Section 16 of the Securities Exchange Act of 1934, as amended (the "Act"), each of MIF II, MIP II, Mr. Sharkawy and Mr. Roberts disclaims beneficial ownership of such securities, except to the extent of their respective pecuniary interests therein, and this report shall not be deemed an admission that any of them is the beneficial owner of such securities for purposes of Section 16 or for any other purpose. |
| 2024 DebenturesSEC Table II · derivative / convertible security · Expires 2026-09-09 | IndirectBy Material Impact Fund II, L.P. | Not disclosed |
Reported balance
After 2024-01-30 transaction · row 10
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 10 · 2024-01-30 · Grant · Acquired 5,102,000 · Balance Not disclosed F11: On January 30, 2024, the Issuer entered into an amendment and exchange agreement with MIF II (the "Exchange Agreement"), pursuant to which MIF II transferred the 2021 Debentures to the Issuer in exchange for new debentures in the aggregate principal amount of $5,102,000 and initially convertible into 1,936,978 shares of Common Stock, on a pre-Reverse Stock Split basis (the "2024 Debentures"). The exchange is reported as a disposition of the 2021 Debentures and an acquisition of the 2024 Debentures. The disposition or deemed disposition of the 2021 Debentures and any shares of Common Stock that may have been be acquired upon conversion of such securities and the acquisition or deemed acquisition of the 2024 Debentures and any shares of Common Stock that may be acquired upon conversion of such securities were exempted from Section 16(b) of the Act pursuant to Rule 16b-3 thereunder. F2: Securities 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. Adam Sharkawy, 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. For purposes of Section 16 of the Securities Exchange Act of 1934, as amended (the "Act"), each of MIF II, MIP II, Mr. Sharkawy and Mr. Roberts disclaims beneficial ownership of such securities, except to the extent of their respective pecuniary interests therein, and this report shall not be deemed an admission that any of them is the beneficial owner of such securities for purposes of Section 16 or for any other purpose. |
| 2024 DebenturesSEC Table II · derivative / convertible security · Expires 2026-09-09 | IndirectBy Material Impact Fund II, L.P. | 0 |
Reported balance
After 2024-12-26 transaction · row 13
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 13 · 2024-12-26 · Disposition to issuer · Disposed 5,102,000 · Balance 0 F11: On January 30, 2024, the Issuer entered into an amendment and exchange agreement with MIF II (the "Exchange Agreement"), pursuant to which MIF II transferred the 2021 Debentures to the Issuer in exchange for new debentures in the aggregate principal amount of $5,102,000 and initially convertible into 1,936,978 shares of Common Stock, on a pre-Reverse Stock Split basis (the "2024 Debentures"). The exchange is reported as a disposition of the 2021 Debentures and an acquisition of the 2024 Debentures. The disposition or deemed disposition of the 2021 Debentures and any shares of Common Stock that may have been be acquired upon conversion of such securities and the acquisition or deemed acquisition of the 2024 Debentures and any shares of Common Stock that may be acquired upon conversion of such securities were exempted from Section 16(b) of the Act pursuant to Rule 16b-3 thereunder. F14: On November 4, 2024, the Issuer entered into a Second Amendment and Exchange Agreement (the "Exchange Agreement"), with MIF II, pursuant to which MIF II exchanged (the "Exchange") the remaining principle and accrued interest outstanding under the 2024 Debentures for 5,342 shares of Series A preferred convertible stock (the "Series A Preferred Stock") for no additional consideration. The disposition or deemed disposition of the 2024 Debentures and any shares of Common Stock that may have been acquired upon conversion of such securities and the acquisition or deemed acquisition of the Series A Preferred Stock and any shares of Common Stock that may be acquired upon conversion of such securities were exempted from Section 16(b) of the Act pursuant to Rule 16b-3 thereunder. F2: Securities 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. Adam Sharkawy, 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. For purposes of Section 16 of the Securities Exchange Act of 1934, as amended (the "Act"), each of MIF II, MIP II, Mr. Sharkawy and Mr. Roberts disclaims beneficial ownership of such securities, except to the extent of their respective pecuniary interests therein, and this report shall not be deemed an admission that any of them is the beneficial owner of such securities for purposes of Section 16 or for any other purpose. |
| Old Private WarrantsSEC Table II · derivative / convertible security · Conversion / exercise price $20.00 · Expires 2032-09-09 | IndirectBy Material Impact Fund II, L.P. | 0 |
Reported balance
After 2024-01-31 transaction · row 11
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 11 · 2024-01-31 · Disposition to issuer · Disposed 408,160 · Balance 0 F12: On January 31, 2024, the Issuer, MIF II and certain other parties entered into the Nauticus Second Lien Restructuring Agreement, pursuant to which, among other things, provided for (a) a voluntary adjustment of the exercise price of the Old Private Warrants to $0.0001 per share, on a pre-Reverse Stock Split basis, and (b) the waiver of certain anti-dilution provisions by the holders of the Old Private Warrants (collectively, the "Warrant Adjustments"). The Warrant Adjustments are reported herein as the disposition of the Old Private Warrants and the acquisition of "new" warrants (the "New Private Warrants"). MIF II did not actually dispose of the Old Private Warrants or securities underlying the Old Private Warrants nor did MIF II actually acquire the New Private Warrants or securities underlying the New Private Warrants. F13: (Continued from footnote 12) The disposition or deemed disposition of the Old Private Warrants and any shares of Common Stock that may been be acquired upon the exercise of such securities and the acquisition or deemed acquisition of the New Private Warrants and any shares of Common Stock that may be acquired upon exercise of such securities were exempted from Section 16(b) of the Act pursuant to Rule 16b-3 thereunder. F4: 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 "2021 SPA"). F2: Securities 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. Adam Sharkawy, 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. For purposes of Section 16 of the Securities Exchange Act of 1934, as amended (the "Act"), each of MIF II, MIP II, Mr. Sharkawy and Mr. Roberts disclaims beneficial ownership of such securities, except to the extent of their respective pecuniary interests therein, and this report shall not be deemed an admission that any of them is the beneficial owner of such securities for purposes of Section 16 or for any other purpose. |
| Old Private WarrantsSEC Table II · derivative / convertible security · Conversion / exercise price $20.00 · Expires 2032-09-09 | IndirectBy Material Impact Fund II, L.P. | 408,160 |
Reported balance
Holding disclosure · report date 2024-12-31 · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · Balance 408,160 F4: 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 "2021 SPA"). F2: Securities 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. Adam Sharkawy, 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. For purposes of Section 16 of the Securities Exchange Act of 1934, as amended (the "Act"), each of MIF II, MIP II, Mr. Sharkawy and Mr. Roberts disclaims beneficial ownership of such securities, except to the extent of their respective pecuniary interests therein, and this report shall not be deemed an admission that any of them is the beneficial owner of such securities for purposes of Section 16 or for any other purpose. |
| New Private WarrantsSEC Table II · derivative / convertible security · Conversion / exercise price $0.00 · Expires 2032-09-09 | IndirectBy Material Impact Fund II, L.P. | 106,194 |
Reported balance
After 2024-01-31 transaction · row 12
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 12 · 2024-01-31 · Grant · Acquired 106,194 · Balance 106,194 F12: On January 31, 2024, the Issuer, MIF II and certain other parties entered into the Nauticus Second Lien Restructuring Agreement, pursuant to which, among other things, provided for (a) a voluntary adjustment of the exercise price of the Old Private Warrants to $0.0001 per share, on a pre-Reverse Stock Split basis, and (b) the waiver of certain anti-dilution provisions by the holders of the Old Private Warrants (collectively, the "Warrant Adjustments"). The Warrant Adjustments are reported herein as the disposition of the Old Private Warrants and the acquisition of "new" warrants (the "New Private Warrants"). MIF II did not actually dispose of the Old Private Warrants or securities underlying the Old Private Warrants nor did MIF II actually acquire the New Private Warrants or securities underlying the New Private Warrants. F13: (Continued from footnote 12) The disposition or deemed disposition of the Old Private Warrants and any shares of Common Stock that may been be acquired upon the exercise of such securities and the acquisition or deemed acquisition of the New Private Warrants and any shares of Common Stock that may be acquired upon exercise of such securities were exempted from Section 16(b) of the Act pursuant to Rule 16b-3 thereunder. F2: Securities 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. Adam Sharkawy, 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. For purposes of Section 16 of the Securities Exchange Act of 1934, as amended (the "Act"), each of MIF II, MIP II, Mr. Sharkawy and Mr. Roberts disclaims beneficial ownership of such securities, except to the extent of their respective pecuniary interests therein, and this report shall not be deemed an admission that any of them is the beneficial owner of such securities for purposes of Section 16 or for any other purpose. |
