NUBURU Receives NYSE American Warning Letter For Disclosure Violation; Future Compliance Breaches Could Lead To Delisting Proceedings

NUBURU, Inc. (NYSE: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.