Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| Nauticus Robotics, Inc.KITT · Entity 8200 | Director · Chief Executive Officer | December 31, 2023 | January 04, 2024 |
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, 2023 · Filed January 04, 2024
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 3,024,921 |
Ending reported balance
After 2024-01-02 transaction · row 2
2 source rows · reconciled sequenceRow 1 · 2023-12-31 · Exercise / conversion · Acquired 73,451 · Balance 3,044,588 F1: Sell-Cover; cash proceeds delivered to the issuer to satisfy tax withholding. Each Restricted Stock Unit ("RSU") is issued pursuant to the Company's 2022 Omnibus Incentive Plan and represents a contingent right to receive one share of common stock, and vesting (i.e., forfeiture restriction termination) generally is subject to the reporting person remaining an employee or director of the Company, its affiliates or subsidiaries. Row 2 · 2024-01-02 · Sale · Disposed 19,667 · Balance 3,024,921 F1: Sell-Cover; cash proceeds delivered to the issuer to satisfy tax withholding. Each Restricted Stock Unit ("RSU") is issued pursuant to the Company's 2022 Omnibus Incentive Plan and represents a contingent right to receive one share of common stock, and vesting (i.e., forfeiture restriction termination) generally is subject to the reporting person remaining an employee or director of the Company, its affiliates or subsidiaries. |
| Performance RSUSEC Table II · derivative / convertible security | Direct | 144,021 |
Reported balance
After 2023-12-31 transaction · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · 2023-12-31 · Exercise / conversion · Disposed 144,021 · Balance 144,021 F1: Sell-Cover; cash proceeds delivered to the issuer to satisfy tax withholding. Each Restricted Stock Unit ("RSU") is issued pursuant to the Company's 2022 Omnibus Incentive Plan and represents a contingent right to receive one share of common stock, and vesting (i.e., forfeiture restriction termination) generally is subject to the reporting person remaining an employee or director of the Company, its affiliates or subsidiaries. F2: 0% to 150% of these Performance RSUs may vest in two (2) equal installments on each of December 31, 2023 and December 31, 2024, based the Company's revenue. |
Filing footnotes · ownership attribution and instrument terms
F1: Sell-Cover; cash proceeds delivered to the issuer to satisfy tax withholding. Each Restricted Stock Unit ("RSU") is issued pursuant to the Company's 2022 Omnibus Incentive Plan and represents a contingent right to receive one share of common stock, and vesting (i.e., forfeiture restriction termination) generally is subject to the reporting person remaining an employee or director of the Company, its affiliates or subsidiaries.
F2: 0% to 150% of these Performance RSUs may vest in two (2) equal installments on each of December 31, 2023 and December 31, 2024, based the Company's revenue.
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 02, 2024 Filed Jan 4, 2024 02:44 UTC | Nauticus Robotics, Inc. KITT · Entity 8200 | SaleCommon Stock | 19,667 | $0.64 | $12,586.88 |
DisclosureSEC source: 0001213900-24-000968 · ownership.xml · nonDerivative · entry 2 Radford Nicolaus · CIK 0001944857 · Director · Chief Executive Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 3,024,921 F1 · kind: Sell-Cover; cash proceeds delivered to the issuer to satisfy tax withholding. Each Restricted Stock Unit ("RSU") is issued pursuant to the Company's 2022 Omnibus Incentive Plan and represents a contingent right to receive one share of common stock, and vesting (i.e., forfeiture restriction termination) generally is subject to the reporting person remaining an employee or director of the Company, its affiliates or subsidiaries. Read SEC document |
| December 31, 2023 Filed Jan 4, 2024 02:44 UTC | Nauticus Robotics, Inc. KITT · Entity 8200 | Exercise / conversionPerformance RSU · Derivative | 144,021 | $0.00 | $0.00 |
