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Nuburu, Inc. — Director's Dealing 2024
Nov 26, 2024
35022_dirs_2024-11-25_5269753a-42df-4115-bd97-a328bd459e3f.zip
Director's Dealing
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SEC Form 4 — Statement of Changes in Beneficial Ownership
Issuer: Nuburu, Inc. (BURU)
CIK: 0001814215
Period of Report: 2024-11-21
Reporting Person: Seldin David (10% Owner)
Reporting Person: Anzu Nuburu LLC (10% Owner)
Reporting Person: Anzu Nuburu II LLC (10% Owner)
Reporting Person: Anzu Nuburu III LLC (10% Owner)
Reporting Person: Anzu Nuburu V LLC (10% Owner)
Reporting Person: Anzu Partners LLC (10% Owner)
Reporting Person: David & Jennifer Michael Family Ltd Partnership (10% Owner)
Reporting Person: CST Global LLC (10% Owner)
Reporting Person: Haring-Smith Whitney (10% Owner)
Reporting Person: Herman Debrah (10% Owner)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2024-11-21 | Common Stock | J | 133024 | — | Disposed | 0 | Direct |
| 2024-11-21 | Common Stock | J | 52862 | — | Disposed | 0 | Direct |
| 2024-11-21 | Common Stock | J | 24314 | — | Disposed | 0 | Direct |
| 2024-11-21 | Common Stock | J | 19979 | — | Disposed | 0 | Direct |
| 2024-11-21 | Common Stock | J | 61085 | — | Acquired | 67694 | Direct |
| 2024-11-21 | Common Stock | J | 25544 | — | Acquired | 25863 | Direct |
| 2024-11-21 | Common Stock | J | 5391 | — | Acquired | 5551 | Direct |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock | 2339 | Direct |
| Common Stock | 1355 | Direct |
Footnotes
F1: These securities are owned directly by Anzu Nuburu V LLC, which may be deemed a member of a "group" for purposes of Section 13(d) of the Securities Exchange Act of 1934, as amended (the "Exchange Act") with each of the other Reporting Persons and Daniel Hirsch.
F2: Represents a pro-rata distribution in-kind by Anzu Nuburu V LLC to its members for no consideration.
F3: On July 23, 2024, the Issuer completed a one-for-forty reverse stock split of its common stock. All of the share numbers reported herein have been adjusted to reflect this reverse stock split.
F4: These securities are owned directly by Anzu Nuburu LLC, which may be deemed a member of a "group" for purposes of Section 13(d) of the Exchange Act with each of the other Reporting Persons and Mr. Hirsch.
F5: Represents a pro-rata distribution in-kind by Anzu Nuburu LLC to its members for no consideration.
F6: These securities are owned directly by Anzu Nuburu II LLC, which may be deemed a member of a "group" for purposes of Section 13(d) of the Exchange Act with each of the other Reporting Persons and Mr. Hirsch.
F7: Represents a pro-rata distribution in-kind by Anzu Nuburu II LLC to its members for no consideration.
F8: These securities are owned directly by Anzu Nuburu III LLC, which may be deemed a member of a "group" for purposes of Section 13(d) of the Exchange Act with each of the other Reporting Persons and Mr. Hirsch.
F9: Represents a pro-rata distribution in-kind by Anzu Nuburu III LLC to its members for no consideration.
F10: These securities are owned directly by David Seldin, who may be deemed a member of a "group" for purposes of Section 13(d) of the Exchange Act with each of the other Reporting Persons and Mr. Hirsch.
F11: Represents 14,223 shares received by the Reporting Person in connection with a pro-rata in-kind distribution by Anzu Nuburu LLC to its members; 7,285 shares received by the Reporting Person in connection with a pro-rata in-kind distribution by Anzu Nuburu II LLC to its members; 6,541 shares received by the Reporting Person in connection with a pro-rata in-kind distribution by Anzu Nuburu III LLC to its members; and 33,036 shares received by the Reporting Person in connection with a pro-rata in-kind distribution by Anzu Nuburu V LLC to its members, in each case for no consideration.
F12: These securities are owned directly by Anzu Partners LLC, which may be deemed a member of a "group" for purposes of Section 13(d) of the Exchange Act with each of the other Reporting Persons and Mr. Hirsch.
F13: These securities are owned directly by David & Jennifer Michael Family Ltd Partnership, which may be deemed a member of a "group" for purposes of Section 13(d) of the Exchange Act with each of the other Reporting Persons and Mr. Hirsch.
F14: These securities are owned directly by CST Global LLC, which may be deemed a member of a "group" for purposes of Section 13(d) of the Exchange Act with each of the other Reporting Persons and Mr. Hirsch.
F15: Represents 2,784 shares received by the Reporting Person in connection with a pro-rata in-kind distribution by Anzu Nuburu LLC to its members; 618 shares received by the Reporting Person in connection with a pro-rata in-kind distribution by Anzu Nuburu II LLC to its members; 497 shares received by the Reporting Person in connection with a pro-rata in-kind distribution by Anzu Nuburu III LLC to its members; and 21,645 shares received by the Reporting Person in connection with a pro-rata in-kind distribution by Anzu Nuburu V LLC to its members, in each case for no consideration.
F16: These securities are owned directly by Whitney Haring-Smith, who may be deemed a member of a "group" for purposes of Section 13(d) of the Exchange Act with each of the other Reporting Persons and Mr. Hirsch.
F17: Represents 3,210 shares received by the Reporting Person in connection with a pro-rata in-kind distribution by Anzu Nuburu LLC to its members; 1,434 shares received by the Reporting Person in connection with a pro-rata in-kind distribution by Anzu Nuburu II LLC to its members; and 747 shares received by the Reporting Person in connection with a pro-rata in-kind distribution by Anzu Nuburu III LLC to its members, in each case for no consideration.