| Series A Preferred StockSEC Table II · derivative / convertible security · Conversion / exercise price $1.23 | IndirectBy Material Impact Fund II, L.P. | 5,342 |
Reported balance
After 2024-12-26 transaction · row 14
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 14 · 2024-12-26 · Grant · Acquired 5,342 · Balance 5,342 F14: On November 4, 2024, the Issuer entered into a Second Amendment and Exchange Agreement (the "Exchange Agreement"), with MIF II, pursuant to which MIF II exchanged (the "Exchange") the remaining principle and accrued interest outstanding under the 2024 Debentures for 5,342 shares of Series A preferred convertible stock (the "Series A Preferred Stock") for no additional consideration. The disposition or deemed disposition of the 2024 Debentures and any shares of Common Stock that may have been acquired upon conversion of such securities and the acquisition or deemed acquisition of the Series A Preferred Stock and any shares of Common Stock that may be acquired upon conversion of such securities were exempted from Section 16(b) of the Act pursuant to Rule 16b-3 thereunder. F15: Each share of Series A Preferred Stock has a stated value of $1,000 per share. The Series A Preferred Stock is convertible, in full or in part and at the holder's option, into shares of Common Stock based on 120% of the stated value (plus certain other amounts owed to the holder) divided by a conversion price of $1.23 per share, subject to proportional adjustments, or at an alternative conversion price. The Series A Preferred Stock has no expiration date. The terms of the Series A Preferred Stock and conversion prices is set forth in the Certificate of Designation of Series A Convertible Preferred Stock of the Issuer filed by the Issuer with the Secretary of the State of Delaware on December 26, 2024. F2: Securities 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. Adam Sharkawy, 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. For purposes of Section 16 of the Securities Exchange Act of 1934, as amended (the "Act"), each of MIF II, MIP II, Mr. Sharkawy and Mr. Roberts disclaims beneficial ownership of such securities, except to the extent of their respective pecuniary interests therein, and this report shall not be deemed an admission that any of them is the beneficial owner of such securities for purposes of Section 16 or for any other purpose. |
| New Convertible Senior Secured Term Loan 2024SEC Table II · derivative / convertible security · Conversion / exercise price $1.59 · Expires 2027-01-30 | IndirectBy Material Impact Fund II, L.P. | Not disclosed |
Reported balance
After 2025-01-03 transaction · row 16
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 16 · 2025-01-03 · Grant · Acquired 2,000,000 · Balance Not disclosed F16: On January 3, 2025, pursuant to the terms of the 2024 Agreement, the Issuer voluntarily, with the consent of the required lenders and for no additional consideration, reduced the conversion price of the 2024 Loan to $1.59, which was the closing price of the Issuer's Common Stock on January 2, 2025. The reduction of the conversion price is reported herein as the disposition of 2024 Loan and the acquisition of a "new" term loan (the "New 2024 Loan") with the reduced conversion price. MIF II did not actually dispose of the 2024 Loan or securities underlying the 2024 Loan nor did MIF II actually acquire the New 2024 Loan or any of the securities underlying the New 2024 Loan. F17: (Continued from footnote 16 ) The disposition or deemed disposition of the 2024 Loan and any shares of Common Stock that may have been be acquired upon conversion of such securities and the acquisition or deemed acquisition of the New 2024 Loan and any shares of Common Stock that may be acquired upon conversion of such securities were exempted from Section 16(b) of the Act pursuant to Rule 16b-3 thereunder. F2: Securities 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. Adam Sharkawy, 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. For purposes of Section 16 of the Securities Exchange Act of 1934, as amended (the "Act"), each of MIF II, MIP II, Mr. Sharkawy and Mr. Roberts disclaims beneficial ownership of such securities, except to the extent of their respective pecuniary interests therein, and this report shall not be deemed an admission that any of them is the beneficial owner of such securities for purposes of Section 16 or for any other purpose. |
| Earn-Out SharesSEC Table II · derivative / convertible security | IndirectBy Material Impact Fund II, L.P. | 13,873 |
Reported balance
Holding disclosure · report date 2024-12-31 · row 5
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 5 · Balance 13,873 F6: Reflects Earn-Out Shares issued in connection with the Business Combination pursuant to the Merger Agreement dated December 16, 2021 and consummated on September 9, 2022 (the "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 $540.00 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 $630.00 per share over any 20 trading days within a 30-day trading period; F7: (Continued from footnote 6) 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 $720.00 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. F2: Securities 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. Adam Sharkawy, 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. For purposes of Section 16 of the Securities Exchange Act of 1934, as amended (the "Act"), each of MIF II, MIP II, Mr. Sharkawy and Mr. Roberts disclaims beneficial ownership of such securities, except to the extent of their respective pecuniary interests therein, and this report shall not be deemed an admission that any of them is the beneficial owner of such securities for purposes of Section 16 or for any other purpose. |
Filing footnotes · ownership attribution and instrument terms
F1: 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 (the "Business Combination").
F2: Securities 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. Adam Sharkawy, 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. For purposes of Section 16 of the Securities Exchange Act of 1934, as amended (the "Act"), each of MIF II, MIP II, Mr. Sharkawy and Mr. Roberts disclaims beneficial ownership of such securities, except to the extent of their respective pecuniary interests therein, and this report shall not be deemed an admission that any of them is the beneficial owner of such securities for purposes of Section 16 or for any other purpose.
F3: Pursuant to the amendment to that certain Registration Rights Agreement, dated September 9, 2022, by and between the Issuer, MIF II and certain other parties (as amended, the "RRA") and disclosed in the Issuer's Current Report on Form 8-K filed on June 23, 2023, the Issuer delivered 7,333 shares of Common Stock to MIF II in exchange for the release of claims under any of the Transaction Documents (as defined in the RRA). The acquisition of such securities was exempted from Section 16(b) of the Act pursuant to Rule 16b-3 thereunder.
F4: 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 "2021 SPA").
F5: Pursuant to the 2021 SPA, MIF II purchased debentures that were initially convertible into 408,160 shares of Common Stock, on a pre-Reverse Stock Split Basis (the "2021 Debentures"), and warrants to purchase 408,160 shares of Common Stock, on a pre-Reverse Stock Split Basis (the "Old Private Warrants"). The acquisition of such securities and any shares of Common Stock that may be acquired upon conversion of such securities were exempted from Section 16(b) of the Act pursuant to Rule 16b-3 thereunder.
F6: Reflects Earn-Out Shares issued in connection with the Business Combination pursuant to the Merger Agreement dated December 16, 2021 and consummated on September 9, 2022 (the "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 $540.00 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 $630.00 per share over any 20 trading days within a 30-day trading period;
F7: (Continued from footnote 6) 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 $720.00 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.
F8: On September 18, 2023, the Issuer entered into a convertible senior secured term loan agreement (as amended, the "2023 Agreement") with MIF II and certain other parties. Loans under the 2023 Agreement bear interest at 12.50% per annum and are convertible into Common Stock at an initial conversion price of $6.00 per share of Common Stock, on a pre-Reverse Stock Split basis, subject to certain customary anti-dilution adjustments. Pursuant to the 2023 Agreement, on September 18, 2023, the Issuer acquired convertible loans in an aggregate principal amount of $1,000,000 from MIF II (the "September Term Loan 2023"). The acquisition of such securities and any shares of Common Stock that may be acquired upon conversion of such securities were exempted from Section 16(b) of the Act pursuant to Rule 16b-3 thereunder.
F9: Pursuant to the 2023 Agreement, on January 30, 2024, the Issuer acquired convertible loans in an aggregate principal amount of $1,000,000 from MIF II (the "January Term Loan 2023" and collectively, with the September Term Loan 2023, the "2023 Loans"). The acquisition of such securities and any shares of Common Stock that may be acquired upon conversion of such securities were exempted from Section 16(b) of the Act pursuant to Rule 16b-3 thereunder.
F10: On January 30, 2024, the Issuer entered into a new convertible senior secured term loan agreement (as amended, the "2024 Agreement") with MIF II and certain other parties. Loans under the 2024 Agreement bear interest at 15% per annum and are convertible into Common Stock at an initial conversion price of $0.4582 per share of Common Stock, on a pre-Reverse Stock Split basis, subject to certain customary anti-dilution adjustments. Pursuant to the 2024 Agreement, on January 30, 2024, the Issuer acquired convertible loans in an aggregate principal amount of $2,000,000 from MIF II (the "2024 Loan"). The acquisition of such securities and any shares of Common Stock that may be acquired upon conversion of such securities were exempted from Section 16(b) of the Act pursuant to Rule 16b-3 thereunder.
