0001062993-23-016303.txt : 20230811 0001062993-23-016303.hdr.sgml : 20230811 20230811191102 ACCESSION NUMBER: 0001062993-23-016303 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20230809 FILED AS OF DATE: 20230811 DATE AS OF CHANGE: 20230811 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Herman Debrah CENTRAL INDEX KEY: 0001959913 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-39489 FILM NUMBER: 231165700 MAIL ADDRESS: STREET 1: 12610 RACE TRACK ROAD STREET 2: SUITE 250 CITY: TAMPA STATE: FL ZIP: 33626 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Haring-Smith Whitney CENTRAL INDEX KEY: 0001846535 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-39489 FILM NUMBER: 231165701 MAIL ADDRESS: STREET 1: 12610 RACE TRACT ROAD, SUITE 250 CITY: TAMPA STATE: FL ZIP: 33626 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Anzu Nuburu V LLC CENTRAL INDEX KEY: 0001959879 STATE OF INCORPORATION: FL FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-39489 FILM NUMBER: 231165705 BUSINESS ADDRESS: STREET 1: 12610 RACE TRACK ROAD STREET 2: SUITE 250 CITY: TAMPA STATE: FL ZIP: 33626 BUSINESS PHONE: 813-814-9898 MAIL ADDRESS: STREET 1: 12610 RACE TRACK ROAD STREET 2: SUITE 250 CITY: TAMPA STATE: FL ZIP: 33626 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Anzu Nuburu LLC CENTRAL INDEX KEY: 0001959884 STATE OF INCORPORATION: FL FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-39489 FILM NUMBER: 231165708 BUSINESS ADDRESS: STREET 1: 12610 RACE TRACK ROAD STREET 2: SUITE 250 CITY: TAMPA STATE: FL ZIP: 33626 BUSINESS PHONE: 813-814-9898 MAIL ADDRESS: STREET 1: 12610 RACE TRACK ROAD STREET 2: SUITE 250 CITY: TAMPA STATE: FL ZIP: 33626 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Seldin David CENTRAL INDEX KEY: 0001959900 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-39489 FILM NUMBER: 231165709 MAIL ADDRESS: STREET 1: 12610 RACE TRACK ROAD STREET 2: SUITE 250 CITY: TAMPA STATE: FL ZIP: 33626 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: David & Jennifer Michael Family Ltd Partnership CENTRAL INDEX KEY: 0001960188 STATE OF INCORPORATION: CA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-39489 FILM NUMBER: 231165703 BUSINESS ADDRESS: STREET 1: 6835 PASEO LAREDO CITY: LA JOLLA STATE: CA ZIP: 92037 BUSINESS PHONE: 813-814-9898 MAIL ADDRESS: STREET 1: 6835 PASEO LAREDO CITY: LA JOLLA STATE: CA ZIP: 92037 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Anzu Partners LLC CENTRAL INDEX KEY: 0001959972 STATE OF INCORPORATION: FL FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-39489 FILM NUMBER: 231165704 BUSINESS ADDRESS: STREET 1: 12610 RACE TRACK ROAD STREET 2: SUITE 250 CITY: TAMPA STATE: FL ZIP: 33626 BUSINESS PHONE: 813-814-9898 MAIL ADDRESS: STREET 1: 12610 RACE TRACK ROAD STREET 2: SUITE 250 CITY: TAMPA STATE: FL ZIP: 33626 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Anzu Nuburu II LLC CENTRAL INDEX KEY: 0001959974 STATE OF INCORPORATION: FL FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-39489 FILM NUMBER: 231165707 BUSINESS ADDRESS: STREET 1: 12610 RACE TRACK ROAD STREET 2: SUITE 250 CITY: TAMPA STATE: FL ZIP: 33626 BUSINESS PHONE: 813-814-9898 MAIL ADDRESS: STREET 1: 12610 RACE TRACK ROAD STREET 2: SUITE 250 CITY: TAMPA STATE: FL ZIP: 33626 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Anzu Nuburu III LLC CENTRAL INDEX KEY: 0001960024 STATE OF INCORPORATION: FL FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-39489 FILM NUMBER: 231165706 BUSINESS ADDRESS: STREET 1: 12610 RACE TRACK ROAD STREET 2: SUITE 250 CITY: TAMPA STATE: FL ZIP: 33626 BUSINESS PHONE: 813-814-9898 MAIL ADDRESS: STREET 1: 12610 RACE TRACK ROAD STREET 2: SUITE 250 CITY: TAMPA STATE: FL ZIP: 33626 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: CST Global LLC CENTRAL INDEX KEY: 0001960132 STATE OF INCORPORATION: WY FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-39489 FILM NUMBER: 231165702 BUSINESS ADDRESS: STREET 1: 6835 PASEO LAREDO CITY: LA JOLLA STATE: CA ZIP: 92037 BUSINESS PHONE: 813-814-9898 MAIL ADDRESS: STREET 1: 6835 PASEO LAREDO CITY: LA JOLLA STATE: CA ZIP: 92037 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: Nuburu, Inc. CENTRAL INDEX KEY: 0001814215 STANDARD INDUSTRIAL CLASSIFICATION: MISCELLANEOUS ELECTRICAL MACHINERY, EQUIPMENT & SUPPLIES [3690] IRS NUMBER: 000000000 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 7442 S TUSCON WAY STREET 2: SUITE 130 CITY: CENTENNIAL STATE: CO ZIP: 80112 BUSINESS PHONE: (720) 767-1400 MAIL ADDRESS: STREET 1: 7442 S TUSCON WAY STREET 2: SUITE 130 CITY: CENTENNIAL STATE: CO ZIP: 80112 FORMER COMPANY: FORMER CONFORMED NAME: Tailwind Acquisition Corp. DATE OF NAME CHANGE: 20200604 4 1 form4.xml STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES X0508 4 2023-08-09 0001814215 Nuburu, Inc. BURU 0001959900 Seldin David 12610 RACE TRACK