S-1/A 1 buru_s-1_eloc_amend_1.htm S-1/A S-1/A

 

As filed with the Securities and Exchange Commission on June 18, 2025

Registration No. 333-287867

 

 

UNITED STATES SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

 

Amendment No. 1 to

FORM S-1

REGISTRATION STATEMENT

Under

The Securities Act of 1933

 

NUBURU, INC.

(Exact name of Registrant as specified in its charter)

 

Delaware

3690

85-1288435

(State or other jurisdiction of
incorporation or organization)

(Primary Standard Industrial
Classification Code Number)

(I.R.S. Employer
Identification Number)

7442 S Tucson Way, Suite 130

Centennial, CO 80112

Telephone: (720) 767-1400

(Address, including zip code, and telephone number, including area code, of Registrant’s principal executive offices)

 

Alessandro Zamboni

Executive Chairman

7442 S Tucson Way, Suite 130

Centennial, CO 80112

Telephone: (720) 767-1400

(Name, address, including zip code, and telephone number, including area code, of agent for service)

 

Copies to:

Amy Bowler

Holland & Hart LLP

555 17th Street, Suite 3200

Denver, CO 80202-3921

Tel: (303) 295-8000

 

Approximate date of commencement of proposed sale to the public: From time to time after the effective date of this Registration Statement.

If any of the securities being registered on this Form are to be offered on a delayed or continuous basis pursuant to Rule 415 under the Securities Act of 1933, check the following box.

If this Form is filed to register additional securities for an offering pursuant to Rule 462(b) under the Securities Act, please check the following box and list the Securities Act registration statement number of the earlier effective registration statement for the same offering.

If this Form is a post-effective amendment filed pursuant to Rule 462(c) under the Securities Act, check the following box and list the Securities Act registration statement number of the earlier effective registration statement for the same offering.

If this Form is a post-effective amendment filed pursuant to Rule 462(d) under the Securities Act, check the following box and list the Securities Act registration statement number of the earlier effective registration statement for the same offering.

Indicate by check mark whether the Registrant is a large accelerated filer, an accelerated filer, a non-accelerated filer, a smaller reporting company or an emerging growth company. See the definitions of “large accelerated filer”, “accelerated filer”, “smaller reporting company” and “emerging growth company” in Rule 12b-2 of the Exchange Act. (Check one):

 

Large accelerated filer

Accelerated filer

Non-accelerated filer

Smaller reporting company

Emerging growth company

If an emerging growth company, indicate by check mark if the Registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided to Section 7(a)(2)(B) of the Securities Act.

 

The Registrant hereby amends this registration statement on such date or dates as may be necessary to delay its effective date until the Registrant shall file a further amendment which specifically states that this registration statement shall thereafter become effective in accordance with Section 8(a) of the Securities Act of 1933, as amended, or until the registration statement shall become effective on such date as the Securities and Exchange Commission, acting pursuant to said Section 8(a), may determine.

 


 

EXPLANATORY NOTE

This Amendment No. 1 to the Registration Statement on Form S-1 of Nuburu, Inc. (the “Company”) (File No. 333-287867) is being filed as an exhibit-only filing solely to file the opinion and consent of Holland & Hart LLP as Exhibit 5.1. Accordingly, this Amendment consists only of the facing page, this explanatory note, Item 16 of Part II of the Registration Statement, the signature pages to the Registration Statement, and the referenced exhibit. The prospectus and the balance of Part II of the Registration Statement are unchanged hereby and have been omitted.

 

 


 

Item 16. Exhibits and Financial Statement Schedules

(a) Exhibits

 

 

 

 

 

Incorporated by Reference

 

Exhibit No.

Description

 

Form

 

File No.

 

Exhibit No.

 

Filing Date

 

 

 

 

 

 

 

 

 

 

 

 

 

2.1†

 

Business Combination Agreement, dated as of August 5, 2022, by and among Tailwind Acquisition Corp., Compass Merger Sub, Inc. and Nuburu, Inc.

 

8-K

 

001-39489

 

2.1

 

August 8, 2022

 

 

 

 

 

 

 

 

 

 

 

 

 

3.1

 

Amended and Restated Bylaws of the Company.

 

8-K

 

001-39489

 

3.2

 

September 9, 2020

 

 

 

 

 

 

 

 

 

 

 

 

3.2

 

Amended and Restated Certificate of Incorporation of the Company.