F11: On January 30, 2024, the Issuer entered into an amendment and exchange agreement with MIF II (the "Exchange Agreement"), pursuant to which MIF II transferred the 2021 Debentures to the Issuer in exchange for new debentures in the aggregate principal amount of $5,102,000 and initially convertible into 1,936,978 shares of Common Stock, on a pre-Reverse Stock Split basis (the "2024 Debentures"). The exchange is reported as a disposition of the 2021 Debentures and an acquisition of the 2024 Debentures. The disposition or deemed disposition of the 2021 Debentures and any shares of Common Stock that may have been be acquired upon conversion of such securities and the acquisition or deemed acquisition of the 2024 Debentures and any shares of Common Stock that may be acquired upon conversion of such securities were exempted from Section 16(b) of the Act pursuant to Rule 16b-3 thereunder.
F12: On January 31, 2024, the Issuer, MIF II and certain other parties entered into the Nauticus Second Lien Restructuring Agreement, pursuant to which, among other things, provided for (a) a voluntary adjustment of the exercise price of the Old Private Warrants to $0.0001 per share, on a pre-Reverse Stock Split basis, and (b) the waiver of certain anti-dilution provisions by the holders of the Old Private Warrants (collectively, the "Warrant Adjustments"). The Warrant Adjustments are reported herein as the disposition of the Old Private Warrants and the acquisition of "new" warrants (the "New Private Warrants"). MIF II did not actually dispose of the Old Private Warrants or securities underlying the Old Private Warrants nor did MIF II actually acquire the New Private Warrants or securities underlying the New Private Warrants.
F13: (Continued from footnote 12) The disposition or deemed disposition of the Old Private Warrants and any shares of Common Stock that may been be acquired upon the exercise of such securities and the acquisition or deemed acquisition of the New Private Warrants and any shares of Common Stock that may be acquired upon exercise of such securities were exempted from Section 16(b) of the Act pursuant to Rule 16b-3 thereunder.
F14: On November 4, 2024, the Issuer entered into a Second Amendment and Exchange Agreement (the "Exchange Agreement"), with MIF II, pursuant to which MIF II exchanged (the "Exchange") the remaining principle and accrued interest outstanding under the 2024 Debentures for 5,342 shares of Series A preferred convertible stock (the "Series A Preferred Stock") for no additional consideration. The disposition or deemed disposition of the 2024 Debentures and any shares of Common Stock that may have been acquired upon conversion of such securities and the acquisition or deemed acquisition of the Series A Preferred Stock and any shares of Common Stock that may be acquired upon conversion of such securities were exempted from Section 16(b) of the Act pursuant to Rule 16b-3 thereunder.
F15: Each share of Series A Preferred Stock has a stated value of $1,000 per share. The Series A Preferred Stock is convertible, in full or in part and at the holder's option, into shares of Common Stock based on 120% of the stated value (plus certain other amounts owed to the holder) divided by a conversion price of $1.23 per share, subject to proportional adjustments, or at an alternative conversion price. The Series A Preferred Stock has no expiration date. The terms of the Series A Preferred Stock and conversion prices is set forth in the Certificate of Designation of Series A Convertible Preferred Stock of the Issuer filed by the Issuer with the Secretary of the State of Delaware on December 26, 2024.
F16: On January 3, 2025, pursuant to the terms of the 2024 Agreement, the Issuer voluntarily, with the consent of the required lenders and for no additional consideration, reduced the conversion price of the 2024 Loan to $1.59, which was the closing price of the Issuer's Common Stock on January 2, 2025. The reduction of the conversion price is reported herein as the disposition of 2024 Loan and the acquisition of a "new" term loan (the "New 2024 Loan") with the reduced conversion price. MIF II did not actually dispose of the 2024 Loan or securities underlying the 2024 Loan nor did MIF II actually acquire the New 2024 Loan or any of the securities underlying the New 2024 Loan.
F17: (Continued from footnote 16 ) The disposition or deemed disposition of the 2024 Loan and any shares of Common Stock that may have been be acquired upon conversion of such securities and the acquisition or deemed acquisition of the New 2024 Loan and any shares of Common Stock that may be acquired upon conversion of such securities were exempted from Section 16(b) of the Act pursuant to Rule 16b-3 thereunder.
Past disclosures · reporting ended (1)
No longer tracked through insider filings. These historical balances do not imply present ownership or a zero position.
Lyra Therapeutics, Inc.
Report date May 05, 2020 · Filed May 06, 2020
Section 16 reporting ended · disclosed 2020-05-06. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 58,414 |
Reported balance
After 2020-05-05 transaction · row 1
1 source rowRow 1 · 2020-05-05 · Conversion · Acquired 415 · Balance 58,414 F1: Each share of preferred stock was automatically converted into 0.0289998 shares of common stock upon the closing of the Issuer's initial public offering. The preferred stock had no expiration date. |
| Series A-1/A Convertible Preferred StockSEC Table II · derivative / convertible security | Direct | 0 |
Reported balance
After 2020-05-05 transaction · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · 2020-05-05 · Conversion · Disposed 14,318 · Balance 0 F1: Each share of preferred stock was automatically converted into 0.0289998 shares of common stock upon the closing of the Issuer's initial public offering. The preferred stock had no expiration date. |
Filing footnotes · ownership attribution and instrument terms
F1: Each share of preferred stock was automatically converted into 0.0289998 shares of common stock upon the closing of the Issuer's initial public offering. The preferred stock had no expiration date.
Transaction history
JSON APIPurchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”
The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.
| Transaction date | Company | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| January 03, 2025 Filed Feb 25, 2025 16:22 UTC | Nauticus Robotics, Inc. KITT · Entity 8200 | GrantNew Convertible Senior Secured Term Loan 2024 · Derivative | 2,000,000 | Not disclosed Strike: $1.59 | Not disclosed |
DisclosureSEC source: 0000950170-25-026704 · ownership.xml · derivative · entry 16 Material Impact Partners II, LLC · CIK 0002051773 · Director · 10% owner · Director by Deputization Roberts Carmichael · CIK 0001810913 · Director · 10% owner · Director by Deputization Material Impact Fund II, L.P. · CIK 0001804648 · Director · 10% owner · Director by Deputization Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · By Material Impact Fund II, L.P. Disclosed balance after: Not disclosed Underlying: Common Stock · Not disclosed shares Expires 2027-01-30 F16 · shares: On January 3, 2025, pursuant to the terms of the 2024 Agreement, the Issuer voluntarily, with the consent of the required lenders and for no additional consideration, reduced the conversion price of the 2024 Loan to $1.59, which was the closing price of the Issuer's Common Stock on January 2, 2025. The reduction of the conversion price is reported herein as the disposition of 2024 Loan and the acquisition of a "new" term loan (the "New 2024 Loan") with the reduced conversion price. MIF II did not actually dispose of the 2024 Loan or securities underlying the 2024 Loan nor did MIF II actually acquire the New 2024 Loan or any of the securities underlying the New 2024 Loan. F17 · shares: (Continued from footnote 16 ) The disposition or deemed disposition of the 2024 Loan and any shares of Common Stock that may have been be acquired upon conversion of such securities and the acquisition or deemed acquisition of the New 2024 Loan and any shares of Common Stock that may be acquired upon conversion of such securities were exempted from Section 16(b) of the Act pursuant to Rule 16b-3 thereunder. F16 · price: On January 3, 2025, pursuant to the terms of the 2024 Agreement, the Issuer voluntarily, with the consent of the required lenders and for no additional consideration, reduced the conversion price of the 2024 Loan to $1.59, which was the closing price of the Issuer's Common Stock on January 2, 2025. The reduction of the conversion price is reported herein as the disposition of 2024 Loan and the acquisition of a "new" term loan (the "New 2024 Loan") with the reduced conversion price. MIF II did not actually dispose of the 2024 Loan or securities underlying the 2024 Loan nor did MIF II actually acquire the New 2024 Loan or any of the securities underlying the New 2024 Loan. F17 · price: (Continued from footnote 16 ) The disposition or deemed disposition of the 2024 Loan and any shares of Common Stock that may have been be acquired upon conversion of such securities and the acquisition or deemed acquisition of the New 2024 Loan and any shares of Common Stock that may be acquired upon conversion of such securities were exempted from Section 16(b) of the Act pursuant to Rule 16b-3 thereunder. F16 · derivative.underlying_shares: On January 3, 2025, pursuant to the terms of the 2024 Agreement, the Issuer voluntarily, with the consent