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Bellingham Jim reported acquisition or exercise transactions in this Form 4 filing.
Nauticus Robotics, Inc. director Jim Bellingham received a grant of 48,241 restricted stock units (RSUs) under the company’s 2022 Omnibus Incentive Plan. Each RSU represents a contingent right to one share of common stock and will vest if he remains in service until the earlier of May 27, 2026 or the date immediately before the 2027 annual meeting of stockholders. Following this award, he directly holds 48,241 RSUs.
Spiro Elliot reported acquisition or exercise transactions in this Form 4 filing.
Nauticus Robotics director Spiro Elliot received a grant of 48,241 Restricted Stock Units, each representing one share of common stock, under the company’s 2022 Omnibus Incentive Plan.
The RSUs vest if he continues in service, on the earlier of May 27, 2027 or the date immediately before the 2027 annual meeting of stockholders.
FLORES WILLIAM reported acquisition or exercise transactions in this Form 4 filing.
Nauticus Robotics, Inc. reported that director William Flores received a grant of 72,361 Restricted Stock Units on July 23, 2026 under the company’s 2022 Omnibus Incentive Plan. Each RSU represents a contingent right to one share of common stock and vests on the earlier of May 27, 2027 or immediately before the 2027 annual meeting, subject to continued service. Following the grant, Flores directly holds 72,361 RSUs.
Nauticus Robotics, Inc. reported that RCB Equities #1, LLC, an entity managed by 10% owner Dror Brian Isaac, converted $1,000,000 of a Senior Secured Term Loan into 555,556 shares of common stock at $1.80 per share on June 1, 2026, and sold 32,539 shares of common stock at $2.021 per share in a sale described as an open-market or private transaction. The positions are reported as indirect holdings, and the transactions were not marked as made under a Rule 10b5-1 trading plan.
Nauticus Robotics, Inc. discloses that more-than-10% owner Brian Isaac Dror holds his stake indirectly through RCB Equities #1, LLC. He indirectly holds 782,829 shares of common stock and 4,800 shares of Series C Convertible Preferred Stock, which are convertible into 631,579 common shares at $7.60 per share, with conversion requiring stockholder approval under Nasdaq Listing Rule 5635. The Series C Preferred was acquired by exchanging $4,000,000 of outstanding indebtedness under a Senior Secured Term Loan Agreement at a 20% premium, giving the preferred an aggregate stated value of $4,800,000.
Nauticus Robotics, Inc. has a new large shareholder group reported by RCB Equities #1, LLC and its manager, Brian Isaac Dror. They collectively report beneficial ownership of 782,829 shares of common stock, representing approximately 11.4% of the company’s common stock.
The ownership percentage is based on 6,880,706 shares outstanding as of June 26, 2026, referenced in an Exchange Agreement between RCB Equities #1, LLC and Nauticus Robotics, Inc. RCB Equities #1, LLC also holds 4,800 shares of Series C Convertible Preferred Stock, convertible into about 631,579 common shares at $7.60 per share, but this conversion is subject to stockholder approval and not exercisable within 60 days, so these potential shares are excluded from the reported beneficial ownership under Rule 13d-3(d)(1).
RCB Equities #1, LLC has sole voting and dispositive power over the 782,829 common shares, while Brian Isaac Dror is deemed to share voting and dispositive power indirectly through his role as Manager of RCB Equities #1, LLC.
Nauticus Robotics, Inc. created a new direct financial obligation by issuing an Original Issue Discount Senior Secured Convertible Debenture due 2026, called the Additional Note, with an aggregate principal amount of $1,500,000.00 to an institutional investor on July 20, 2026.
The Additional Note is convertible into 197,369 shares of common stock at a conversion price of $7.60 per share and is scheduled to mature on September 9, 2026, subject to earlier repayment as provided in the note. It was issued under a November 4, 2024 securities purchase agreement on the same terms as existing notes and was offered without registration under the Securities Act in reliance on Section 4(a)(2) and Rule 506 of Regulation D.
RCB Equities #1, LLC, a ten percent owner of Nauticus Robotics, Inc., converted $1,000,000 of principal under a Senior Secured Term Loan into 555,556 shares of common stock at $1.80 per share on June 1, 2026. It also sold 32,539 shares in an open-market transaction at $2.021 per share the same day, and held 782,829 shares of common stock afterward, up from approximately 259,812 shares before the conversion.
Nauticus Robotics, Inc. has created a new class of preferred equity as part of a previously disclosed financing. On July 6, 2026, the company filed a Certificate of Designation establishing up to 50,000 shares of Series D Convertible Preferred Stock. Each share has a stated value of $1,000 and carries 10% per annum cumulative dividends, meaning unpaid dividends accumulate over time. The Series D is convertible into common stock under specified terms, including Nasdaq stockholder approval requirements, and also carries liquidation, redemption and voting rights. The filing is tied to a Securities Purchase Agreement with Master Investment Group and represents a material modification to the rights of existing security holders.
RCB Equities 1, LLC filed an initial ownership report showing a significant stake in Nauticus Robotics, Inc. common and preferred stock. The entity reports 782,829 shares of common stock held directly.
It also holds 4,800 shares of Series C Convertible Preferred Stock with a stated value of $1,000 per share, for an aggregate stated value of $4,800,000. This Series C preferred was acquired on June 26, 2026 under an Exchange Agreement and is convertible into 631,579 shares of common stock at $7.60 per share, subject to stockholder approval under Nasdaq Listing Rule 5635. The preferred stock has no expiration date and reflects a conversion of $4,000,000 of senior secured term loan debt at a 20% premium.