 

8-K

 

001-39489

 

3.1

 

February 6, 2023

 

 

 

 

 

 

 

 

 

 

 

 

3.3

 

Certificate of Designations of the Company.

 

8-K

 

001-39489

 

3.3

 

February 6, 2023

 

 

 

 

 

 

 

 

 

 

 

 

 

3.4

 

Certificate of Amendment to Amended and Restated Certificate of Incorporation of the Company.

 

8-K

 

001-39489

 

3.1

 

June 13, 2024

 

 

 

 

 

 

 

 

 

 

 

 

 

3.5

 

Amendment to the Amended and Restated By Laws of the Company, dated November 12, 2024.

 

8-K

 

001-39489

 

3.1

 

November 12, 2024

 

 

 

 

 

 

 

 

 

 

 

 

 

4.1

 

Specimen Common Stock Certificate .

 

8-K

 

001-39489

 

4.1

 

February 6, 2023

 

 

 

 

 

 

 

 

 

 

 

 

4.2

 

Specimen Preferred Stock Certificate .

 

8-K

 

001-39489

 

4.2

 

February 6, 2023

 

 

 

 

 

 

 

 

 

 

 

 

4.3

 

Specimen Warrant Certificate.

 

S-1

 

333-248113

 

4.3

 

August 26, 2020

 

 

 

 

 

 

 

 

 

 

 

 

 

4.4

 

Warrant Agreement, dated as of September 9, 2020, by and between the Company and Continental Stock Transfer & Trust Company.

 

8-K

 

001-39489

 

4.1

 

September 9, 2020

 

 

 

 

 

 

 

 

 

 

 

 

4.5

 

Description of Registrant’s Securities.

 

10-K

 

001-39489

 

4.5

 

April 15, 2024

 

 

 

 

 

 

 

 

 

 

 

 

 

5.1*

 

Opinion of Holland & Hart LLP.

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

10.1

 

Investment Management Trust Agreement, dated as of September 9, 2020, by and between the Company and Continental Stock Transfer & Trust Company.

 

8-K

 

001-39489

 

10.2

 

September 9, 2020

 

 

 

 

 

 

 

 

 

 

 

 

10.2

 

Third Amendment to Amended and Restated Registration Rights Lock-up Agreement, dated January 31, 2023, by and among the Company and the Holders (defined therein).

 

8-K

 

001-39489

 

10.14

 

February 6, 2023

 

 

 

 

 

 

 

 

 

 

 

 

 

10.3

 

Fourth Amendment to Amended and Restated Registration Rights Lock-up Agreement, dated March 10, 2023, by and among the Company and the Holders (defined therein).

 

8-K

 

001-39489

 

10.1

 

March 10, 2023

 

 

 

 

 

 

 

 

 

 

 

 

 

10.4

 

Preferred Stock Sale Option Agreement, dated August 5, 2022, by and among the Company and the parties listed on Schedule A thereto.

 

8-K

 

001-39489

 

10.4

 

August 8, 2022

 

 

 

 

 

 

 

 

 

 

 

 

 

 


 

10.5

 

Amendment to Preferred Stock Sale Option Agreement, dated November 22, 2022, by and among the Company and the Holders (as defined therein).

 

8-K

 

001-39489

 

10.3

 

November 22, 2022

 

 

 

 

 

 

 

 

 

 

 

 

 

10.6

 

Second Amendment to Preferred Stock Sale Option Agreement, dated November 28, 2022 by and among the Company and the Holders (as defined therein).

 

8-K

 

001-39489

 

10.1

 

November 29, 2022

 

 

 

 

 

 

 

 

 

 

 

 

 

10.7

 

Third Amendment to Preferred Stock Sale Option Agreement, dated November 28, 2022 by and among the Company and the Holders (as defined therein).

 

8-K

 

001-39489

 

10.2

 

March 10, 2023

 

 

 

 

 

 

 

 

 

 

 

 

 

10.8#

 

Nuburu, Inc. 2022 Equity Incentive Plan.

 

8-K

 

001-39489

 

10.20

 

February 6, 2023

 

 

 

 

 

 

 

 

 

 

 

 

 

10.9#

 

Nuburu, Inc. 2022 Employee Stock Purchase Plan and forms of agreement thereunder.