of the required lenders and for no additional consideration, reduced the conversion price of the 2024 Loan to $1.59, which was the closing price of the Issuer's Common Stock on January 2, 2025. The reduction of the conversion price is reported herein as the disposition of 2024 Loan and the acquisition of a "new" term loan (the "New 2024 Loan") with the reduced conversion price. MIF II did not actually dispose of the 2024 Loan or securities underlying the 2024 Loan nor did MIF II actually acquire the New 2024 Loan or any of the securities underlying the New 2024 Loan. F17 · derivative.underlying_shares: (Continued from footnote 16 ) The disposition or deemed disposition of the 2024 Loan and any shares of Common Stock that may have been be acquired upon conversion of such securities and the acquisition or deemed acquisition of the New 2024 Loan and any shares of Common Stock that may be acquired upon conversion of such securities were exempted from Section 16(b) of the Act pursuant to Rule 16b-3 thereunder. F2 · ownership.direct: Securities 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. Adam Sharkawy, 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. For purposes of Section 16 of the Securities Exchange Act of 1934, as amended (the "Act"), each of MIF II, MIP II, Mr. Sharkawy and Mr. Roberts disclaims beneficial ownership of such securities, except to the extent of their respective pecuniary interests therein, and this report shall not be deemed an admission that any of them is the beneficial owner of such securities for purposes of Section 16 or for any other purpose. Read SEC document |
| January 03, 2025 Filed Feb 25, 2025 16:22 UTC | Nauticus Robotics, Inc. KITT · Entity 8200 | Disposition to issuerConvertible Senior Secured Term Loan 2024 · Derivative | 2,000,000 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000950170-25-026704 · ownership.xml · derivative · entry 15 Material Impact Partners II, LLC · CIK 0002051773 · Director · 10% owner · Director by Deputization Roberts Carmichael · CIK 0001810913 · Director · 10% owner · Director by Deputization Material Impact Fund II, L.P. · CIK 0001804648 · Director · 10% owner · Director by Deputization Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · By Material Impact Fund II, L.P. Disclosed balance after: 0 Underlying: Common Stock · Not disclosed shares Expires 2027-01-30 F10 · derivative.exercise_price: On January 30, 2024, the Issuer entered into a new convertible senior secured term loan agreement (as amended, the "2024 Agreement") with MIF II and certain other parties. Loans under the 2024 Agreement bear interest at 15% per annum and are convertible into Common Stock at an initial conversion price of $0.4582 per share of Common Stock, on a pre-Reverse Stock Split basis, subject to certain customary anti-dilution adjustments. Pursuant to the 2024 Agreement, on January 30, 2024, the Issuer acquired convertible loans in an aggregate principal amount of $2,000,000 from MIF II (the "2024 Loan"). The acquisition of such securities and any shares of Common Stock that may be acquired upon conversion of such securities were exempted from Section 16(b) of the Act pursuant to Rule 16b-3 thereunder. F16 · shares: On January 3, 2025, pursuant to the terms of the 2024 Agreement, the Issuer voluntarily, with the consent of the required lenders and for no additional consideration, reduced the conversion price of the 2024 Loan to $1.59, which was the closing price of the Issuer's Common Stock on January 2, 2025. The reduction of the conversion price is reported herein as the disposition of 2024 Loan and the acquisition of a "new" term loan (the "New 2024 Loan") with the reduced conversion price. MIF II did not actually dispose of the 2024 Loan or securities underlying the 2024 Loan nor did MIF II actually acquire the New 2024 Loan or any of the securities underlying the New 2024 Loan. F17 · shares: (Continued from footnote 16 ) The disposition or deemed disposition of the 2024 Loan and any shares of Common Stock that may have been be acquired upon conversion of such securities and the acquisition or deemed acquisition of the New 2024 Loan and any shares of Common Stock that may be acquired upon conversion of such securities were exempted from Section 16(b) of the Act pursuant to Rule 16b-3 thereunder. F10 · price: On January 30, 2024, the Issuer entered into a new convertible senior secured term loan agreement (as amended, the "2024 Agreement") with MIF II and certain other parties. Loans under the 2024 Agreement bear interest at 15% per annum and are convertible into Common Stock at an initial conversion price of $0.4582 per share of Common Stock, on a pre-Reverse Stock Split basis, subject to certain customary anti-dilution adjustments. Pursuant to the 2024 Agreement, on January 30, 2024, the Issuer acquired convertible loans in an aggregate principal amount of $2,000,000 from MIF II (the "2024 Loan"). The acquisition of such securities and any shares of Common Stock that may be acquired upon conversion of such securities were exempted from Section 16(b) of the Act pursuant to Rule 16b-3 thereunder. F10 · derivative.underlying_shares: On January 30, 2024, the Issuer entered into a new convertible senior secured term loan agreement (as amended, the "2024 Agreement") with MIF II and certain other parties. Loans under the 2024 Agreement bear interest at 15% per annum and are convertible into Common Stock at an initial conversion price of $0.4582 per share of Common Stock, on a pre-Reverse Stock Split basis, subject to certain customary anti-dilution adjustments. Pursuant to the 2024 Agreement, on January 30, 2024, the Issuer acquired convertible loans in an aggregate principal amount of $2,000,000 from MIF II (the "2024 Loan"). The acquisition of such securities and any shares of Common Stock that may be acquired upon conversion of such securities were exempted from Section 16(b) of the Act pursuant to Rule 16b-3 thereunder. F2 · ownership.direct: Securities 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. Adam Sharkawy, 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. For purposes of Section 16 of the Securities Exchange Act of 1934, as amended (the "Act"), each of MIF II, MIP II, Mr. Sharkawy and Mr. Roberts disclaims beneficial ownership of such securities, except to the extent of their respective pecuniary interests therein, and this report shall not be deemed an admission that any of them is the beneficial owner of such securities for purposes of Section 16 or for any other purpose. Read SEC document |
| December 26, 2024 Filed Feb 25, 2025 16:22 UTC | Nauticus Robotics, Inc. KITT · Entity 8200 | GrantSeries A Preferred Stock · Derivative | 5,342 | Not disclosed Strike: $1.23 | Not disclosed |
DisclosureSEC source: 0000950170-25-026704 · ownership.xml · derivative · entry 14 Material Impact Partners II, LLC · CIK 0002051773 · Director · 10% owner · Director by Deputization Roberts Carmichael · CIK 0001810913 · Director · 10% owner · Director by Deputization Material Impact Fund II, L.P. · CIK 0001804648 · Director · 10% owner · Director by Deputization Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · By Material Impact Fund II, L.P. Disclosed balance after: 5,342 Underlying: Common Stock · 5,211,706 shares Expires not disclosed F14 · shares: On November 4, 2024, the Issuer entered into a Second Amendment and Exchange Agreement (the "Exchange Agreement"), with MIF II, pursuant to which MIF II exchanged (the "Exchange") the remaining principle and accrued interest outstanding under the 2024 Debentures for 5,342 shares of Series A preferred convertible stock (the "Series A Preferred Stock") for no additional consideration. The disposition or deemed disposition of the 2024 Debentures and any shares of Common Stock that may have been acquired upon conversion of such securities and the acquisition or deemed acquisition of the Series A Preferred Stock and any shares of Common Stock that may be acquired upon conversion of such securities were exempted from Section 16(b) of the Act pursuant to Rule 16b-3 thereunder. F15 · shares: Each share of Series A Preferred Stock has a stated value of $1,000 per share. The Series A Preferred Stock is convertible, in full or in part and at the holder's option, into shares of Common Stock based on 120% of the stated value (plus certain other amounts owed to the holder) divided by a conversion price of $1.23 per share, subject to proportional adjustments, or at an alternative conversion price. The Series A Preferred Stock has no expiration date. The terms of the Series A Preferred Stock and conversion prices is set forth in the Certificate of Designation of Series A Convertible Preferred Stock of the Issuer filed by the Issuer with the Secretary of the State of Delaware on December 26, 2024. F15 · price: Each share of Series A Preferred Stock has a stated value of $1,000 per share. The Series A Preferred Stock is convertible, in full or in part and at the holder's option, into shares of Common Stock based on 120% of the stated value (plus certain other amounts owed to the holder) divided by a conversion price of $1.23 per share, subject to proportional adjustments, or at an alternative conversion price. The Series A Preferred Stock has no expiration date. The terms of the Series A Preferred Stock and conversion prices is set forth in the Certificate of Designation of Series A Convertible Preferred Stock of the Issuer filed by the Issuer with the Secretary of the State