SCHEDULE 13D/A: William Kerber Boosts Stake in Nauticus Robotics to 6.1%

Individual investor William Kerber has increased his beneficial ownership in Nauticus Robotics, Inc. to 6.1% of the common stock, acquiring an additional 310,000 shares since mid-March 2025.

Summary

• William Xavier Kerber III, an individual investor and CEO of Human Mode LLC, has filed an Amendment No. 3 to his Schedule 13D regarding his holdings in Nauticus Robotics, Inc.
• As of April 3, 2025, Mr. Kerber beneficially owns 1,852,696 shares of Nauticus Robotics' Common Stock, representing 6.1% of the Issuer's outstanding shares.
• This percentage is calculated based on 30,185,791 shares of Common Stock outstanding as of the Issuer's S-3 filing dated February 3, 2025.
• Since his last amendment on March 17, 2025, Mr. Kerber purchased an additional 310,000 shares of the Issuer's Common Stock.
• These recent purchases include 200,000 shares acquired on March 26, 2025, at a price of $1.05 per share, and 110,000 shares acquired on April 3, 2025, at a price of $1.07 per share.
• All shares were acquired using Mr. Kerber's personal funds, with no loans involved.
• Mr. Kerber states his purpose for these purchases is investment in the Issuer's common stock and he is not employed by Nauticus Robotics.
• He currently has no present plans for transactions described in Item 4 of Schedule 13D but reserves the right to formulate future plans, including purchasing additional securities, holding, or disposing of his investments, or entering into derivative transactions.

Sentiment

Score: 7

Explanation: The sentiment is positive as a significant individual investor has increased their stake in the company, indicating confidence in its investment potential. While the investor reserves the right to sell, the immediate action is an increase in ownership.

Positives

• A significant individual investor, William Kerber, has increased his stake in Nauticus Robotics, indicating a potential vote of confidence in the company's future prospects.
• The acquisition of additional shares by Mr. Kerber demonstrates continued personal investment and belief in the Issuer's value.

Risks

• Mr. Kerber explicitly reserves the right to formulate future plans that may include disposing of all or part of his investments in Nauticus Robotics securities, which could lead to selling pressure.
• The investor may also enter into derivative transactions with institutional counterparties, which could introduce volatility or complex market dynamics related to the Issuer's securities.

Future Outlook

Mr. Kerber's future outlook regarding his investment in Nauticus Robotics is flexible; he reserves the right to purchase additional securities, hold or dispose of his current investments, and/or enter into derivative transactions based on his evaluation of the Issuer's business, prospects, financial condition, and other opportunities.

Management Comments

• "Mr. Kerber purchased these shares as an individual for the purposes of investment in the Issuer's common stock."
• "Mr. Kerber is not employed by the Issuer."
• "Mr. Kerber does not have any present plans or proposals that would relate to or result in transactions described in clauses (a) through (j) of Item 4 of Schedule 13D. However, Mr. Kerber reserves the right to formulate in the future plans or proposals which may relate to or result in the transactions described in clauses (a) through (j) of Item 4 of Schedule 13D."
• "Mr. Kerber may, from time to time, purchase additional securities in the open market or privately-negotiated transactions depending on his evaluation of the Issuer's business, prospects, financial condition and other opportunities available to him."
• "Mr. Kerber may also decide to hold or dispose of all or part of his investments in securities of the Issuer and/or enter into derivative transactions with institutional counter parties with respect to the Issuer's securities, including actions that may involve one or more of the types of transactions described in clauses (a) through (j) of Item 4 of Schedule 13D."

Industry Context

This Schedule 13D filing primarily concerns an individual investor's ownership stake and intentions, rather than providing broader industry trends or competitive analysis. It reflects an investor's specific view on Nauticus Robotics within the robotics or marine technology sector.

Stakeholder Impact

• Shareholders: The increased stake by a significant individual investor could be viewed positively by other shareholders, potentially signaling confidence in the company's value and prospects.

Next Steps

• Mr. Kerber may purchase additional securities of Nauticus Robotics in the open market or through privately-negotiated transactions.
• Mr. Kerber may decide to hold his current investment in Nauticus Robotics.
• Mr. Kerber may dispose of all or part of his investment in Nauticus Robotics securities.
• Mr. Kerber may enter into derivative transactions with institutional counterparties related to Nauticus Robotics securities.

Key Dates

Keywords

Nauticus Robotics, Schedule 13D, William Kerber, stock ownership, beneficial ownership, investor stake, common stock, SEC filing, investment