 

8-K

 

001-39489

 

10.21

 

February 6, 2023

 

 

 

 

 

 

 

 

 

 

 

 

 

10.10#

 

Nuburu, Inc. Executive Incentive Compensation Plan.

 

8-K

 

001-39489

 

10.22

 

February 6, 2023

 

 

 

 

 

 

 

 

 

 

 

 

 

10.11#†

 

Amended and Restated Employment Agreement, effective December 3, 2022, by and between Mark Zediker and Legacy Nuburu.

 

S-4/A

 

333-267403

 

10.18

 

November 29, 2022

 

 

 

 

 

 

 

 

 

 

 

 

 

10.12#

 

Employment Agreement, effective December 2, 2022, by and between Brian Knaley and Legacy Nuburu.

 

S-4/A

 

333-267403

 

10.19

 

November 29, 2022

 

 

 

 

 

 

 

 

 

 

 

 

 

10.13#†

 

Amended and Restated Employment Agreement, effective December 2, 2022, by and between Brian Faircloth and Legacy Nuburu.

 

S-4/A

 

333-267403

 

10.20

 

November 29, 2022

 

 

 

 

 

 

 

 

 

 

 

 

 

10.14#

 

Form of Director Letter Agreement.

 

S-4/A

 

333-267403

 

10.22

 

November 29, 2022

 

 

 

 

 

 

 

 

 

 

 

 

 

10.15#

 

Form of Nuburu, Inc. Indemnification Agreement.

 

8-K

 

001-39489

 

10.27

 

February 6, 2023

 

 

 

 

 

 

 

 

 

 

 

 

 

10.16

 

Form of Convertible Promissory Note.

 

8-K

 

001-39489

 

4.1

 

June 13, 2023

 

 

 

 

 

 

 

 

 

 

 

 

 

10.17

 

Form of Warrant to Purchase Shares of Common Stock.

 

8-K

 

001-39489

 

4.2

 

June 13, 2023

 

 

 

 

 

 

 

 

 

 

 

 

 

10.18

 

Note and Warrant Purchase Agreement dated June 12, 2023.

 

8-K

 

001-39489

 

10.1

 

June 13, 2023

 

 

 

 

 

 

 

 

 

 

 

 

 

10.19

 

Registration Rights and Lock-up Agreement.

 

8-K

 

001-39489

 

10.2

 

June 13, 2023

 

 

 

 

 

 

 

 

 

 

 

 

 

10.20

 

Confidential Separation and Release Agreement, dated November 1, 2023, by and between Nuburu, Inc. and Dr. Mark Zediker.

 

10-Q

 

001-39489

 

10.4

 

November 9, 2023

 

 

 

 

 

 

 

 

 

 

 

 

 

10.21

 

Note and Warrant Purchase Agreement, dated November 13, 2023, by and between Nuburu, Inc. and the lenders party thereto.

 

10-K

 

001-39489

 

10.39

 

April 15, 2024

 

 

 

 

 

 

 

 

 

 

 

 

 

10.22

 

Form of Promissory Note.

 

10-K

 

001-39489

 

10.40

 

April 15, 2024

 

 


 

 

 

 

 

 

 

 

 

 

 

 

 

10.23

 

Form of Warrant to Purchase Shares of Common Stock.

 

10-K

 

001-39489

 

10.41

 

April 15, 2024

 

 

 

 

 

 

 

 

 

 

 

 

 

10.24

 

Registration Rights Agreement, dated November 13, 2023, by and between Nuburu, Inc.

 

10-K

 

001-39489

 

10.42

 

April 15, 2024

 

 

 

 

 

 

 

 

 

 

 

 

 

10.25

 

Intercreditor and Subordination Agreement, dated November 13, 2023, by and between Nuburu, Inc. and the parties thereto.

 

10-K

 

001-39489

 

10.43

 

April 15, 2024

 

 

 

 

 

 

 

 

 

 

 

 

 

10.26

 

Form of Warrant to Purchase Shares of Common Stock

 

10-K

 

001-39489

 

10.46

 

April 15, 2024

 

 

 

 

 

 

 

 

 

 

 

 

 

10.27

 

Board of Directors Compensation Policy

 

10-K

 

001-39489

 

10.47

 

April 15, 2024

 

 

 

 

 

 

 

 

 

 

 

 

 

10.28

 

Amendment to Employment Agreement, effective November 1, 2023, by and between Nuburu, Inc. and Brian Knaley.