of Delaware on December 26, 2024. F15 · derivative.exercise_date: Each share of Series A Preferred Stock has a stated value of $1,000 per share. The Series A Preferred Stock is convertible, in full or in part and at the holder's option, into shares of Common Stock based on 120% of the stated value (plus certain other amounts owed to the holder) divided by a conversion price of $1.23 per share, subject to proportional adjustments, or at an alternative conversion price. The Series A Preferred Stock has no expiration date. The terms of the Series A Preferred Stock and conversion prices is set forth in the Certificate of Designation of Series A Convertible Preferred Stock of the Issuer filed by the Issuer with the Secretary of the State of Delaware on December 26, 2024. F15 · derivative.expiration_date: Each share of Series A Preferred Stock has a stated value of $1,000 per share. The Series A Preferred Stock is convertible, in full or in part and at the holder's option, into shares of Common Stock based on 120% of the stated value (plus certain other amounts owed to the holder) divided by a conversion price of $1.23 per share, subject to proportional adjustments, or at an alternative conversion price. The Series A Preferred Stock has no expiration date. The terms of the Series A Preferred Stock and conversion prices is set forth in the Certificate of Designation of Series A Convertible Preferred Stock of the Issuer filed by the Issuer with the Secretary of the State of Delaware on December 26, 2024. F2 · ownership.direct: Securities 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. Adam Sharkawy, 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. For purposes of Section 16 of the Securities Exchange Act of 1934, as amended (the "Act"), each of MIF II, MIP II, Mr. Sharkawy and Mr. Roberts disclaims beneficial ownership of such securities, except to the extent of their respective pecuniary interests therein, and this report shall not be deemed an admission that any of them is the beneficial owner of such securities for purposes of Section 16 or for any other purpose. Read SEC document |
| December 26, 2024 Filed Feb 25, 2025 16:22 UTC | Nauticus Robotics, Inc. KITT · Entity 8200 | Disposition to issuer2024 Debentures · Derivative | 5,102,000 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000950170-25-026704 · ownership.xml · derivative · entry 13 Material Impact Partners II, LLC · CIK 0002051773 · Director · 10% owner · Director by Deputization Roberts Carmichael · CIK 0001810913 · Director · 10% owner · Director by Deputization Material Impact Fund II, L.P. · CIK 0001804648 · Director · 10% owner · Director by Deputization Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · By Material Impact Fund II, L.P. Disclosed balance after: 0 Underlying: Common Stock · Not disclosed shares Expires 2026-09-09 F11 · derivative.exercise_price: On January 30, 2024, the Issuer entered into an amendment and exchange agreement with MIF II (the "Exchange Agreement"), pursuant to which MIF II transferred the 2021 Debentures to the Issuer in exchange for new debentures in the aggregate principal amount of $5,102,000 and initially convertible into 1,936,978 shares of Common Stock, on a pre-Reverse Stock Split basis (the "2024 Debentures"). The exchange is reported as a disposition of the 2021 Debentures and an acquisition of the 2024 Debentures. The disposition or deemed disposition of the 2021 Debentures and any shares of Common Stock that may have been be acquired upon conversion of such securities and the acquisition or deemed acquisition of the 2024 Debentures and any shares of Common Stock that may be acquired upon conversion of such securities were exempted from Section 16(b) of the Act pursuant to Rule 16b-3 thereunder. F14 · shares: On November 4, 2024, the Issuer entered into a Second Amendment and Exchange Agreement (the "Exchange Agreement"), with MIF II, pursuant to which MIF II exchanged (the "Exchange") the remaining principle and accrued interest outstanding under the 2024 Debentures for 5,342 shares of Series A preferred convertible stock (the "Series A Preferred Stock") for no additional consideration. The disposition or deemed disposition of the 2024 Debentures and any shares of Common Stock that may have been acquired upon conversion of such securities and the acquisition or deemed acquisition of the Series A Preferred Stock and any shares of Common Stock that may be acquired upon conversion of such securities were exempted from Section 16(b) of the Act pursuant to Rule 16b-3 thereunder. F11 · price: On January 30, 2024, the Issuer entered into an amendment and exchange agreement with MIF II (the "Exchange Agreement"), pursuant to which MIF II transferred the 2021 Debentures to the Issuer in exchange for new debentures in the aggregate principal amount of $5,102,000 and initially convertible into 1,936,978 shares of Common Stock, on a pre-Reverse Stock Split basis (the "2024 Debentures"). The exchange is reported as a disposition of the 2021 Debentures and an acquisition of the 2024 Debentures. The disposition or deemed disposition of the 2021 Debentures and any shares of Common Stock that may have been be acquired upon conversion of such securities and the acquisition or deemed acquisition of the 2024 Debentures and any shares of Common Stock that may be acquired upon conversion of such securities were exempted from Section 16(b) of the Act pursuant to Rule 16b-3 thereunder. F11 · derivative.underlying_shares: On January 30, 2024, the Issuer entered into an amendment and exchange agreement with MIF II (the "Exchange Agreement"), pursuant to which MIF II transferred the 2021 Debentures to the Issuer in exchange for new debentures in the aggregate principal amount of $5,102,000 and initially convertible into 1,936,978 shares of Common Stock, on a pre-Reverse Stock Split basis (the "2024 Debentures"). The exchange is reported as a disposition of the 2021 Debentures and an acquisition of the 2024 Debentures. The disposition or deemed disposition of the 2021 Debentures and any shares of Common Stock that may have been be acquired upon conversion of such securities and the acquisition or deemed acquisition of the 2024 Debentures and any shares of Common Stock that may be acquired upon conversion of such securities were exempted from Section 16(b) of the Act pursuant to Rule 16b-3 thereunder. F2 · ownership.direct: Securities 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. Adam Sharkawy, 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. For purposes of Section 16 of the Securities Exchange Act of 1934, as amended (the "Act"), each of MIF II, MIP II, Mr. Sharkawy and Mr. Roberts disclaims beneficial ownership of such securities, except to the extent of their respective pecuniary interests therein, and this report shall not be deemed an admission that any of them is the beneficial owner of such securities for purposes of Section 16 or for any other purpose. Read SEC document |
| January 31, 2024 Filed Feb 25, 2025 16:22 UTC | Nauticus Robotics, Inc. KITT · Entity 8200 | GrantNew Private Warrants · Derivative | 106,194 | Not disclosed Strike: $0.00 | Not disclosed |
DisclosureSEC source: 0000950170-25-026704 · ownership.xml · derivative · entry 12 Material Impact Partners II, LLC · CIK 0002051773 · Director · 10% owner · Director by Deputization Roberts Carmichael · CIK 0001810913 · Director · 10% owner · Director by Deputization Material Impact Fund II, L.P. · CIK 0001804648 · Director · 10% owner · Director by Deputization Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · By Material Impact Fund II, L.P. Disclosed balance after: 106,194 Underlying: Common Stock · 106,194 shares Expires 2032-09-09 F12 · shares: On January 31, 2024, the Issuer, MIF II and certain other parties entered into the Nauticus Second Lien Restructuring Agreement, pursuant to which, among other things, provided for (a) a voluntary adjustment of the exercise price of the Old Private Warrants to $0.0001 per share, on a pre-Reverse Stock Split basis, and (b) the waiver of certain anti-dilution provisions by the holders of the Old Private Warrants (collectively, the "Warrant Adjustments"). The Warrant Adjustments are reported herein as the disposition of the Old Private Warrants and the acquisition of "new" warrants (the "New Private Warrants"). MIF II did not actually dispose of the Old Private Warrants or securities underlying the Old Private Warrants nor did MIF II actually acquire the New Private Warrants or securities underlying the New Private Warrants. F13 · shares: (Continued from footnote 12) The disposition or deemed disposition of the Old Private Warrants and any shares of Common Stock that may been be acquired upon the exercise of such securities and the acquisition or deemed acquisition of the New Private Warrants and any shares of Common Stock that may be acquired upon exercise of such securities were exempted from Section 16(b) of the Act pursuant to Rule 16b-3 thereunder. F12 · price: On January 31, 2024, the Issuer, MIF II and certain other parties entered into the Nauticus Second Lien Restructuring Agreement, pursuant to which, among other things, provided for (a) a voluntary adjustment of the exercise price of the Old Private Warrants to $0.0001 per share, on a pre-Reverse Stock Split basis, and (b) the waiver of certain anti-dilution provisions by the holders of the Old Private Warrants (collectively, the "Warrant Adjustments"). The Warrant Adjustments are reported herein as the disposition of the Old Private Warrants and the acquisition of "new" warrants (the "New Private Warrants"). MIF II did not actually dispose of the Old Private Warrants or securities underlying the Old Private Warrants nor did MIF II actually acquire the New Private Warrants or securities underlying the New Private Warrants. F13 · price: (Continued from footnote 12) The disposition or deemed disposition of the Old Private Warrants and any shares of Common Stock that may been be acquired upon the exercise of such securities and the acquisition or deemed acquisition of the New Private Warrants and any shares of Common Stock that may be acquired upon exercise of such securities were exempted from Section 16(b) of the Act pursuant to Rule 16b-3 thereunder. F2 · ownership.direct: Securities 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. Adam Sharkawy, 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. For purposes of Section 16 of the Securities Exchange Act of 1934, as amended (the "Act"), each of MIF II, MIP II, Mr. Sharkawy and Mr. Roberts disclaims beneficial ownership of such securities, except to the extent of their respective pecuniary interests therein, and this report shall not be deemed an admission that any of them is the beneficial owner of such securities for purposes of Section 16 or for any other purpose. Read SEC document |
