Initial Statement of Beneficial Ownership (3)
03 February 2023 - 5:31AM
Edgar (US Regulatory)
FORM 3
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
OMB Number:
3235-0104
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
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Seldin David |
2. Date of Event Requiring Statement (MM/DD/YYYY)
1/31/2023
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3. Issuer Name and Ticker or Trading Symbol
Nuburu, Inc. [BURU]
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(Last)
(First)
(Middle)
12610 RACE TRACK ROAD, SUITE 250 |
4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
__X__ Director ___X___ 10% Owner _____ Officer (give title below) _____ Other (specify below)
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(Street)
TAMPA, FL 33626
(City)
(State)
(Zip)
| 5. If Amendment, Date Original Filed(MM/DD/YYYY)
| 6. Individual or Joint/Group Filing(Check Applicable Line)
___ Form filed by One Reporting Person
_X_ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Beneficially Owned
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1.Title of Security (Instr. 4) | 2. Amount of Securities Beneficially Owned (Instr. 4) | 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 4. Nature of Indirect Beneficial Ownership (Instr. 5) |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security (Instr. 4) | 2. Date Exercisable and Expiration Date (MM/DD/YYYY) | 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) | 4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 5) | 6. Nature of Indirect Beneficial Ownership (Instr. 5) |
Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Explanation of Responses: |
Remarks: The Reporting Persons may be deemed members 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.
Mr. Seldin and Mr. Haring-Smith are managing partners of Anzu Partners LLC and share voting and dispositive power with respect to the securities held directly by Anzu Partners LLC. Mr. Seldin, Mr. Hirsch and Ms. Herman are managers of each of Anzu Nuburu LLC, Anzu Nuburu II LLC, Anzu Nuburu III LLC and Anzu Nuburu V LLC (collectively, the "Anzu SPVs") and share voting and dispositive power with respect to the securities held directly by the Anzu SPVs. Mr. Hirsch is a director of Nuburu Inc. Each of the Reporting Persons may be deemed a director by deputization of Nuburu Inc.
The Reporting Persons are jointly filing this Form 3 pursuant to Rule 16a-3(j) under the Exchange Act. This filing shall not be deemed an admission that the Reporting Persons are subject to Section 16 of the Exchange Act.
Exhibit List: Exhibit 24 - Power of Attorney |
No securities are beneficially owned. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Seldin David 12610 RACE TRACK ROAD, SUITE 250 TAMPA, FL 33626 | X | X |
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Anzu Partners LLC 12610 RACE TRACK ROAD, SUITE 250 TAMPA, FL 33626 | X | X |
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Anzu Nuburu LLC 12610 RACE TRACK ROAD, SUITE 250 TAMPA, FL 33626 | X | X |
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Anzu Nuburu III LLC 12610 RACE TRACK ROAD, SUITE 250 TAMPA, FL 33626 | X | X |
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Anzu Nuburu V LLC 12610 RACE TRACK ROAD, SUITE 250 TAMPA, FL 33626 | X | X |
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CST Global LLC 12610 RACE TRACK ROAD, SUITE 250 TAMPA, FL 33626 | X | X |
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David & Jennifer Michael Family Ltd Partnership 12610 RACE TRACK ROAD, SUITE 250 TAMPA, FL 33626 | X | X |
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Haring-Smith Whitney 12610 RACE TRACK ROAD, SUITE 250 TAMPA, FL 33626 | X | X |
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Herman Debrah 12610 RACE TRACK ROAD, SUITE 250 TAMPA, FL 33626 | X | X |
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Signatures
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/s/ Debrah Herman, attorney-in-fact for each of the Reporting Persons | | 2/2/2023 |
**Signature of Reporting Person | Date |
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. |
* | If the form is filed by more than one reporting person, see Instruction 5(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
Note: | File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. |
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. |
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