 

10-K/A

 

001-39489

 

10.48

 

April 29, 2024

 

 

 

 

 

 

 

 

 

 

 

 

 

10.29

 

Amendment to Employment Agreement, effective January 1, 2024, by and between Nuburu, Inc. and Brian Faircloth.

 

10-K/A

 

001-39489

 

10.49

 

April 29, 2024

 

 

 

 

 

 

 

 

 

 

 

 

 

10.30

 

Securities Purchase Agreement, dated August 6, 2024, by and between Nuburu, Inc. and Esousa Group Holdings LLC.

 

8-K

 

001-39489

 

10.1

 

August 12, 2024

 

 

 

 

 

 

 

 

 

 

 

 

 

10.31

 

Exchange Agreement, dated August 6, 2024, by and between Nuburu, Inc. and Esousa Group Holdings LLC.

 

8-K

 

001-39489

 

10.2

 

August 12,2024

 

 

 

 

 

 

 

 

 

 

 

 

 

10.32

 

Securities Purchase Agreement, dated August 19, 2024, by and between Nuburu, Inc. and Esousa Group Holdings LLC

 

8-K

 

001-39489

 

10.1

 

August 23, 2024

 

 

 

 

 

 

 

 

 

 

 

 

 

10.33

 

Exchange Agreement, dated August 19, 2024, by and between Nuburu, Inc. and Esousa Group Holdings LLC

 

8-K

 

001-39489

 

10.2

 

August 23, 2024

 

 

 

 

 

 

 

 

 

 

 

 

 

10.34

 

Common Stock Purchase Agreement, dated October 1, 2024, by and between Nuburu, Inc. and Liqueous LP

 

8-K

 

001-39489

 

10.1

 

October 7, 2024

 

 

 

 

 

 

 

 

 

 

 

 

 

10.35

 

Registration Rights Agreement, dated October 1, 2024, by and between Nuburu, Inc. and Liqueous LP

 

8-K

 

001-39489

 

10.2

 

October 7, 2024

 

 

 

 

 

 

 

 

 

 

 

 

 

10.36

 

Master Transaction Summary agreement, dated October 1, 2024, between Nuburu, Inc. and Liqueous LP

 

10-Q

 

001-39489

 

10.5

 

November 14, 2024

 

 

 

 

 

 

 

 

 

 

 

 

 

10.37

 

Common Stock Purchase Agreement, dated October 1, 2024, between Nuburu, Inc. and Liqueous LP

 

10-Q

 

001-39489

 

10.6

 

November 14, 2024

 

 

 

 

 

 

 

 

 

 

 

 

 

10.38

 

Securities Purchase Agreement, dated October 1, 2024, between Nuburu, Inc. and Liqueous LP

 

10-Q

 

001-39489

 

10.7

 

November 14, 2024

 

 

 

 

 

 

 

 

 

 

 

 

 

 


 

10.39

 

Securities Purchase Agreement, dated October 1, 2024, between Nuburu, Inc. and Liqueous LP

 

10-Q

 

001-39489

 

10.8

 

November 14, 2024

 

 

 

 

 

 

 

 

 

 

 

 

 

10.40

 

Registration Rights Agreement, dated October 1, 2024, between Nuburu, Inc. and Liqueous LP

 

10-Q

 

001-39489

 

10.9

 

November 14, 2024

 

 

 

 

 

 

 

 

 

 

 

 

 

10.41

 

Proposal Letter dated January 13, 2025,among S.F.E. Equity Investments SARL, The AvantGarde Group S.p.A., Alessandro Zamboni and the Company

 

10-Q

 

001-39489

 

10.1

 

May 20, 2025

 

 

 

 

 

 

 

 

 

 

 

 

 

10.42

 

Comprehensive Settlement Agreement, Mutual Release of Liability and Indemnification dated January 14, 2025, between the Company and Liqueous LP

 

10-Q

 

001-39489

 

10.2

 

May 20, 2025

 

 

 

 

 

 

 

 

 

 

 

 

 

10.43

 

