Haring-Smith Whitney 的 Form 4 申報
Nuburu, Inc.BURU，2023/8/11 申報
- 申報編號
- 0001062993-23-016303
- 申報時間
- 2023/8/11 19:11 ET
- 交易日
- 2023/8/9-8/11
- 申報延遲
- 2 天
- 10b5-1 計畫
- 沒有勾選
這份申報列了 27 筆非衍生性交易。公開市場賣出合計 $46.0 萬。交易後 2 天申報。
申報人
一份 Form 4 可以有好幾位申報人，例如本人與他控制的基金。各交易表上顯示的是第一位。
| 申報人 | 與公司的關係 |
|---|---|
| Haring-Smith WhitneyCIK 0001846535 | 持股 10% 以上大股東 |
| Anzu Nuburu V LLCCIK 0001959879 | 持股 10% 以上大股東 |
| Anzu Nuburu LLCCIK 0001959884 | 持股 10% 以上大股東 |
| Seldin DavidCIK 0001959900 | 持股 10% 以上大股東 |
| Herman DebrahCIK 0001959913 | 持股 10% 以上大股東 |
| Anzu Partners LLCCIK 0001959972 | 持股 10% 以上大股東 |
| Anzu Nuburu II LLCCIK 0001959974 | 持股 10% 以上大股東 |
| Anzu Nuburu III LLCCIK 0001960024 | 持股 10% 以上大股東 |
| CST Global LLCCIK 0001960132 | 持股 10% 以上大股東 |
| David & Jennifer Michael Family Ltd PartnershipCIK 0001960188 | 持股 10% 以上大股東 |
非衍生性證券（表 I）
普通股等股票的取得與處分，每一列是申報上的一筆。
| 交易日 | 證券 | 交易 | 股數 | 價格 | 金額 | 交易後持股 | 持有方式 | 旗標 |
|---|---|---|---|---|---|---|---|---|
| 2023/8/9 | Common Stock | S賣出處分 | −19,777 | $0.6815F2 | −$13,478.03 | 5,645,857 | 直接 | |
| 2023/8/9 | Common Stock | S賣出處分 | −7,859 | $0.6815F2 | −$5,355.91 | 2,243,562 | 直接 | |
| 2023/8/9 | Common Stock | S賣出處分 | −3,615 | $0.6815F2 | −$2,463.62 | 1,031,919 | 直接 | |
| 2023/8/9 | Common Stock | S賣出處分 | −2,970 | $0.6815F2 | −$2,024.06 | 847,939 | 直接 | |
| 2023/8/9 | Common Stock | S賣出處分 | −983 | $0.6815F2 | −$669.91 | 280,487 | 直接 | |
| 2023/8/9 | Common Stock | S賣出處分 | −348 | $0.6815F2 | −$237.16 | 99,231 | 直接 | |
| 2023/8/9 | Common Stock | S賣出處分 | −201 | $0.6815F2 | −$136.98 | 57,476 | 直接 | |
| 2023/8/9 | Common Stock | S賣出處分 | −47 | $0.6815F2 | −$32.03 | 13,538 | 直接 | |
| 2023/8/9 | Common Stock | S賣出處分 | −24 | $0.6815F2 | −$16.36 | 6,768 | 直接 | |
| 2023/8/10 | Common Stock | S賣出處分 | −323,586 | $0.7408F11 | −$239,712.51 | 5,322,271 | 直接 | |
| 2023/8/10 | Common Stock | S賣出處分 | −128,584 | $0.7408F11 | −$95,255.03 | 2,114,978 | 直接 | |
| 2023/8/10 | Common Stock | S賣出處分 | −59,142 | $0.7408F11 | −$43,812.39 | 972,777 | 直接 | |
| 2023/8/10 | Common Stock | S賣出處分 | −48,597 | $0.7408F11 | −$36,000.66 | 799,342 | 直接 | |
| 2023/8/10 | Common Stock | S賣出處分 | −16,075 | $0.7408F11 | −$11,908.36 | 264,412 | 直接 | |
| 2023/8/10 | Common Stock | S賣出處分 | −5,687 | $0.7408F11 | −$4,212.93 | 93,544 | 直接 | |
| 2023/8/10 | Common Stock | S賣出處分 | −3,294 | $0.7408F11 | −$2,440.2 | 54,182 | 直接 | |
| 2023/8/10 | Common Stock | S賣出處分 | −776 | $0.7408F11 | −$574.86 | 12,762 | 直接 | |
| 2023/8/10 | Common Stock | S賣出處分 | −388 | $0.7408F11 | −$287.43 | 6,380 | 直接 | |
| 2023/8/11 | Common Stock | S賣出處分 | −1,325 | $0.6934F12 | −$918.76 | 5,320,946 | 直接 | |
| 2023/8/11 | Common Stock | S賣出處分 | −527 | $0.6934F12 | −$365.42 | 2,114,451 | 直接 | |
| 2023/8/11 | Common Stock | S賣出處分 | −242 | $0.6934F12 | −$167.8 | 972,535 | 直接 | |
| 2023/8/11 | Common Stock | S賣出處分 | −199 | $0.6934F12 | −$137.99 | 799,143 | 直接 | |
| 2023/8/11 | Common Stock | S賣出處分 | −66 | $0.6934F12 | −$45.76 | 264,346 | 直接 | |
| 2023/8/11 | Common Stock | S賣出處分 | −23 | $0.6934F12 | −$15.95 | 93,521 | 直接 | |
| 2023/8/11 | Common Stock | S賣出處分 | −13 | $0.6934F12 | −$9.01 | 54,169 | 直接 | |
| 2023/8/11 | Common Stock | S賣出處分 | −3 | $0.6934F12 | −$2.08 | 12,759 | 直接 | |
| 2023/8/11 | Common Stock | S賣出處分 | −2 | $0.6934F12 | −$1.39 | 6,378 | 直接 |
附註與備註
本站收錄交易價格引用的附註、修正申報（Form 4/A）的全部附註，以及申報的備註。其他附註，例如間接持有的方式、交易計畫的細節，請看 SEC EDGAR 上的原文。
- F2
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.
表 I 有 9 筆交易的價格引用這則附註。
- F11
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.
表 I 有 9 筆交易的價格引用這則附註。
- F12
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.
表 I 有 9 筆交易的價格引用這則附註。
備註
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.