Nicol Ronald Lee's Form 4 filing
Nuburu, Inc.BURU · filed Dec 8, 2023
- Accession no.
- 0000950170-23-069065
- Filed
- Dec 8, 2023
- Trade date
- Dec 6, 2023
- Filing delay
- 2 days
- Rule 10b5-1 plan
- Not checked
This filing lists 1 derivative transaction. 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 |
|---|---|
| Nicol Ronald LeeCIK 0001952798 | Director |
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 |
|---|---|---|---|---|---|---|---|---|
| Dec 6, 2023 | Common Stock | PPurchaseAcquired | +4,400,000 | –F2 | – | 4,400,000 | 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.
- F2
The Warrant was issued pursuant to the Purchase Agreement in connection with the purchase of a secured promissory note as partial consideration for the secured promissory note. The total consideration paid by the reporting person pursuant to the Purchase Agreement was $1,000,000.
Referenced by the price of 1 transaction in Table II.