Mark Fuller - Oct 17, 2022 Form 4 Insider Report for Castellum, Inc. (CTM)

Role
Chief Executive Officer, Director, 10%+ Owner
Signature
/s/ Mark Fuller
Stock symbol
CTM
Transactions as of
Oct 17, 2022
Transactions value $
$0
Form type
4
Date filed
10/20/2022, 01:22 PM
Previous filing
Oct 12, 2022
Next filing
Dec 2, 2022

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction CTM Common Stock Conversion of derivative security +7.52M +560.98% 8.86M Oct 17, 2022 See footnote F1

Derivative Securities (e.g., puts, calls, warrants, options, convertible securities)

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Underlying Class Amount Exercise Price Ownership Footnotes
transaction CTM Series B Preferred Stock Conversion of derivative security -1.5M -100% 0 Oct 17, 2022 Common Stock 7.52M See footnote F1
transaction CTM Warrants Award +500K 500K Oct 17, 2022 Common Stock 500K $2.00 Direct F2
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 The Mark Chappelle Fuller Revocable Trust, Mark Fuller, TTEE held 1,504,500 shares of Series B Preferred Stock which was converted into 7,522,500 shares of Common Stock. Includes (a) 7,447,519 common shares held by The Mark Chappelle Fuller Reocable Trust, Mark Fuller, TTEE, (b) 25,000 common shares held by Janice Lynn Dudley Revocable Trust, Janice Lynn Dudley TTEE, (c) 25,000 common shares held by Katherine Fuller, (d) 50,000 common shares held by Michael Fuller.
F2 Pursuant to the terms of his employment agreement, Mr. Fuller was granted warrants to purchase 500,000 warrants to purchase Common Stock at $2.00 per share in connection with the Company's offering, all of which are excercisable.