| January 31, 2024 Filed Feb 25, 2025 16:22 UTC | Nauticus Robotics, Inc. KITT · Entity 8200 | Disposition to issuerOld Private Warrants · Derivative | 408,160 | Not disclosed Strike: $20.00 | Not disclosed |
DisclosureSEC source: 0000950170-25-026704 · ownership.xml · derivative · entry 11 Material Impact Partners II, LLC · CIK 0002051773 · Director · 10% owner · Director by Deputization Roberts Carmichael · CIK 0001810913 · Director · 10% owner · Director by Deputization Material Impact Fund II, L.P. · CIK 0001804648 · Director · 10% owner · Director by Deputization Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · By Material Impact Fund II, L.P. Disclosed balance after: 0 Underlying: Common Stock · 408,160 shares Expires 2032-09-09 F12 · shares: On January 31, 2024, the Issuer, MIF II and certain other parties entered into the Nauticus Second Lien Restructuring Agreement, pursuant to which, among other things, provided for (a) a voluntary adjustment of the exercise price of the Old Private Warrants to $0.0001 per share, on a pre-Reverse Stock Split basis, and (b) the waiver of certain anti-dilution provisions by the holders of the Old Private Warrants (collectively, the "Warrant Adjustments"). The Warrant Adjustments are reported herein as the disposition of the Old Private Warrants and the acquisition of "new" warrants (the "New Private Warrants"). MIF II did not actually dispose of the Old Private Warrants or securities underlying the Old Private Warrants nor did MIF II actually acquire the New Private Warrants or securities underlying the New Private Warrants. F13 · shares: (Continued from footnote 12) The disposition or deemed disposition of the Old Private Warrants and any shares of Common Stock that may been be acquired upon the exercise of such securities and the acquisition or deemed acquisition of the New Private Warrants and any shares of Common Stock that may be acquired upon exercise of such securities were exempted from Section 16(b) of the Act pursuant to Rule 16b-3 thereunder. F4 · 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 "2021 SPA"). F2 · ownership.direct: Securities 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. Adam Sharkawy, 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. For purposes of Section 16 of the Securities Exchange Act of 1934, as amended (the "Act"), each of MIF II, MIP II, Mr. Sharkawy and Mr. Roberts disclaims beneficial ownership of such securities, except to the extent of their respective pecuniary interests therein, and this report shall not be deemed an admission that any of them is the beneficial owner of such securities for purposes of Section 16 or for any other purpose. Read SEC document |
| January 30, 2024 Filed Feb 25, 2025 16:22 UTC | Nauticus Robotics, Inc. KITT · Entity 8200 | Grant2024 Debentures · Derivative | 5,102,000 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000950170-25-026704 · ownership.xml · derivative · entry 10 Material Impact Partners II, LLC · CIK 0002051773 · Director · 10% owner · Director by Deputization Roberts Carmichael · CIK 0001810913 · Director · 10% owner · Director by Deputization Material Impact Fund II, L.P. · CIK 0001804648 · Director · 10% owner · Director by Deputization Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · By Material Impact Fund II, L.P. Disclosed balance after: Not disclosed Underlying: Common Stock · Not disclosed shares Expires 2026-09-09 F11 · derivative.exercise_price: On January 30, 2024, the Issuer entered into an amendment and exchange agreement with MIF II (the "Exchange Agreement"), pursuant to which MIF II transferred the 2021 Debentures to the Issuer in exchange for new debentures in the aggregate principal amount of $5,102,000 and initially convertible into 1,936,978 shares of Common Stock, on a pre-Reverse Stock Split basis (the "2024 Debentures"). The exchange is reported as a disposition of the 2021 Debentures and an acquisition of the 2024 Debentures. The disposition or deemed disposition of the 2021 Debentures and any shares of Common Stock that may have been be acquired upon conversion of such securities and the acquisition or deemed acquisition of the 2024 Debentures and any shares of Common Stock that may be acquired upon conversion of such securities were exempted from Section 16(b) of the Act pursuant to Rule 16b-3 thereunder. F11 · shares: On January 30, 2024, the Issuer entered into an amendment and exchange agreement with MIF II (the "Exchange Agreement"), pursuant to which MIF II transferred the 2021 Debentures to the Issuer in exchange for new debentures in the aggregate principal amount of $5,102,000 and initially convertible into 1,936,978 shares of Common Stock, on a pre-Reverse Stock Split basis (the "2024 Debentures"). The exchange is reported as a disposition of the 2021 Debentures and an acquisition of the 2024 Debentures. The disposition or deemed disposition of the 2021 Debentures and any shares of Common Stock that may have been be acquired upon conversion of such securities and the acquisition or deemed acquisition of the 2024 Debentures and any shares of Common Stock that may be acquired upon conversion of such securities were exempted from Section 16(b) of the Act pursuant to Rule 16b-3 thereunder. F11 · price: On January 30, 2024, the Issuer entered into an amendment and exchange agreement with MIF II (the "Exchange Agreement"), pursuant to which MIF II transferred the 2021 Debentures to the Issuer in exchange for new debentures in the aggregate principal amount of $5,102,000 and initially convertible into 1,936,978 shares of Common Stock, on a pre-Reverse Stock Split basis (the "2024 Debentures"). The exchange is reported as a disposition of the 2021 Debentures and an acquisition of the 2024 Debentures. The disposition or deemed disposition of the 2021 Debentures and any shares of Common Stock that may have been be acquired upon conversion of such securities and the acquisition or deemed acquisition of the 2024 Debentures and any shares of Common Stock that may be acquired upon conversion of such securities were exempted from Section 16(b) of the Act pursuant to Rule 16b-3 thereunder. F11 · derivative.underlying_shares: On January 30, 2024, the Issuer entered into an amendment and exchange agreement with MIF II (the "Exchange Agreement"), pursuant to which MIF II transferred the 2021 Debentures to the Issuer in exchange for new debentures in the aggregate principal amount of $5,102,000 and initially convertible into 1,936,978 shares of Common Stock, on a pre-Reverse Stock Split basis (the "2024 Debentures"). The exchange is reported as a disposition of the 2021 Debentures and an acquisition of the 2024 Debentures. The disposition or deemed disposition of the 2021 Debentures and any shares of Common Stock that may have been be acquired upon conversion of such securities and the acquisition or deemed acquisition of the 2024 Debentures and any shares of Common Stock that may be acquired upon conversion of such securities were exempted from Section 16(b) of the Act pursuant to Rule 16b-3 thereunder. F2 · ownership.direct: Securities 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. Adam Sharkawy, 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. For purposes of Section 16 of the Securities Exchange Act of 1934, as amended (the "Act"), each of MIF II, MIP II, Mr. Sharkawy and Mr. Roberts disclaims beneficial ownership of such securities, except to the extent of their respective pecuniary interests therein, and this report shall not be deemed an admission that any of them is the beneficial owner of such securities for purposes of Section 16 or for any other purpose. Read SEC document |
