SEC Form SC 13G/A filed by Nauticus Robotics Inc. (Amendment)
===============================================================================
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, D.C. 20549
SCHEDULE 13G/A
Under the Securities Exchange Act of 1934
(Amendment No.1)*
NAUTICUS ROBOTICS, INC. (FORMERLY KNOWN AS CLEANTECH ACQUISITION CORP.)
-------------------------------------------------------------------------------
(Name of Issuer)
Common Stock, par value $0.0001 per share
-------------------------------------------------------------------------------
(Title of Class of Securities)
63911H108
-------------------------------------------------------------------------------
(CUSIP Number)
December 31, 2022
-------------------------------------------------------------------------------
(Date of Event Which Requires Filing of This Statement)
Check the appropriate box to designate the rule pursuant to which this Schedule
is filed:
[X] Rule 13d-1(b)
[ ] Rule 13d-1(c)
[ ] Rule 13d-1(d)
* The remainder of this cover page shall be filled out for a reporting person's
initial filing on this form with respect to the subject class of securities, and
for any subsequent amendment containing information which would alter
disclosures provided in a prior cover page.
The information required on the remainder of this cover page shall not be deemed
to be "filed" for the purpose of Section 18 of the Securities Exchange Act of
1934 ("Act") or otherwise subject to the liabilities of that section of the Act
but shall be subject to all other provisions of the Act (however, see the
Notes).
--------------------------------------------------------------------------------
1. NAME OF REPORTING PERSON/S.S. OR I.R.S. IDENTIFICATION
NO. OF ABOVE PERSON
WEISS ASSET MANAGEMENT LP
--------------------------------------------------------------------------------
2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
(A) [ ]
(B) [ ]
--------------------------------------------------------------------------------
3. SEC USE ONLY
--------------------------------------------------------------------------------
4. CITIZENSHIP OR PLACE OF ORGANIZATION
DELAWARE
--------------------------------------------------------------------------------
5. SOLE VOTING POWER
0
NUMBER OF --------------------------------------------------
SHARES 6. SHARED VOTING POWER
BENEFICIALLY
OWNED BY 0
EACH --------------------------------------------------
REPORTING 7. SOLE DISPOSITIVE POWER
PERSON
WITH: 0
--------------------------------------------------
8. SHARED DISPOSITIVE POWER
0
--------------------------------------------------------------------------------
9. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
0
--------------------------------------------------------------------------------
10. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES
CERTAIN SHARES* [ ]
--------------------------------------------------------------------------------
11. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
0.00%
--------------------------------------------------------------------------------
12. TYPE OF REPORTING PERSON*
IA – Investment Adviser
--------------------------------------------------------------------------------
1. NAME OF REPORTING PERSON/S.S. OR I.R.S. IDENTIFICATION
NO. OF ABOVE PERSON
WAM GP LLC
--------------------------------------------------------------------------------
2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
(A) [ ]
(B) [ ]
--------------------------------------------------------------------------------
3. SEC USE ONLY
--------------------------------------------------------------------------------
4. CITIZENSHIP OR PLACE OF ORGANIZATION
DELAWARE
--------------------------------------------------------------------------------
5. SOLE VOTING POWER
0
NUMBER OF --------------------------------------------------
SHARES 6. SHARED VOTING POWER
BENEFICIALLY
OWNED BY 0
EACH --------------------------------------------------
REPORTING 7. SOLE DISPOSITIVE POWER
PERSON
WITH: 0
--------------------------------------------------
8. SHARED DISPOSITIVE POWER
0
--------------------------------------------------------------------------------
9. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
0
--------------------------------------------------------------------------------
10. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES
CERTAIN SHARES* [ ]
--------------------------------------------------------------------------------
11. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
0.00%
--------------------------------------------------------------------------------
12. TYPE OF REPORTING PERSON*
HC – Parent Holding Company/Control Person
--------------------------------------------------------------------------------
1. NAME OF REPORTING PERSON/S.S. OR I.R.S. IDENTIFICATION
NO. OF ABOVE PERSON
ANDREW M. WEISS, PH.D.
--------------------------------------------------------------------------------
2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
(A) [ ]
(B) [ ]
--------------------------------------------------------------------------------
3. SEC USE ONLY
--------------------------------------------------------------------------------
4. CITIZENSHIP OR PLACE OF ORGANIZATION
USA
--------------------------------------------------------------------------------
5. SOLE VOTING POWER
0
NUMBER OF --------------------------------------------------
SHARES 6. SHARED VOTING POWER
BENEFICIALLY
OWNED BY 0
EACH --------------------------------------------------
REPORTING 7. SOLE DISPOSITIVE POWER
PERSON
WITH: 0
--------------------------------------------------
8. SHARED DISPOSITIVE POWER
0
--------------------------------------------------------------------------------
9. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
0
--------------------------------------------------------------------------------
10. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES
CERTAIN SHARES* [ ]
--------------------------------------------------------------------------------
11. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
0.00%
--------------------------------------------------------------------------------
12. TYPE OF REPORTING PERSON*
HC – Parent Holding Company/Control Person
ITEM 1.