ROAD SUITE 250 TAMPA FL 33626 0 0 1 0 0001959884 Anzu Nuburu LLC 12610 RACE TRACK ROAD SUITE 250 TAMPA FL 33626 0 0 1 0 0001959974 Anzu Nuburu II LLC 12610 RACE TRACK ROAD SUITE 250 TAMPA FL 33626 0 0 1 0 0001960024 Anzu Nuburu III LLC 12610 RACE TRACK ROAD SUITE 250 TAMPA FL 33626 0 0 1 0 0001959879 Anzu Nuburu V LLC 12610 RACE TRACK ROAD SUITE 250 TAMPA FL 33626 0 0 1 0 0001959972 Anzu Partners LLC 12610 RACE TRACK ROAD SUITE 250 TAMPA FL 33626 0 0 1 0 0001960188 David & Jennifer Michael Family Ltd Partnership 12610 RACE TRACK ROAD SUITE 250 TAMPA FL 33626 0 0 1 0 0001960132 CST Global LLC 12610 RACE TRACK ROAD SUITE 250 TAMPA FL 33626 0 0 1 0 0001846535 Haring-Smith Whitney 12610 RACE TRACK ROAD SUITE 250 TAMPA FL 33626 0 0 1 0 0001959913 Herman Debrah 12610 RACE TRACK ROAD SUITE 250 TAMPA FL 33626 0 0 1 0 0 Common Stock 2023-08-09 4 S 0 19777 0.6815 D 5645857 D Common Stock 2023-08-09 4 S 0 7859 0.6815 D 2243562 D Common Stock 2023-08-09 4 S 0 3615 0.6815 D 1031919 D Common Stock 2023-08-09 4 S 0 2970 0.6815 D 847939 D Common Stock 2023-08-09 4 S 0 983 0.6815 D 280487 D Common Stock 2023-08-09 4 S 0 348 0.6815 D 99231 D Common Stock 2023-08-09 4 S 0 201 0.6815 D 57476 D Common Stock 2023-08-09 4 S 0 47 0.6815 D 13538 D Common Stock 2023-08-09 4 S 0 24 0.6815 D 6768 D Common Stock 2023-08-10 4 S 0 323586 0.7408 D 5322271 D Common Stock 2023-08-10 4 S 0 128584 0.7408 D 2114978 D Common Stock 2023-08-10 4 S 0 59142 0.7408 D 972777 D Common Stock 2023-08-10 4 S 0 48597 0.7408 D 799342 D Common Stock 2023-08-10 4 S 0 16075 0.7408 D 264412 D Common Stock 2023-08-10 4 S 0 5687 0.7408 D 93544 D Common Stock 2023-08-10 4 S 0 3294 0.7408 D 54182 D Common Stock 2023-08-10 4 S 0 776 0.7408 D 12762 D Common Stock 2023-08-10 4 S 0 388 0.7408 D 6380 D Common Stock 2023-08-11 4 S 0 1325 0.6934 D 5320946 D Common Stock 2023-08-11 4 S 0 527 0.6934 D 2114451 D Common Stock 2023-08-11 4 S 0 242 0.6934 D 972535 D Common Stock 2023-08-11 4 S 0 199 0.6934 D 799143 D Common Stock 2023-08-11 4 S 0 66 0.6934 D 264346 D Common Stock 2023-08-11 4 S 0 23 0.6934 D 93521 D Common Stock 2023-08-11 4 S 0 13 0.6934 D 54169 D Common Stock 2023-08-11 4 S 0 3 0.6934 D 12759 D Common Stock 2023-08-11 4 S 0 2 0.6934 D 6378 D 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. The shares were sold in multiple transactions at prices ranging from $0.6202 to $0.688, inclusive. This amount represents the weighted average sale price of such transactions. The Reporting Persons undertake to provide full information regarding the number of shares sold at each separate price upon request of the Securities and Exchange Commission, the Issuer, or a security holder of the Issuer. 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. 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. 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. 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. 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. 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. 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. 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. The shares were sold in multiple transactions at prices ranging from $0.55 to $0.845, inclusive. This amount represents the weighted average sale price of such transactions. The Reporting Persons undertake to provide full information regarding the number of shares sold at each separate price upon request of the Securities and Exchange Commission, the Issuer, or a security holder of the Issuer. The shares were sold in multiple transactions at prices ranging from $0.563 to $0.74, inclusive. This amount represents the weighted average sale price of such transactions. The Reporting Persons undertake to provide full information regarding the number of shares sold at each separate price upon request of the Securities and Exchange Commission, the Issuer, or a security holder of the Issuer. The Reporting Persons may be deemed members of a "group" for purposes of Section 13(d) of the Exchange Act with each of the other Reporting Persons and Mr. 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 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 the Issuer. Each of the Reporting Persons may be deemed a director by deputization of the Issuer. The Reporting Persons are jointly filing this Form 4 pursuant to Rule 16a-3(j) under the Exchange Act. This filing shall not be deemed an admission that the Reporting Persons are beneficial owners of all securities covered by this filing for purposes of Section 16 of the Exchange Act or otherwise, or are subject to Section 16 of the Exchange Act, and each Reporting Person disclaims beneficial ownership of these securities, except to the extent of such Reporting Person's pecuniary interest therein, if any. /s/ Debrah Herman, attorney-in-fact for each of the Reporting Persons 2023-08-11