NUBURU Announces Receipt of NYSE American Warning Letter Regarding Disclosure Requirements

NYSE Regulation said future violations warranting a public warning would instead trigger immediate suspension and delisting proceedings.

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DENVER--(BUSINESS WIRE)-- NUBURU, Inc. (NYSE American: BURU) ("NUBURU" or the "Company"), a dual-use Defense & Security integrated platform company, today announced that it received a public warning letter dated October 19, 2026 from NYSE Regulation on behalf of NYSE American LLC (the "Exchange").

NYSE American warning letter

The Exchange issued the warning letter under Section 1009(a)(i) of the NYSE American Company Guide after determining that NUBURU violated Section 401(a), which requires immediate public disclosure of material information. The finding concerns two material events effective September 30, 2026 that the Company disclosed in a Form 8-K filed on October 6, 2026: a side letter with Esousa Group Holdings, LLC and other purchasers related to certain terms of the Company’s July 2026 public offering of common stock, warrants and Series B preferred stock; and an agreement with Brick Lane Capital Management Limited (“Brick Lane”) to return shares of Heckler & Koch AG purchased by the Company from Brick Lane in exchange for cancellation of a $15 million promissory note.

The letter cites previous violations by the Company of the Company Guide. In light of that history, NYSE Regulation explicitly stated that any future violation that could lead to a public warning letter under Section 1009 of the Company Guide will instead result in immediate suspension and commencement of delisting proceedings against the Company under Parts 4 and 10 of the Company Guide.

The October 19 letter does not itself suspend trading or commence delisting proceedings. This announcement is being made pursuant to Section 401(j) of the Company Guide.

About NUBURU

NUBURU, Inc. is developing a dual-use Defense & Security integrated platform combining operating businesses and technology-development initiatives. Following completion of its acquisition of a 70% controlling interest in Tekne S.p.A. on October 15, 2026, the group brings together Tekne’s electronic-warfare and special-vehicle capabilities, Lyocon’s laser and photonics engineering, and Orbit’s operational-resilience software. NUBURU is focused on integration and commercial execution across defense, security, critical-infrastructure and digital-resilience markets. New integrated capabilities remain subject to technical validation, customer requirements and applicable approvals. For more information, visit www.nuburu.net.

Forward Looking Statements

This press release contains forward-looking statements within the meaning of the Private Securities Litigation Reform Act of 1995, Section 27A of the Securities Act of 1933 and Section 21E of the Securities Exchange Act of 1934. These include statements regarding the Company’s compliance with the Company Guide and the Company’s ability to regain and maintain compliance and continued listing on the NYSE American. These statements reflect current expectations and are not guarantees.

Actual results may differ materially because of risks and uncertainties, including adverse Exchange determinations; future violations leading to immediate suspension and commencement of delisting proceedings; failure to satisfy equity or other listing requirements; ineffective disclosure or compliance procedures; changes in reported financial results; operating losses, liquidity and financing needs; dilution; integration and execution risks; and other factors described in the Company’s SEC filings. Forward-looking statements speak only as of their date. NUBURU undertakes no obligation to update them except as required by law.

View source version on businesswire.com: https://www.businesswire.com/news/home/20261019454097/en/

NUBURU Investor Relations: ir@nuburu.net
Media Contact: press@nuburu.net
Public Relations & Global Partnerships: Phoenix MGMT & Consulting
PR@PhoenixMGMTConsulting.com
Website: www.nuburu.net

Source: NUBURU, Inc.

Key Terms

public offering financial

A public offering is when a company sells shares to the general public through the stock market, either by issuing new shares to raise cash or by letting existing owners sell their stakes. Think of it like a business opening its doors to many new owners at once: it can bring in money for growth but also increases the number of shares available, which can change the stock price and dilute existing ownership — key factors investors watch closely.

form 8-k regulatory

A Form 8-K is a report that companies file with the government to share important news quickly, such as changes in leadership, major business deals, or financial updates. It matters because it helps investors stay informed about significant events that could affect the company's value or stock price.

promissory note financial

A promissory note is a written IOU in which one party promises to pay a specific sum, often with interest, to another party by a set date or on demand. Investors care because it functions like a loan: it creates a legal claim on future cash flows, carries credit and timing risk, and can affect valuation or liquidity—think of it as a formal, tradable promise to be repaid that can be assessed like any other debt investment.

delisting proceedings regulatory

Delisting proceedings are the formal steps taken to remove a company’s shares from a stock exchange, either because the company chose to leave or failed to meet rules like minimum share price, reporting or solvency requirements. For investors this matters because removal usually cuts trading access and liquidity, can sharply lower the share price, and makes it harder to buy, sell or get transparent information — similar to a product being pulled off supermarket shelves.