(a) Name of Issuer: NAUTICUS ROBOTICS, INC. (FORMERLY KNOWN AS CLEANTECH ACQUISITION CORP.)
------------------------------------------------
(b) Address of Issuer's Principal Executive Offices:
17146 FEATHERCRAFT LANE, SUITE 450,
WEBSTER, TEXAS 77598
------------------------------------------------ ITEM 2.
(a) and (c): Name and Citizenship of Persons Filing:
(i) Weiss Asset Management LP, a Delaware limited partnership ("Weiss Asset Management").
(ii) WAM GP LLC, a Delaware limited liability company (“WAM GP”).
(iii) Andrew M. Weiss, Ph.D., a United States citizen (“Andrew Weiss”).
(b): Address of Principal Business Office:
Weiss Asset Management, WAM GP, and Andrew Weiss have a business
address of 222 Berkeley St., 16th floor, Boston, Massachusetts 02116
(d) Title of Class of Securities: Common Stock, par value $0.0001 per share
-------------------------------------
(e) CUSIP Number: 63911H108
------------------
ITEM 3. IF THIS STATEMENT IS FILED PURSUANT TO RULE 13D-1(B), OR 13D-2(B), CHECK
WHETHER THE PERSON FILING IS A:
(a) [ ] Broker or Dealer registered under Section 15 of the Act
(15 U.S.C. 78o).
(b) [ ] Bank as defined in section 3(a)(6) of the Act (15 U.S.C. 78c).
(c) [ ] Insurance Company as defined in section 3(a)(19) of the Act
(15 U.S.C. 78c).
(d) [ ] Investment Company registered under section 8 of the Investment
Company Act of 1940 (15 U.S.C. 80a-8).
(e) [X] Investment Adviser registered under section 203 of the Investment
Advisers Act or under the laws of any State
(f) [ ] Employee Benefit Plan, Pension fund which is subject to the
provisions of the Employee Retirement Income Security Act of
1974 or Endowment Fund; see Section 240.13d-1(b)(1)(ii)(F)
(g) [X] A Parent Holding Company or control person, in accordance with
Section 240.13d-1(b)(ii)(G)
(h) [ ] A Savings Association as defined in Section 3(b) of the Federal
Deposit Insurance Act (12 U.S.C. 1813)
(i) [ ] A Church Plan that is excluded from the definition of an
investment company under Section 3(c)(14) of the Investment
Company Act of 1940 (15 U.S.C. 80a-3)
(j) [ ] Group, in accordance with Section 240.13d-1(b)(1)(ii)(J)
ITEM 4. OWNERSHIP
WEISS ASSET MANAGEMENT*
(a) Amount Beneficially Owned: 0
-------------------------------------------
(b) Percent of Class: 0.00%
----------------------------------------------------
(c) Number of shares as to which such person has:
(i) sole power to vote or to direct the vote: 0
-----------------------
(ii) shared power to vote or to direct the vote: 0
---------------------
(iii) sole power to dispose or to direct the disposition of: 0
----------
(iv) shared power to dispose or to direct the disposition of: 0
----------
WAM GP*
(a) Amount Beneficially Owned: 0
-------------------------------------------
(b) Percent of Class: 0.00%
----------------------------------------------------
(c) Number of shares as to which such person has:
(i) sole power to vote or to direct the vote: 0
-----------------------
(ii) shared power to vote or to direct the vote: 0
---------------------
(iii) sole power to dispose or to direct the disposition of: 0
----------
(iv) shared power to dispose or to direct the disposition of: 0
----------
ANDREW M. WEISS, PH.D.*
(a) Amount Beneficially Owned: 0
-------------------------------------------
(b) Percent of Class: 0.00%
----------------------------------------------------
(c) Number of shares as to which such person has:
(i) sole power to vote or to direct the vote: 0
------------------------
(ii) shared power to vote or to direct the vote: 0
-----------------------
(iii) sole power to dispose or to direct the disposition of: 0
-----------
(iv) shared power to dispose or to direct the disposition of: 0
-----------
-----------------------
* Weiss Asset Management is the sole investment manager to a private investment partnership, (the “Partnership”) and private investment funds (“Funds”). WAM GP is the sole general partner of Weiss Asset Management. Andrew Weiss is the managing member of WAM GP. Shares reported for WAM GP, Andrew Weiss and Weiss Asset Management include shares beneficially owned by the Partnership and the Funds.
