---
schema_version: "secwatch.filing_event.v1"
accession: "0001193125-23-067659"
form_type: "8-K"
ticker: "BURU"
cik: "0001814215"
company_name: "Nuburu, Inc."
filed_at: "2023-03-10T23:59:59+00:00"
generated_at: "2026-06-18T05:44:19.345759+00:00"
event_type: "other_material"
sentiment: "neutral"
materiality_score: 0.55
calibrated_materiality_score: 0.55
confidence: "high"
source: SEC EDGAR
---

# Nuburu amends lock-up and preferred sale pacts; issues shares to law firm WSGR

## Summary
- Fourth Amendment removes $5.00 minimum price requirement for Anzu investors to transfer shares.
- Third Amendment revises Option Period to two monthly windows based on trading-day thresholds.
- Issued 195,452 common shares and 195,452 Series A preferred shares to WSGR as legal fee compensation.
- Both amendments signed March 10, 2023; involve Anzu and other holders.
- Changes could increase liquidity and potential selling pressure from Anzu holders.

## SEC filing metadata
- accession: 0001193125-23-067659
- form_type: 8-K
- ticker: BURU
- cik: 0001814215
- company_name: Nuburu, Inc.
- filed_at: 2023-03-10T23:59:59+00:00
- event_type: other_material
- sentiment: neutral
- materiality_score: 0.55
- calibrated_materiality_score: 0.55
- confidence: high
- sec_items: 1.01, 3.02, 9.01
- EDGAR index: https://www.sec.gov/Archives/edgar/data/1814215/000119312523067659/0001193125-23-067659-index.htm
- EDGAR primary document: https://www.sec.gov/Archives/edgar/data/1814215/000119312523067659/d467827d8k.htm

## Machine-readable alternates
- HTML: https://secwatch.observer/filing/0001193125-23-067659
- JSON: https://secwatch.observer/filing/0001193125-23-067659.json
- Plain text: https://secwatch.observer/filing/0001193125-23-067659.txt

## Key facts
- Material Agreements
  Nuburu, Inc. amended Fourth Amendment to Registration Rights and Lock-Up Agreement with Anzu Investors and other holders valued at Expanded Permitted Transfers by Anzu Investors by removing the $5.00 per share minimum price require (effective 2023-03-10).
  - Action: amendment
  - Counterparty: Anzu Investors and other holders
  - Value: Expanded Permitted Transfers by Anzu Investors by removing the $5.00 per share minimum price require
  - Effective: 2023-03-10
  source text: The Fourth Amendment to Registration Rights and Lock-Up Agreement further amends the original Registration Rights and Lock-Up Agreement to expand the scope of “Permitted Transfers” by the Anzu Investors by removing the requirement that the price at which such transfers occur must exceed $5.00 per share of Common Stock.
  evidence_url: https://www.sec.gov/Archives/edgar/data/1814215/000119312523067659/0001193125-23-067659-index.htm
- Material Agreements
  Nuburu, Inc. amended Third Amendment to Preferred Stock Sale Option Agreement with Anzu Nuburu LLC and other Anzu SPVs valued at Revised the definition of Option Period to specify specific trading day windows for exercise periods (effective 2023-03-10).
  - Action: amendment
  - Counterparty: Anzu Nuburu LLC and other Anzu SPVs
  - Value: Revised the definition of Option Period to specify specific trading day windows for exercise periods
  - Effective: 2023-03-10
  source text: The Third Amendment to Preferred Stock Sale Option Agreement further amends the Preferred Stock Sale Option Agreement to revise the definition of an “Option Period” during which the Company may exercise the Option (as defined in the Preferred Stock Sale Option Agreement) to mean (i) the first through third trading day of each month, with respect to permitted transfers made by the holder during the period beginning with the start of the eleventh trading day of the preceding month and continuing through the end of the preceding month, and (ii) the eleventh through thirteenth trading day of each month, with respect to permitted transfers made during the first ten trading days of that month.
  evidence_url: https://www.sec.gov/Archives/edgar/data/1814215/000119312523067659/0001193125-23-067659-index.htm

This AI-assisted summary is a reading aid. Review the linked SEC EDGAR filing before relying on any specific claim.