04/22/2026 | Press release | Distributed by Public on 04/22/2026 14:54
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FORM 4
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES 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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| Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
| 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. | SEC 1474 (9-02) | ||
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1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) |
4. Transaction Code (Instr. 8) |
5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4, and 5) |
6. Date Exercisable and Expiration Date (Month/Day/Year) |
7. Title and Amount of Underlying Securities (Instr. 3 and 4) |
8. Price of Derivative Security (Instr. 5) |
9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) |
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
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| Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
| Reporting Owner Name / Address | Relationships | |||
| Director | 10% Owner | Officer | Other | |
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Zamboni Alessandro C/O NUBURU, INC. 44 COOK STREET, SUITE 100 DENVER, CO 80206 |
X | Co-Chief Executive Officer | ||
| /s/ Alessandro Zamboni | 04/22/2026 | |
| **Signature of Reporting Person | Date |
| * | If the form is filed by more than one reporting person, see Instruction 4(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). |
| (1) | On October 1, 2025, the reporting person was granted 1,774,000 restricted stock units, which vested on October 31, 2025. Nuburu, Inc. (the "Company") effected a reverse stock split on February 27, 2026, and its common stock began trading on a 1-for-4.99 split-adjusted basis (with every 4.99 shares being converted into a single share) at the commencement of trading on March 2, 2026 (the "2026 Reverse Stock Split"). The number of restricted stock units in the table has been adjusted for the 2026 Reverse Stock Split. |
| (2) | On December 31, 2025, Vanguard Holdings S.r.l., an entity owned by the reporting person, converted (i) a convertible promissory note in the amount of $545,000 issued by Nuburu, Inc. (the "Company"), plus outstanding interest, and (ii) a convertible promissory note in the amount of $900,000 issued by the Company, plus outstanding interest, in exchange for 21,619,298 shares of common stock at a conversion price equal to a 33.33% discount to the lowest daily volume weighted average price as reported by Bloomberg L.P. during the five days prior to the conversion date. The number of shares acquired and the price per share in the table have been adjusted for the 2026 Reverse Stock Split. |