Each of WAM GP, Weiss Asset Management, and Andrew Weiss disclaims beneficial ownership of the shares reported herein as beneficially owned by each except to the extent of their respective pecuniary interest therein. The percent of class computations are based on 47,250,771 shares of Common Stock, par value $0.0001 per share, as of November 14, 2022 as reported on the Form 10-Q of the Issuer, which was filed with the SEC on November 14, 2022.
ITEM 5. OWNERSHIP OF FIVE PERCENT OR LESS OF A CLASS
If this statement is being filed to report the fact that as of the date
hereof the reporting person has ceased to be the beneficial owner of more than
five percent of the class of securities, check the following [X].
ITEM 6. OWNERSHIP OF MORE THAN FIVE PERCENT ON BEHALF OF ANOTHER PERSON
Not Applicable
ITEM 7. IDENTIFICATION AND CLASSIFICATION OF THE SUBSIDIARY WHICH ACQUIRED THE
SECURITY BEING REPORTED ON BY THE PARENT HOLDING COMPANY OR CONTROL
PERSON
See Item 4.
ITEM 8. IDENTIFICATION AND CLASSIFICATION OF MEMBERS OF THE GROUP
Not Applicable
ITEM 9. NOTICE OF DISSOLUTION OF GROUP
Not Applicable
ITEM 10. CERTIFICATION
By signing below I certify that, to the best of my knowledge and belief, the
securities referred to above were acquired and are held in the ordinary course of business and were not acquired and are not held for the purpose of or with the effect of changing or influencing the control of the issuer of the securities and were not acquired and are not held in connection with or as a participant in any transaction having that purpose or effect.
ITEM 11. MATERIALS TO BE FILED AS EXHIBITS
Exhibit 1
Joint Filing Agreement
SIGNATURE
After reasonable inquiry and to the best of my knowledge and belief, I hereby
certify that the information set forth in this statement is true, complete and
correct.
Dated: January 30, 2023
WEISS ASSET MANAGEMENT LP
By: /s/ Georgiy Nikitin
-----------------------------------
Georgiy Nikitin, Chief Compliance Officer
WAM GP LLC
By: /s/ Georgiy Nikitin
-----------------------------------
Georgiy Nikitin, Chief Compliance Officer
ANDREW M. WEISS, PH.D.
By: /s/ Georgiy Nikitin
-----------------------------------
Georgiy Nikitin, Attorney-in-Fact for Andrew Weiss**
_____
** Duly authorized under Power of Attorney incorporated herein by reference to the exhibit to the Form 13G/A filed by Weiss Asset Management LP on January 25, 2017 in respect of its holding in Quinpario Acquisition Corp. 2.
Exhibit 1
JOINT FILING AGREEMENT
In accordance with Rule 13d-1(k) under the Securities Exchange Act of 1934, as amended, Weiss Asset Management LP, WAM GP LLC, and Andrew M. Weiss, hereby agree to the joint filing on behalf of each of them of a statement on Schedule 13G and/or 13D (including any and all amendments thereto) with respect to the Common Stock, par value $0.0001 per share of CLEANTECH ACQUISITION CORP., and further agree that this Joint Filing Agreement, as may be amended from time to time, shall be included as an Exhibit to such joint filings.
The undersigned further agree that each party hereto is responsible for the timely filing of such Statement on Schedule 13G and/or 13D and any amendments thereto, and for the accuracy and completeness of the information concerning such party contained therein; provided, however, that no party is responsible for the accuracy or completeness of the information concerning any other party, unless such party knows or has reason to believe that such information is inaccurate.
This Joint Filing Agreement may be signed in counterparts with the same effect as if the signature on each counterpart were upon the same instrument.
IN WITNESS WHEREOF, the undersigned have executed this Agreement as of February 7, 2022.
WEISS ASSET MANAGEMENT LP
By: /s/ Georgiy Nikitin
-----------------------------------
Georgiy Nikitin, Chief Compliance Officer
WAM GP LLC
By: /s/ Georgiy Nikitin
-----------------------------------
Georgiy Nikitin, Chief Compliance Officer
ANDREW M. WEISS, PH.D.
By: /s/ Georgiy Nikitin
-----------------------------------
Georgiy Nikitin, Attorney-in-Fact for Andrew Weiss**
_____
** Duly authorized under Power of Attorney incorporated herein by reference to the exhibit to the Form 13G/A filed by Weiss Asset Management LP on January 25, 2017 in respect of its holding in Quinpario Acquisition Corp. 2.