Amendment to Comprehensive Settlement Agreement, Mutual Release of Liability and Indemnification dated February 14, 2025 between the Company and Liqueous, LP

 

10-Q

 

001-39489

 

10.3

 

May 20, 2025

 

 

 

 

 

 

 

 

 

 

 

 

 

10.44

 

Second Amendment to Comprehensive Settlement Agreement, Mutual Release of Liability and Indemnification, dated February 17, 2025, between the Company and Liqueous LP

 

10-Q

 

001-39489

 

10.4

 

May 20, 2025

 

 

 

 

 

 

 

 

 

 

 

 

 

10.45

 

Binding and Irrevocable Commitment Letter, dated February 14, 2025, among the Company, Trumar Capital LLC and Ambrogio D'Arrezzo

 

10-Q

 

001-39489

 

10.5

 

May 20, 2025

 

 

 

 

 

 

 

 

 

 

 

 

 

10.46

 

Subordinated Convertible Note, dated March 3, 2025, between the Company and Indigo Capital LP

 

10-Q

 

001-39489

 

10.6

 

May 20, 2025

 

 

 

 

 

 

 

 

 

 

 

 

 

10.47

 

Subordinated Convertible Exchange Note, dated March 3, 2025, between the Company and Indigo Capital LP

 

10-Q

 

001-39489

 

10.7

 

May 20, 2025

 

 

 

 

 

 

 

 

 

 

 

 

 

10.48

 

On Demand Facility Agreement, dated March 18, 2025, between the Company and Supply@ME Capital plc

 

10-Q

 

001-39489

 

10.8

 

May 20, 2025

 

 

 

 

 

 

 

 

 

 

 

 

 

10.49

 

Standby Equity Purchase Agreement, dated May 30, 2025, between the Company and YA II PN, LTD.

 

DEF 14A

 

001-39489

 

Appendix F

 

June 10, 2025

 

 

 

 

 

 

 

 

 

 

 

 

 

19.1

 

Insider Trading Policy

 

10-K

 

001-39489

 

19.1

 

April 15, 2025

 

 

 

 

 

 

 

 

 

 

 

 

 

21.1

 

List of Subsidiaries of Nuburu, Inc.

 

8-K

 

001-39489

 

21.1

 

February 6, 2023

 

 

 

 

 

 

 

 

 

 

 

 

 

23.1**

 

Consent of WithumSmith+Brown, PC, Independent Registered Public Accounting Firm for the Company.

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

23.2*

 

Consent of Holland & Hart LLP (included in Exhibit 5.1).

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 


 

24.1

 

Powers of Attorney (included on the signature page of the initial filing of this registration statement).

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

97

 

Nuburu, Inc. Clawback Policy

 

10-K

 

001-39489

 

97

 

April 15, 2025

 

 

 

 

 

 

 

 

 

 

 

 

 

107**

 

Calculation of Filing Fee Table.

 

 

 

 

 

 

 

 

 

 

† Certain of the exhibits and schedules to these exhibits have been omitted in accordance with Regulation S-K Item 601(a)(5). The registrant agrees to furnish a copy of all omitted exhibits and schedules to the SEC upon its request.

# Indicates management contract or compensatory plan or arrangement.

* Filed herewith.

** Previously filed.

 

 


 

Signatures

Pursuant to the requirements of the Securities Act of 1933, the registrant has duly caused this registration statement to be signed on its behalf by the undersigned, thereunto duly authorized, in the City of Centennial, State of Colorado, on June 18, 2025.

 

 

NUBURU, INC.

 

By:

/s/ Alessandro Zamboni

Name:

Alessandro Zamboni

Title:

Executive Chairman

 

Pursuant to the requirements of the Securities Act of 1933, this registration statement has been signed by the following persons in the capacities and on the dates indicated:

 

 

Name

 

Position

 

Date

 

 

 

 

/s/ Alessandro Zamboni

 

Executive Chairman

 

June 18, 2025

Alessandro Zamboni

 

(Principal Executive Officer and Principal Financial and Accounting Officer)

 

 

 

 

 

 

 

*

 

Director

 

June 18, 2025

Matteo Ricchebuono

 

 

 

 

 

 

 

 

 

*

 

Director

 

June 18, 2025

Shawn Taylor

 

 

 

 

 

 

 

 

 

*

 

Director

 

June 18, 2025

Dario Barisoni