Garling Jill's Form 4 filing
Nuburu, Inc.BURU · filed Jun 15, 2023
- Accession no.
- 0000899243-23-015661
- Filed
- Jun 15, 2023, 8:17 PM ET
- Trade date
- Jun 13, 2023
- Filing delay
- 2 days
- Rule 10b5-1 plan
- Not checked
This filing lists 2 derivative transactions. It was filed 2 days after the trade.
Reporting owners
A Form 4 can have several reporting owners, such as a person and a fund they control. Trade tables show the first one.
| Owner | Relationship to the company |
|---|---|
| Garling JillCIK 0001960201 | 10% Owner |
Non-derivative securities (Table I)
Acquisitions and disposals of common stock and similar shares, one row per line on the filing.
This filing has no transactions of this kind.
Derivative securities (Table II)
Options, warrants, restricted stock units and similar. Shares are the underlying shares; price and value are for the derivative itself, and the holding after is in derivative units.
| Trade date | Security | Transaction | Underlying shares | Unit price | Value | Held after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Jun 13, 2023 | Common Stock | PPurchaseAcquired | +2,906,977 | $2,000,000.00 | – | 2,906,977 | Indirect | Price outlier |
| Jun 13, 2023 | Common Stock | PPurchaseAcquired | +2,906,977 | –F4 | – | 2,906,977 | Indirect |
Footnotes and remarks
Livermore keeps the footnotes that transaction prices refer to, all footnotes of amendments (Form 4/A) and the filing's remarks. Other footnotes, such as how indirect holdings are held or the details of a trading plan, are only in the original on SEC EDGAR.
- F4
The Warrant was issued pursuant to the Purchase Agreement in connection with the purchase of the Note as partial consideration for the Note.
Referenced by the price of 1 transaction in Table II.
Remarks
The Reporting Person may be deemed a member of a "group" for purposes of Section 13(d) of the Exchange Act. The Reporting Person disclaims beneficial ownership of the shares of the Issuer's common stock owned by the other members of the Section 13(d) group except to the extent of her pecuniary interest therein.