# EDGAR Filing Document

**Accession Number:** 0001814215
**File Stem:** 0001104659-23-011733
**Filing Date:** 2023-2
**Character Count:** 9386
**Document Hash:** 46ad443788809f99578d7b814b1ad9a5
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0001104659-23-011733.hdr.sgml**: 20230207

**ACCESSION NUMBER**: 0001104659-23-011733

**CONFORMED SUBMISSION TYPE**: 4

**PUBLIC DOCUMENT COUNT**: 1

**CONFORMED PERIOD OF REPORT**: 20230131

**FILED AS OF DATE**: 20230207

**DATE AS OF CHANGE**: 20230207

**REPORTING-OWNER**: 

**OWNER DATA:**
- **COMPANY CONFORMED NAME:** Krim Philip
- **CENTRAL INDEX KEY:** 0001791876

**FILING VALUES:**
- **FORM TYPE:** 4
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 001-39489
- **FILM NUMBER:** 23595184

**MAIL ADDRESS:**
- **STREET 1:** C/O CASPER SLEEP INC., 175 GREENWICH ST.
- **STREET 2:** THREE WORLD TRADE CENTER, FLOOR 39
- **CITY:** NEW YORK
- **STATE:** NY
- **ZIP:** 10007
**ISSUER**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** Nuburu, Inc.
- **CENTRAL INDEX KEY:** 0001814215
- **STANDARD INDUSTRIAL CLASSIFICATION:** MISCELLANEOUS ELECTRICAL MACHINERY, EQUIPMENT & SUPPLIES [3690]
- **IRS NUMBER:** 000000000
- **STATE OF INCORPORATION:** DE
- **FISCAL YEAR END:** 1231

**BUSINESS ADDRESS:**
- **STREET 1:** 7442 S TUSCON WAY
- **STREET 2:** SUITE 130
- **CITY:** CENTENNIAL
- **STATE:** CO
- **ZIP:** 80112
- **BUSINESS PHONE:** (720) 767-1400

**MAIL ADDRESS:**
- **STREET 1:** 7442 S TUSCON WAY
- **STREET 2:** SUITE 130
- **CITY:** CENTENNIAL
- **STATE:** CO
- **ZIP:** 80112

**FORMER COMPANY:**
- **FORMER CONFORMED NAME:** Tailwind Acquisition Corp.
- **DATE OF NAME CHANGE:** 20200604

### UNITED STATES SECURITIES AND EXCHANGE COMMISSION
**Washington, D.C. 20549**

## FORM 4

### STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

[x] Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).

[ ] Check this box to indicate that a transaction was made pursuant to a contract, instruction or written plan for the purchase or sale of equity securities of the issuer that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c). See Instruction 10.

---

| | | |
|:---|:---|:---|
| **1. Name and Address of Reporting Person**<sup>*</sup><br>Krim Philip<br><sub>(Last) (First) (Middle)</sub><br>C/O TAILWIND SPONSOR LLC<br>1545 COURTNEY AVE<br><sub>(Street)</sub><br>LOS ANGELES, CA 90046<br><sub>(City) (State) (Zip)</sub> | **3. Date of Earliest Transaction (Month/Day/Year)**<br>2023-01-31 | **5. Relationship of Reporting Person(s) to Issuer**<br>(Check all applicable)<br>[X] Director [X] 10% Owner<br>[ ] Officer (give title below) [ ] Other (specify below)<br>_ _ |
| **2. Issuer Name and Ticker or Trading Symbol**<br>Nuburu, Inc. [ BURU ] | **4. If Amendment, Date of Original Filed (Month/Day/Year)**<br>  | **6. Individual or Joint/Group Filing (Check Applicable Line)**<br>[X] Form filed by One Reporting Person<br>[ ] Form filed by More than One Reporting Person |

---

## Table I - Non-Derivative Securities

---

|  |  |  |  |  |  |  |  |  |  |  |
| --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- |
| 1. Title of Security | 2. Transaction Date | 2A. Deemed Execution Date | 3. Transaction Code (V) | 3. Transaction Code (V) | 4. Securities Acquired (A) or Disposed of (D) | 4. Securities Acquired (A) or Disposed of (D) | 4. Securities Acquired (A) or Disposed of (D) | 5. Amount of Securities Beneficially Owned | 6. Ownership Form | 7. Nature of Indirect Beneficial Ownership |
| 1. Title of Security | 2. Transaction Date | 2A. Deemed Execution Date | Code | V | Amount | (A) or (D) | Price | 5. Amount of Securities Beneficially Owned | 6. Ownership Form | 7. Nature of Indirect Beneficial Ownership |
| Common Stock | 2023-01-31 |  | C<sup>(1)(2)(3)</sup> |  | 950000 | A | <sup>(1)(2)(3)</sup> | 950000 | I<sup>(4)</sup> | By Tailwind Sponsor LLC |

