SUSQUEHANNA SECURITIES, LLC enters NUBURU, INC. with 453.67K shares plus derivative instruments

Holding both equity and derivatives at entry signals strong long-term conviction in the company.

Direct Derivatives

SUSQUEHANNA SECURITIES, LLC

Filed: 9/19/2022ACC: 0001104659-22-101132

InsiderSUSQUEHANNA SECURITIES, LLCCIK 1446580

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IssuerNUBURU, INC.CIK 1814215

10% Owner

Since Sep 2022

453.67K

Baseline shares

100% direct

453.67K

Direct ownership

1 position

587.20K

Derivative underlying

13 instruments

Security positions

All direct

Non-Derivative Holdings1

Class A Common Stock

Direct

Shares owned453.67K

Total

453.67K direct453.67K

Security Title	Shares Owned	Ownership Type
Class A Common Stock	453.67K	Direct
Total	453.67K	453.67K direct

Derivative Holdings13

Put Option (right to sell)

Direct

Underlying security

Class A Common Stock

Underlying shares

200.00

Shares owned

N/A

Exercise price

15.00

Expiration

—

Exercise window

—

Warrants (right to buy)

Direct

Underlying security

Class A Common Stock

Underlying shares

75K

Shares owned

N/A

Exercise price

11.50

Expiration

—

Exercise window

—

Put Option (right to sell)

Direct

Underlying security

Class A Common Stock

Underlying shares

2.60K

Shares owned

N/A

Exercise price

12.50

Expiration

—

Exercise window

—

Call Option (obligation to sell)

Direct

Underlying security

Class A Common Stock

Underlying shares

Shares owned

N/A

Exercise price

12.50

Expiration

—

Exercise window

—

Put Option (right to sell)

Direct

Underlying security

Class A Common Stock

Underlying shares

95.20K

Shares owned

N/A

Exercise price

10.00

Expiration

—

Exercise window

—

Put Option (right to sell)

Direct

Underlying security

Class A Common Stock

Underlying shares

372.50K

Shares owned

N/A

Exercise price

10.00

Expiration

—

Exercise window

—

Put Option (obligation to buy)

Direct

Underlying security

Class A Common Stock

Underlying shares

500.00

Shares owned

N/A

Exercise price

10.00

Expiration

—

Exercise window

—

Call Option (obligation to sell)

Direct

Underlying security

Class A Common Stock

Underlying shares

3.10K

Shares owned

N/A

Exercise price

10.00

Expiration

—

Exercise window

—

Put Option (right to sell)

Direct

Underlying security

Class A Common Stock

Underlying shares

2.70K

Shares owned

N/A

Exercise price

17.50

Expiration

—

Exercise window

—

Put Option (obligation to buy)

Direct

Underlying security

Class A Common Stock

Underlying shares

4.70K

Shares owned

N/A

Exercise price

7.50

Expiration

—

Exercise window

—

Call Option (obligation to sell)

Direct

Underlying security

Class A Common Stock

Underlying shares

8.50K

Shares owned

N/A

Exercise price

7.50

Expiration

—

Exercise window

—

Put Option (obligation to buy)

Direct

Underlying security

Class A Common Stock

Underlying shares

Shares owned

N/A

Exercise price

10.00

Expiration

—

Exercise window

—

Put Option (obligation to buy)

Direct

Underlying security

Class A Common Stock

Underlying shares

20.20K

Shares owned

N/A

Exercise price

12.50

Expiration

—

Exercise window

—

Total

Underlying

587.20K

Owned

0.00

Security	Underlying	Exercise Price	Exercise Window	Expiration	Underlying Shares	Shares Owned
Put Option (right to sell) Direct	Class A Common Stock	15.00	—	—	200.00	N/A
Warrants (right to buy) Direct	Class A Common Stock	11.50	—	—	75K	N/A
Put Option (right to sell) Direct	Class A Common Stock	12.50	—	—	2.60K	N/A
Call Option (obligation to sell) Direct	Class A Common Stock	12.50	—	—	1K	N/A
Put Option (right to sell) Direct	Class A Common Stock	10.00	—	—	95.20K	N/A
Put Option (right to sell) Direct	Class A Common Stock	10.00	—	—	372.50K	N/A
Put Option (obligation to buy) Direct	Class A Common Stock	10.00	—	—	500.00	N/A
Call Option (obligation to sell) Direct	Class A Common Stock	10.00	—	—	3.10K	N/A
Put Option (right to sell) Direct	Class A Common Stock	17.50	—	—	2.70K	N/A
Put Option (obligation to buy) Direct	Class A Common Stock	7.50	—	—	4.70K	N/A
Call Option (obligation to sell) Direct	Class A Common Stock	7.50	—	—	8.50K	N/A
Put Option (obligation to buy) Direct	Class A Common Stock	10.00	—	—	1K	N/A
Put Option (obligation to buy) Direct	Class A Common Stock	12.50	—	—	20.20K	N/A
Total					587.20K	0.00