DisclosureSEC source: 0001213900-24-000968 · ownership.xml · derivative · entry 3 Radford Nicolaus · CIK 0001944857 · Director · Chief Executive Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 144,021 Underlying: Common Stock · 144,021 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: Sell-Cover; cash proceeds delivered to the issuer to satisfy tax withholding. Each Restricted Stock Unit ("RSU") is issued pursuant to the Company's 2022 Omnibus Incentive Plan and represents a contingent right to receive one share of common stock, and vesting (i.e., forfeiture restriction termination) generally is subject to the reporting person remaining an employee or director of the Company, its affiliates or subsidiaries. F2 · derivative.exercise_date: 0% to 150% of these Performance RSUs may vest in two (2) equal installments on each of December 31, 2023 and December 31, 2024, based the Company's revenue. F2 · derivative.expiration_date: 0% to 150% of these Performance RSUs may vest in two (2) equal installments on each of December 31, 2023 and December 31, 2024, based the Company's revenue. Read SEC document |
| December 31, 2023 Filed Jan 4, 2024 02:44 UTC | Nauticus Robotics, Inc. KITT · Entity 8200 | Exercise / conversionCommon Stock | 73,451 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001213900-24-000968 · ownership.xml · nonDerivative · entry 1 Radford Nicolaus · CIK 0001944857 · Director · Chief Executive Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 3,044,588 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: Sell-Cover; cash proceeds delivered to the issuer to satisfy tax withholding. Each Restricted Stock Unit ("RSU") is issued pursuant to the Company's 2022 Omnibus Incentive Plan and represents a contingent right to receive one share of common stock, and vesting (i.e., forfeiture restriction termination) generally is subject to the reporting person remaining an employee or director of the Company, its affiliates or subsidiaries. Read SEC document |
| May 09, 2023 Filed May 11, 2023 20:01 UTC | Nauticus Robotics, Inc. KITT · Entity 8200 | Tax withholdingCommon Stock | 5,172 | $2.22 | $11,481.84 |
DisclosureSEC source: 0001213900-23-038512 · ownership.xml · nonDerivative · entry 1 Radford Nicolaus · CIK 0001944857 · Director · Chief Executive Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 2,971,137 Read SEC document |
| May 03, 2023 Filed May 6, 2023 01:13 UTC | Nauticus Robotics, Inc. KITT · Entity 8200 | Exercise / conversionRSU · Derivative | 19,853 | $0.00 | $0.00 |
DisclosureSEC source: 0001213900-23-037037 · ownership.xml · derivative · entry 2 Radford Nicolaus · CIK 0001944857 · Director · Chief Executive Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 19,853 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: Each Restricted Stock Unit ("RSU") is issued pursuant to the Company's 2022 Omnibus Incentive Plan and represents a contingent right to receive one share of common stock. F2 · derivative.exercise_date: On April 3, the reporting person was granted 19,853 RSUs, all of which vested on May 3, 2023. F2 · derivative.expiration_date: On April 3, the reporting person was granted 19,853 RSUs, all of which vested on May 3, 2023. Read SEC document |
| May 03, 2023 Filed May 6, 2023 01:13 UTC | Nauticus Robotics, Inc. KITT · Entity 8200 | Exercise / conversionCommon Stock | 19,853 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001213900-23-037037 · ownership.xml · nonDerivative · entry 1 Radford Nicolaus · CIK 0001944857 · Director · Chief Executive Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 2,976,309 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: Each Restricted Stock Unit ("RSU") is issued pursuant to the Company's 2022 Omnibus Incentive Plan and represents a contingent right to receive one share of common stock. Read SEC document |
| April 03, 2023 Filed Apr 6, 2023 10:41 UTC | Nauticus Robotics, Inc. KITT · Entity 8200 | GrantRSU · Derivative | 19,853 | $0.00 | $0.00 |
DisclosureSEC source: 0001213900-23-027744 · ownership.xml · derivative · entry 1 Radford Nicolaus · CIK 0001944857 · Director · Chief Executive Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 19,853 Underlying: Common Stock · 19,853 shares Expires not disclosed F1 · derivative.exercise_price: Each Restricted Stock Unit ("RSU") is issued pursuant to the Company's 2022 Omnibus Incentive Plan and represents a contingent right to receive one share of common stock. F2 · derivative.exercise_date: 100% of the RSUs vest on May 3, 2023. F2 · derivative.expiration_date: 100% of the RSUs vest on May 3, 2023. Read SEC document |
