Nuburu, Inc. (BURU): Nasdaq/NYSE listing notice — Nuburu received NYSE warning for issuing 4.6M shares without approval; matter resolved

Nuburu, Inc.

Issued ~4.6M common shares May-Aug 2024 on conversion of convertible notes without NYSE prior approval.
Violated NYSE American Sections 301 (unlisted share issuance) and 713 (20%+ stockholder vote).
Company implementing additional controls to prevent future violations.
NYSE Regulation confirmed the matter is resolved after filing this 8-K and press release.
No delisting proceeding initiated; warning letter is final action.

item 3.01 item 8.01 item 9.01

Key facts

Extracted from this filing and checked against the source text.

Listing & Compliance Notices SEC 8-K Item 3.01 confidence 0.9

Nuburu, Inc. received a nyse_american deficiency notice notice regarding other (rules 301, 713).

Exchange: nyse american
Notice: deficiency notice
Rules: 301, 713

Exact text from the filing

December 5, 2024, Nuburu, Inc. (the “Company”) received from NYSE Regulation a Warning Letter (the “Letter”) as provided under Section 1009(a) of the NYSE American LLC Company Guide (the “Company Guide”) describing violations by the Company of Sections 301 and 713 of the Company Guide. Section 301 of the Company Guide prohibits a listed company from issuing, or authorizing its transfer agent or registrar to issue or register, additional securities of a listed class until it has filed an application for the listing of such additional securities and received notification from the NYSE American t

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Nuburu, Inc. filing history →

Source: SEC EDGAR

accession 0000950170-24-135448

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