| January 30, 2024 Filed Feb 25, 2025 16:22 UTC | Nauticus Robotics, Inc. KITT · Entity 8200 | Disposition to issuer2021 Debentures · Derivative | 5,102,000 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000950170-25-026704 · ownership.xml · derivative · entry 9 Material Impact Partners II, LLC · CIK 0002051773 · Director · 10% owner · Director by Deputization Roberts Carmichael · CIK 0001810913 · Director · 10% owner · Director by Deputization Material Impact Fund II, L.P. · CIK 0001804648 · Director · 10% owner · Director by Deputization Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · By Material Impact Fund II, L.P. Disclosed balance after: 0 Underlying: Common Stock · Not disclosed shares Expires 2026-09-09 F5 · derivative.exercise_price: Pursuant to the 2021 SPA, MIF II purchased debentures that were initially convertible into 408,160 shares of Common Stock, on a pre-Reverse Stock Split Basis (the "2021 Debentures"), and warrants to purchase 408,160 shares of Common Stock, on a pre-Reverse Stock Split Basis (the "Old Private Warrants"). The acquisition of such securities and any shares of Common Stock that may be acquired upon conversion of such securities were exempted from Section 16(b) of the Act pursuant to Rule 16b-3 thereunder. F11 · shares: On January 30, 2024, the Issuer entered into an amendment and exchange agreement with MIF II (the "Exchange Agreement"), pursuant to which MIF II transferred the 2021 Debentures to the Issuer in exchange for new debentures in the aggregate principal amount of $5,102,000 and initially convertible into 1,936,978 shares of Common Stock, on a pre-Reverse Stock Split basis (the "2024 Debentures"). The exchange is reported as a disposition of the 2021 Debentures and an acquisition of the 2024 Debentures. The disposition or deemed disposition of the 2021 Debentures and any shares of Common Stock that may have been be acquired upon conversion of such securities and the acquisition or deemed acquisition of the 2024 Debentures and any shares of Common Stock that may be acquired upon conversion of such securities were exempted from Section 16(b) of the Act pursuant to Rule 16b-3 thereunder. F5 · price: Pursuant to the 2021 SPA, MIF II purchased debentures that were initially convertible into 408,160 shares of Common Stock, on a pre-Reverse Stock Split Basis (the "2021 Debentures"), and warrants to purchase 408,160 shares of Common Stock, on a pre-Reverse Stock Split Basis (the "Old Private Warrants"). The acquisition of such securities and any shares of Common Stock that may be acquired upon conversion of such securities were exempted from Section 16(b) of the Act pursuant to Rule 16b-3 thereunder. F5 · derivative.underlying_shares: Pursuant to the 2021 SPA, MIF II purchased debentures that were initially convertible into 408,160 shares of Common Stock, on a pre-Reverse Stock Split Basis (the "2021 Debentures"), and warrants to purchase 408,160 shares of Common Stock, on a pre-Reverse Stock Split Basis (the "Old Private Warrants"). The acquisition of such securities and any shares of Common Stock that may be acquired upon conversion of such securities were exempted from Section 16(b) of the Act pursuant to Rule 16b-3 thereunder. F2 · ownership.direct: Securities 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. Adam Sharkawy, 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. For purposes of Section 16 of the Securities Exchange Act of 1934, as amended (the "Act"), each of MIF II, MIP II, Mr. Sharkawy and Mr. Roberts disclaims beneficial ownership of such securities, except to the extent of their respective pecuniary interests therein, and this report shall not be deemed an admission that any of them is the beneficial owner of such securities for purposes of Section 16 or for any other purpose. Read SEC document |
| January 30, 2024 Filed Feb 25, 2025 16:22 UTC | Nauticus Robotics, Inc. KITT · Entity 8200 | GrantConvertible Senior Secured Term Loan 2024 · Derivative | 2,000,000 | $2,000,000.00 | $4,000,000,000,000.00 |
DisclosureSEC source: 0000950170-25-026704 · ownership.xml · derivative · entry 8 Material Impact Partners II, LLC · CIK 0002051773 · Director · 10% owner · Director by Deputization Roberts Carmichael · CIK 0001810913 · Director · 10% owner · Director by Deputization Material Impact Fund II, L.P. · CIK 0001804648 · Director · 10% owner · Director by Deputization Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · By Material Impact Fund II, L.P. Disclosed balance after: Not disclosed Underlying: Common Stock · Not disclosed shares Expires 2027-01-30 F10 · derivative.exercise_price: On January 30, 2024, the Issuer entered into a new convertible senior secured term loan agreement (as amended, the "2024 Agreement") with MIF II and certain other parties. Loans under the 2024 Agreement bear interest at 15% per annum and are convertible into Common Stock at an initial conversion price of $0.4582 per share of Common Stock, on a pre-Reverse Stock Split basis, subject to certain customary anti-dilution adjustments. Pursuant to the 2024 Agreement, on January 30, 2024, the Issuer acquired convertible loans in an aggregate principal amount of $2,000,000 from MIF II (the "2024 Loan"). The acquisition of such securities and any shares of Common Stock that may be acquired upon conversion of such securities were exempted from Section 16(b) of the Act pursuant to Rule 16b-3 thereunder. F10 · shares: On January 30, 2024, the Issuer entered into a new convertible senior secured term loan agreement (as amended, the "2024 Agreement") with MIF II and certain other parties. Loans under the 2024 Agreement bear interest at 15% per annum and are convertible into Common Stock at an initial conversion price of $0.4582 per share of Common Stock, on a pre-Reverse Stock Split basis, subject to certain customary anti-dilution adjustments. Pursuant to the 2024 Agreement, on January 30, 2024, the Issuer acquired convertible loans in an aggregate principal amount of $2,000,000 from MIF II (the "2024 Loan"). The acquisition of such securities and any shares of Common Stock that may be acquired upon conversion of such securities were exempted from Section 16(b) of the Act pursuant to Rule 16b-3 thereunder. F10 · derivative.underlying_shares: On January 30, 2024, the Issuer entered into a new convertible senior secured term loan agreement (as amended, the "2024 Agreement") with MIF II and certain other parties. Loans under the 2024 Agreement bear interest at 15% per annum and are convertible into Common Stock at an initial conversion price of $0.4582 per share of Common Stock, on a pre-Reverse Stock Split basis, subject to certain customary anti-dilution adjustments. Pursuant to the 2024 Agreement, on January 30, 2024, the Issuer acquired convertible loans in an aggregate principal amount of $2,000,000 from MIF II (the "2024 Loan"). The acquisition of such securities and any shares of Common Stock that may be acquired upon conversion of such securities were exempted from Section 16(b) of the Act pursuant to Rule 16b-3 thereunder. F2 · ownership.direct: Securities 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. Adam Sharkawy, 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. For purposes of Section 16 of the Securities Exchange Act of 1934, as amended (the "Act"), each of MIF II, MIP II, Mr. Sharkawy and Mr. Roberts disclaims beneficial ownership of such securities, except to the extent of their respective pecuniary interests therein, and this report shall not be deemed an admission that any of them is the beneficial owner of such securities for purposes of Section 16 or for any other purpose. Read SEC document |
| January 30, 2024 Filed Feb 25, 2025 16:22 UTC | Nauticus Robotics, Inc. KITT · Entity 8200 | GrantConvertible Senior Secured Term Loan 2023 · Derivative | 1,000,000 | $1,000,000.00 | $1,000,000,000,000.00 |
DisclosureSEC source: 0000950170-25-026704 · ownership.xml · derivative · entry 7 Material Impact Partners II, LLC · CIK 0002051773 · Director · 10% owner · Director by Deputization Roberts Carmichael · CIK 0001810913 · Director · 10% owner · Director by Deputization Material Impact Fund II, L.P. · CIK 0001804648 · Director · 10% owner · Director by Deputization Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · By Material Impact Fund II, L.P. Disclosed balance after: Not disclosed Underlying: Common Stock · Not disclosed shares Expires 2026-09-18 F9 · derivative.exercise_price: Pursuant to the 2023 Agreement, on January 30, 2024, the Issuer acquired convertible loans in an aggregate principal amount of $1,000,000 from MIF II (the "January Term Loan 2023" and collectively, with the September Term Loan 2023, the "2023 Loans"). The acquisition of such securities and any shares of Common Stock that may be acquired upon conversion of such securities were exempted from Section 16(b) of the Act pursuant to Rule 16b-3 thereunder. F9 · shares: Pursuant to the 2023 Agreement, on January 30, 2024, the Issuer acquired convertible loans in an aggregate principal amount of $1,000,000 from MIF II (the "January Term Loan 2023" and collectively, with the September Term Loan 2023, the "2023 Loans"). The acquisition of such securities and any shares of Common Stock that may be acquired upon conversion of such securities were exempted from Section 16(b) of the Act pursuant to Rule 16b-3 thereunder. F8 · derivative.underlying_shares: On September 18, 2023, the Issuer entered into a convertible senior secured term loan agreement (as amended, the "2023 Agreement") with MIF II and certain other parties. Loans under the 2023 Agreement bear interest at 12.50% per annum and are convertible into Common Stock at an initial conversion price of $6.00 per share of Common Stock, on a pre-Reverse Stock Split basis, subject to certain customary anti-dilution adjustments. Pursuant to the 2023 Agreement, on September 18, 2023, the Issuer acquired convertible loans in an aggregate principal amount of $1,000,000 from MIF II (the "September Term Loan 2023"). The acquisition of such securities and any shares of Common Stock that may be acquired upon conversion of such securities were exempted from Section 16(b) of the Act pursuant to Rule 16b-3 thereunder. F9 · derivative.underlying_shares: Pursuant to the 2023 Agreement, on January 30, 2024, the Issuer acquired convertible loans in an aggregate principal amount of $1,000,000 from MIF II (the "January Term Loan 2023" and collectively, with the September Term Loan 2023, the "2023 Loans"). The acquisition of such securities and any shares of Common Stock that may be acquired upon conversion of such securities were exempted from Section 16(b) of the Act pursuant to Rule 16b-3 thereunder. F2 · ownership.direct: Securities 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. Adam Sharkawy, 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. For purposes of Section 16 of the Securities Exchange Act of 1934, as amended (the "Act"), each of MIF II, MIP II, Mr. Sharkawy and Mr. Roberts disclaims beneficial ownership of such securities, except to the extent of their respective pecuniary interests therein, and this report shall not be deemed an admission that any of them is the beneficial owner of such securities for purposes of Section 16 or for any other purpose. Read SEC document |