| October 07, 2022 Filed Oct 12, 2022 20:42 UTC | Nauticus Robotics, Inc. KITT · Entity 8200 | GrantPerformance RSU · Derivative | 288,042 | $0.00 | $0.00 |
DisclosureSEC source: 0001213900-22-063557 · ownership.xml · derivative · entry 1 Radford Nicolaus · CIK 0001944857 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 288,042 Underlying: Common Stock · 288,042 shares Expires not disclosed F1 · derivative.exercise_price: Each Restricted Stock Unit ("RSU") is issued pursuant to the Company's 2022 Omnibus Incentive Plan and represents a contingent right to receive one share of common stock, and vesting (i.e., forfeiture restriction termination) generally is subject to the reporting person remaining an employee or director of the Company, its affiliates or subsidiaries. F2 · derivative.exercise_date: 0% to 150% of these Performance RSUs may vest in two (2) equal installments on each of December 31, 2023 and December 31, 2024, based the Company's revenue, as reported on its audited income statement for the year ending December 31, 2022 ("Revenue"), relative to the Company's 2022 revenue as reported on its Form S-1 filed on September 9, 2022, as may be amended ("S-1 Revenue"). F3 · derivative.exercise_date: The percentage of Performance RSUs that may vest will be (i) at the Compensation Committee's (the "Committee") discretion if the Revenue is below $11 million; (ii) 50% if the Revenue is greater than or equal to $11 million, but less than S-1 Revenue; (iii) 100% if the Revenue is greater than or equal to the S-1 Revenue, but less than 115% of S-1 Revenue; (iv) 115% if the Revenue is greater than or equal to 115% of S-1 Revenue, but less than 125% of S-1 Revenue; (v) 125% if the Revenue is greater than or equal to 125% of S-1 Revenue, but less than 150% of S-1 Revenue; (vi) 150% if the Revenue is greater than or equal to 150% of S-1 Revenue. F2 · derivative.expiration_date: 0% to 150% of these Performance RSUs may vest in two (2) equal installments on each of December 31, 2023 and December 31, 2024, based the Company's revenue, as reported on its audited income statement for the year ending December 31, 2022 ("Revenue"), relative to the Company's 2022 revenue as reported on its Form S-1 filed on September 9, 2022, as may be amended ("S-1 Revenue"). F3 · derivative.expiration_date: The percentage of Performance RSUs that may vest will be (i) at the Compensation Committee's (the "Committee") discretion if the Revenue is below $11 million; (ii) 50% if the Revenue is greater than or equal to $11 million, but less than S-1 Revenue; (iii) 100% if the Revenue is greater than or equal to the S-1 Revenue, but less than 115% of S-1 Revenue; (iv) 115% if the Revenue is greater than or equal to 115% of S-1 Revenue, but less than 125% of S-1 Revenue; (v) 125% if the Revenue is greater than or equal to 125% of S-1 Revenue, but less than 150% of S-1 Revenue; (vi) 150% if the Revenue is greater than or equal to 150% of S-1 Revenue. Read SEC document |
| September 09, 2022 Filed Sep 14, 2022 01:51 UTC | Nauticus Robotics, Inc. KITT · Entity 8200 | GrantCommon Stock | 2,956,456 | $0.00 | $0.00 |
DisclosureSEC source: 0001213900-22-055763 · ownership.xml · nonDerivative · entry 1 Radford Nicolaus · CIK 0001944857 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,956,456 F1 · shares: The securities were acquired in connection with the business combination of CleanTech Acquisition Corp. ("CLAQ"), CleanTech Merger Sub, Inc., a wholly owned subsidiary of CLAQ, and Nauticus Robotics, Inc., dated December 16, 2021 and consummated on September 9, 2022. Read SEC document |