---

## Table II - Derivative Securities

---

|  |  |  |  |  |  |  |  |  |  |  |  |  |  |  |  |
| --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- |
| 1. Title of Derivative Security | 2. Conversion or Exercise Price | 3. Transaction Date | 3A. Deemed Execution Date | 4. Transaction Code (V) | 4. Transaction Code (V) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) | 6. Date Exercisable and Expiration Date | 6. Date Exercisable and Expiration Date | 7. Title and Amount of Underlying Securities | 7. Title and Amount of Underlying Securities | 8. Price of Derivative Security | 9. Number of Derivative Securities Beneficially Owned | 10. Ownership Form | 11. Nature of Indirect Beneficial Ownership |
| 1. Title of Derivative Security | 2. Conversion or Exercise Price | 3. Transaction Date | 3A. Deemed Execution Date | Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | 8. Price of Derivative Security | 9. Number of Derivative Securities Beneficially Owned | 10. Ownership Form | 11. Nature of Indirect Beneficial Ownership |
| Class B common stock | <sup>(1)(2)(3)</sup> | 2023-01-31 |  | C<sup>(1)(2)(3)</sup> |  |  | 8355393 | <sup>(1)(2)(3)</sup> | <sup>(1)(2)(3)</sup> | Common Stock | 8355393 | <sup>(1)(2)(3)</sup> | 0<sup>(1)(2)(3)</sup> | I<sup>(4)</sup> | By Tailwind Sponsor LLC |
| Series A Preferred Stock | 5<sup>(5)</sup> | 2023-01-31 |  | A<sup>(1)(2)(3)</sup> |  | 650000<sup>(1)(2)(3)</sup> |  | 2023-01-31 | <sup>(6)</sup> | Common Stock | 1300000 | <sup>(1)(2)(3)</sup> | 650000 | I<sup>(4)</sup> | By Tailwind Sponsor LLC |

---

### Footnotes:

(1) On January 31, 2023, pursuant to that certain Business Combination Agreement, dated August 5, 2022 (as it has been and may be amended, supplemented or otherwise modified from time to time, the "Business Combination Agreement"), by and among Nuburu, Inc. (f/k/a Tailwind Acquisition Corp.) (the "Issuer"), Compass Merger Sub, Inc., a wholly owned subsidiary of the Issuer ("Merger Sub"), and Nuburu Subsidiary, Inc. ("Legacy Nuburu"), Merger Sub merged with and into Legacy Nuburu, with Legacy Nuburu as the surviving company and continuing as a wholly owned subsidiary of the Issuer (the "Business Combination").

(2) In connection with the consummation of the Business Combination, the 8,355,393 shares of Class B common stock, par value $0.0001 per share, of the Issuer that were initially issued to Tailwind Sponsor LLC (the "Sponsor") in a private placement prior to the Issuer's initial public offering, were automatically converted, on a one-for-one basis, into shares of common stock, par value $0.0001 per share of the Issuer ("Common Stock"), other than (i) 7,205,393 shares that the Sponsor surrendered and forfeited in connection with the closing of the Business Combination for no additional consideration,

(3) (ii) 150,000 shares that the Sponsor transferred to Nautilus Master Fund, L.P. pursuant to that certain share transfer agreement, dated as of January 31, 2022, between the Sponsor and Nautilus Master Fund, L.P., (iii) 50,000 shares that the Sponsor transferred to Cohen & Company Capital Markets, a division of J.V.B. Financial Group, LLC, as payment for certain services rendered in connection with the Business Combination) and (iv) 650,000 shares of Series A preferred stock, par value $0.0001 per share, of the Issuer ("Preferred Stock") that were issued to the Sponsor, as a holder of record of Common Stock as of the close of business on the closing date of the Business Combination.

(4) The reporting person controls the Sponsor, and as such has voting and investment discretion with respect to the securities held by the Sponsor and may be deemed to have beneficial ownership of the securities held directly by the Sponsor.

(5) The Preferred Stock is convertible into shares of Common Stock at a conversion rate equal to $10.00 (subject to equitable adjustment in the event of a stock split, stock consolidation, subdivision or certain other events of a similar nature that increase or decrease the number of shares of Preferred Stock outstanding) divided by the lesser of (i) $11.50 and (ii) the greater of (x) 115% of the lowest volume weighted average price per share of Common Stock as displayed under the heading Bloomberg VWAP for any consecutive ninety-trading day period prior to the calculation of such VWAP and (y) $5.00, in each case subject to adjustment as set forth in the Certificate of Designations of the Preferred Stock (the "Certificate of Designations").

(6) The Preferred Stock has no expiration date. Pursuant to the Certificate of Designations and subject to certain limitations detailed therein, on January 31, 2025, the Issuer is required to either redeem the Preferred Stock for cash or convert the Preferred Stock to shares of Common Stock.

**Signature:** /s/ Philip Krim  
**Date:** 2023-02-07

### Remarks:

Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.

* If the form is filed by more than one reporting person, see Instruction 4 (b)(v).

** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).

Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.

**Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number.**