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

Reporting relationship: Chief Executive Officer, Director, 10%+ Owner
Issuer ticker: CTM
Reported as of: 17 Oct 2022
Net transaction value: $0
SEC form: 4
Accepted by SEC: 20 Oct 2022, 13:22:34 UTC
Prior SEC filing: 12 Oct 2022
Next SEC filing: 02 Dec 2022
Source filing: View source filing
Reporting owner signature: /s/ Mark Fuller

Key filing fact

Mark C. Fuller filed Form 4 for Castellum, Inc. (CTM) on 20 Oct 2022.

Key facts

This page summarizes Mark C. Fuller's Form 4 filing for Castellum, Inc. (CTM).
3 reported transactions and 2 derivative rows are listed below.
Accepted by SEC: 20 Oct 2022, 13:22.

Change

Previous filing in this sequence was filed on 12 Oct 2022.
Current net transaction value: $0.

Research use

This tells you what this filing adds before you inspect full transaction and derivative tables.
You can trace every row back to the original SEC filing document.

Evidence

Filed on Form 4

Ownership activity is grounded in SEC Form 4 disclosures.

View source filing

Reported non-derivative transactions

Shares, units, or other non-derivative securities reported in this filing.

CTM transaction

Common Stock

Conversion of derivative security

Transaction value
Shares: +7,522,500
Change %: +561%
Price
Shares after: 8,863,453
Date: 17 Oct 2022
Ownership: See footnote
Footnotes: F1

Reported derivative securities

Options, warrants, convertible securities, or similar derivative positions disclosed in the filing.

CTM transaction Derivative

Series B Preferred Stock

Conversion of derivative security

Transaction value
Shares: -1,504,500
Change %: -100%
Price
Shares after: 0
Date: 17 Oct 2022
Ownership: See footnote
Underlying class: Common Stock
Underlying amount: 7,522,500
Exercise price
Footnotes: F1

CTM transaction Derivative

Warrants

Award

Transaction value
Shares: +500,000
Change %
Price
Shares after: 500,000
Date: 17 Oct 2022
Ownership: Direct
Underlying class: Common Stock
Underlying amount: 500,000
Exercise price: $2.00
Footnotes: F2

^* marks a reported price that did not pass the local price check.

Additional SEC filing notes

Filing notes and footnotes

Explanation of responses 2 footnotes

Footnote 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.

Footnote 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.