| September 09, 2022 Filed Sep 15, 2022 01:40 UTC Amendment | Nauticus Robotics, Inc. KITT · Entity 8200 | GrantEarn-Out Shares · Derivative | 738,344 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001213900-22-056032 · ownership.xml · derivative · entry 1 Radford Nicolaus · CIK 0001944857 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 738,344 Underlying: Common Stock · 738,344 shares Expires not disclosed F1 · derivative.exercise_date: Reflects Earn-Out Shares issued in connection with the business combination of CleanTech Acquisition Corp. ("CLAQ"), CleanTech Merger Sub, Inc., a wholly owned subsidiary of CLAQ, and Nauticus Robotics, Inc. pursuant to the Merger Agreement dated December 16, 2021 and consummated on September 9, 2022 ("Merger Agreement"). Earn-Out Shares will be released as follows: (i) one-half will be released if, within a five-year period following the signing date of the Merger Agreement, the volume-weighted average price of the common stock equals or exceeds $15.00 per share, over any 20 trading days within a 30-day trading period; (ii) one-quarter will be released if, within a five-year period following the signing date of the Merger Agreement, the volume-weighted average price of common stock equals or exceeds $17.50 per share over any 20 trading days within a 30-day trading period; and (iii) one-quarter will be released if, within a five-year period following the signing date of the Merger Agreement, the volume-weighted average price of the common stock equals or exceeds $20.00 per share over any 20 trading days within a 30-day trading period. Any shares not eligible to be released within five years of December 16, 2021 will be forfeited and canceled. This amendment is being filed to include the Earn-Out Shares that were inadvertently omitted from the original Form 4 filed by the Reporting Person on September 13, 2022. F1 · derivative.expiration_date: Reflects Earn-Out Shares issued in connection with the business combination of CleanTech Acquisition Corp. ("CLAQ"), CleanTech Merger Sub, Inc., a wholly owned subsidiary of CLAQ, and Nauticus Robotics, Inc. pursuant to the Merger Agreement dated December 16, 2021 and consummated on September 9, 2022 ("Merger Agreement"). Earn-Out Shares will be released as follows: (i) one-half will be released if, within a five-year period following the signing date of the Merger Agreement, the volume-weighted average price of the common stock equals or exceeds $15.00 per share, over any 20 trading days within a 30-day trading period; (ii) one-quarter will be released if, within a five-year period following the signing date of the Merger Agreement, the volume-weighted average price of common stock equals or exceeds $17.50 per share over any 20 trading days within a 30-day trading period; and (iii) one-quarter will be released if, within a five-year period following the signing date of the Merger Agreement, the volume-weighted average price of the common stock equals or exceeds $20.00 per share over any 20 trading days within a 30-day trading period. Any shares not eligible to be released within five years of December 16, 2021 will be forfeited and canceled. This amendment is being filed to include the Earn-Out Shares that were inadvertently omitted from the original Form 4 filed by the Reporting Person on September 13, 2022. Read SEC document |
| December 16, 2021 Filed Sep 14, 2022 01:51 UTC | Nauticus Robotics, Inc. KITT · Entity 8200 | GrantEmployee Stock Options (Right to Buy) · Derivative | 536,992 | $0.00 Strike: $2.50 | $0.00 |
DisclosureSEC source: 0001213900-22-055763 · ownership.xml · derivative · entry 2 Radford Nicolaus · CIK 0001944857 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 536,992 Underlying: Common Stock · 536,992 shares Expires 2031-12-16 F2 · shares: Employee stock options were initially granted on December 16, 2021 under the 2015 Equity Incentive Plan. 25% of the options are exercisable on December 16, 2022, with the remainder being exercisable pro rata over the subsequent 36 months. F2 · derivative.exercise_date: Employee stock options were initially granted on December 16, 2021 under the 2015 Equity Incentive Plan. 25% of the options are exercisable on December 16, 2022, with the remainder being exercisable pro rata over the subsequent 36 months. F2 · derivative.expiration_date: Employee stock options were initially granted on December 16, 2021 under the 2015 Equity Incentive Plan. 25% of the options are exercisable on December 16, 2022, with the remainder being exercisable pro rata over the subsequent 36 months. 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.