| September 18, 2023 Filed Feb 25, 2025 16:22 UTC | Nauticus Robotics, Inc. KITT · Entity 8200 | GrantConvertible Senior Secured Term Loan 2023 · Derivative | 1,000,000 | $1,000,000.00 | $1,000,000,000,000.00 |
DisclosureSEC source: 0000950170-25-026704 · ownership.xml · derivative · entry 6 Material Impact Partners II, LLC · CIK 0002051773 · Director · 10% owner · Director by Deputization Roberts Carmichael · CIK 0001810913 · Director · 10% owner · Director by Deputization Material Impact Fund II, L.P. · CIK 0001804648 · Director · 10% owner · Director by Deputization Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · By Material Impact Fund II, L.P. Disclosed balance after: Not disclosed Underlying: Common Stock · Not disclosed shares Expires 2026-09-18 F8 · derivative.exercise_price: On September 18, 2023, the Issuer entered into a convertible senior secured term loan agreement (as amended, the "2023 Agreement") with MIF II and certain other parties. Loans under the 2023 Agreement bear interest at 12.50% per annum and are convertible into Common Stock at an initial conversion price of $6.00 per share of Common Stock, on a pre-Reverse Stock Split basis, subject to certain customary anti-dilution adjustments. Pursuant to the 2023 Agreement, on September 18, 2023, the Issuer acquired convertible loans in an aggregate principal amount of $1,000,000 from MIF II (the "September Term Loan 2023"). The acquisition of such securities and any shares of Common Stock that may be acquired upon conversion of such securities were exempted from Section 16(b) of the Act pursuant to Rule 16b-3 thereunder. F8 · shares: On September 18, 2023, the Issuer entered into a convertible senior secured term loan agreement (as amended, the "2023 Agreement") with MIF II and certain other parties. Loans under the 2023 Agreement bear interest at 12.50% per annum and are convertible into Common Stock at an initial conversion price of $6.00 per share of Common Stock, on a pre-Reverse Stock Split basis, subject to certain customary anti-dilution adjustments. Pursuant to the 2023 Agreement, on September 18, 2023, the Issuer acquired convertible loans in an aggregate principal amount of $1,000,000 from MIF II (the "September Term Loan 2023"). The acquisition of such securities and any shares of Common Stock that may be acquired upon conversion of such securities were exempted from Section 16(b) of the Act pursuant to Rule 16b-3 thereunder. F8 · derivative.underlying_shares: On September 18, 2023, the Issuer entered into a convertible senior secured term loan agreement (as amended, the "2023 Agreement") with MIF II and certain other parties. Loans under the 2023 Agreement bear interest at 12.50% per annum and are convertible into Common Stock at an initial conversion price of $6.00 per share of Common Stock, on a pre-Reverse Stock Split basis, subject to certain customary anti-dilution adjustments. Pursuant to the 2023 Agreement, on September 18, 2023, the Issuer acquired convertible loans in an aggregate principal amount of $1,000,000 from MIF II (the "September Term Loan 2023"). The acquisition of such securities and any shares of Common Stock that may be acquired upon conversion of such securities were exempted from Section 16(b) of the Act pursuant to Rule 16b-3 thereunder. F2 · ownership.direct: Securities 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. Adam Sharkawy, 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. For purposes of Section 16 of the Securities Exchange Act of 1934, as amended (the "Act"), each of MIF II, MIP II, Mr. Sharkawy and Mr. Roberts disclaims beneficial ownership of such securities, except to the extent of their respective pecuniary interests therein, and this report shall not be deemed an admission that any of them is the beneficial owner of such securities for purposes of Section 16 or for any other purpose. Read SEC document |
| June 22, 2023 Filed Feb 25, 2025 16:22 UTC | Nauticus Robotics, Inc. KITT · Entity 8200 | GrantCommon Stock | 7,333 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000950170-25-026704 · ownership.xml · nonDerivative · entry 2 Material Impact Partners II, LLC · CIK 0002051773 · Director · 10% owner · Director by Deputization Roberts Carmichael · CIK 0001810913 · Director · 10% owner · Director by Deputization Material Impact Fund II, L.P. · CIK 0001804648 · Director · 10% owner · Director by Deputization Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · By Material Impact Fund II, L.P. Disclosed balance after: 69,829 F3 · shares: Pursuant to the amendment to that certain Registration Rights Agreement, dated September 9, 2022, by and between the Issuer, MIF II and certain other parties (as amended, the "RRA") and disclosed in the Issuer's Current Report on Form 8-K filed on June 23, 2023, the Issuer delivered 7,333 shares of Common Stock to MIF II in exchange for the release of claims under any of the Transaction Documents (as defined in the RRA). The acquisition of such securities was exempted from Section 16(b) of the Act pursuant to Rule 16b-3 thereunder. F3 · price: Pursuant to the amendment to that certain Registration Rights Agreement, dated September 9, 2022, by and between the Issuer, MIF II and certain other parties (as amended, the "RRA") and disclosed in the Issuer's Current Report on Form 8-K filed on June 23, 2023, the Issuer delivered 7,333 shares of Common Stock to MIF II in exchange for the release of claims under any of the Transaction Documents (as defined in the RRA). The acquisition of such securities was exempted from Section 16(b) of the Act pursuant to Rule 16b-3 thereunder. F2 · ownership.direct: Securities 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. Adam Sharkawy, 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. For purposes of Section 16 of the Securities Exchange Act of 1934, as amended (the "Act"), each of MIF II, MIP II, Mr. Sharkawy and Mr. Roberts disclaims beneficial ownership of such securities, except to the extent of their respective pecuniary interests therein, and this report shall not be deemed an admission that any of them is the beneficial owner of such securities for purposes of Section 16 or for any other purpose. Read SEC document |
| May 05, 2020 Filed May 6, 2020 19:34 UTC | Lyra Therapeutics, Inc. LYRA · Entity 46837 | ConversionSeries A-1/A Convertible Preferred Stock · Derivative | 14,318 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000899243-20-012175 · doc4.xml · derivative · entry 2 Roberts Carmichael · CIK 0001810913 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 415 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 share of preferred stock was automatically converted into 0.0289998 shares of common stock upon the closing of the Issuer's initial public offering. The preferred stock had no expiration date. F1 · price: Each share of preferred stock was automatically converted into 0.0289998 shares of common stock upon the closing of the Issuer's initial public offering. The preferred stock had no expiration date. F1 · derivative.exercise_date: Each share of preferred stock was automatically converted into 0.0289998 shares of common stock upon the closing of the Issuer's initial public offering. The preferred stock had no expiration date. F1 · derivative.expiration_date: Each share of preferred stock was automatically converted into 0.0289998 shares of common stock upon the closing of the Issuer's initial public offering. The preferred stock had no expiration date. Read SEC document |
| May 05, 2020 Filed May 6, 2020 19:34 UTC | Lyra Therapeutics, Inc. LYRA · Entity 46837 | ConversionCommon Stock | 415 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000899243-20-012175 · doc4.xml · nonDerivative · entry 1 Roberts Carmichael · CIK 0001810913 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 58,414 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 share of preferred stock was automatically converted into 0.0289998 shares of common stock upon the closing of the Issuer's initial public offering. The preferred stock had no expiration date. Read SEC document |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.