Welcome to our dedicated page for Aeluma SEC filings (Ticker: ALMU), a comprehensive resource for investors and traders seeking official regulatory documents including 10-K annual reports, 10-Q quarterly earnings, 8-K material events, and insider trading forms.
The Aeluma, Inc. (NASDAQ: ALMU) SEC filings page on Stock Titan provides access to the company’s regulatory disclosures as filed with the U.S. Securities and Exchange Commission. Aeluma identifies itself in these documents as an emerging growth company and a semiconductor business focused on high-performance photonic and electronic technologies that scale, with headquarters in Goleta, California.
Among the key filings are multiple Form 8-K current reports. These include items furnished under Item 2.02 (Results of Operations and Financial Condition), where Aeluma attaches press releases summarizing quarterly financial results and discusses revenue from R&D contracts, operating expenses, and non-GAAP metrics such as non-GAAP net loss and adjusted EBITDA. Other 8-K filings under Item 1.01 (Entry into a Material Definitive Agreement) describe an underwriting agreement for an underwritten public offering of common stock made pursuant to an effective shelf registration statement on Form S-3, including the number of shares offered and intended uses of net proceeds.
Additional 8-Ks cover Item 5.02 (Appointment of Principal Officers), such as the appointment of a full-time Chief Financial Officer and related compensation arrangements, and Item 7.01 (Regulation FD Disclosure), where Aeluma furnishes investor presentations and press releases about the commencement and pricing of equity offerings. These filings also reiterate the company’s status as an emerging growth company and include standard disclosures about whether information is deemed “filed” or “furnished.”
Through Stock Titan, users can review Aeluma’s 8-Ks and related exhibits, while AI-powered tools can help summarize the contents, highlight key sections such as capital-raising terms, management changes, and financial result announcements, and make it easier to understand how these filings relate to the company’s semiconductor technology strategy and capital structure.
Aeluma, Inc. is registering up to 14,011,726 shares of common stock for resale by existing selling stockholders. The shares come from prior private offerings, a merger conversion, pre‑merger holders and convertible notes, plus shares issuable on placement agent warrants.
Aeluma will not receive proceeds from stockholder resales, but may receive cash if the warrants are exercised. Its common stock trades on Nasdaq under the symbol ALMU. The company qualifies as an emerging growth and smaller reporting company, using scaled disclosure requirements.
Aeluma, Inc. insider Mark N. Tompkins reported two stock sales and is now a former 10% owner. On February 4, 2026, he sold 28,544 common shares at a weighted average price of $14.63, and another 5,956 shares at a weighted average price of $15.12.
Each reported price reflects multiple trades within disclosed ranges of $13.94–$14.91 and $14.94–$15.50. After these transactions, Tompkins beneficially owned 1,790,488 Aeluma common shares directly and no longer qualifies as a 10% beneficial owner.
Aeluma, Inc. filed a post-effective amendment on Form S-1/S-3 to register the resale of up to 14,011,726 shares of common stock held by various selling stockholders. These shares come from prior private placements in 2021 and 2023, a merger with Biond Photonics, pre-merger holders, placement agent warrants and shares underlying 2024 convertible notes.
The company is not selling any new shares in this offering and will not receive proceeds from stockholder resales, other than potential cash from the exercise of outstanding placement agent warrants. Aeluma’s common stock trades on Nasdaq under the symbol ALMU, with 18,049,306 shares outstanding as of January 31, 2026. The filing also consolidates three earlier S-1 registration statements into a single combined prospectus.
Aeluma, Inc. 10% owner Mark N. Tompkins reported multiple open‑market sales of common stock over several days. On 01/29/2026 and 01/30/2026 he sold shares at weighted average prices between $15.45 and $17.33 per share, followed by an additional sale on 02/02/2026 at a weighted average price of $15.74 per share. After these transactions, he directly beneficially owned 1,824,988 Aeluma common shares.
Aeluma, Inc. insider activity: Mark N. Tompkins, a 10% owner of Aeluma (ALMU), reported open‑market sales of a total of 105,000 shares of common stock over three days in January 2026. The trades occurred on January 20–22, 2026 at weighted average prices reported between
Aeluma, Inc. reported the results of its 2025 Annual General Meeting of shareholders. The meeting had a quorum, with 9,892,101 shares of common stock present or represented by proxy, representing 55.4% of the voting power entitled to vote.
Shareholders re-elected Steven P. DenBaars and John Paglia to the Board of Directors by plurality of the votes cast. A second proposal also passed, receiving 9,822,341 votes For, 57,925 Against, and 11,835 Abstain. The filing notes that broker non-votes are included only for purposes of determining whether a quorum is present.
Aeluma, Inc. director Mark N. Tompkins reported open-market sales of Aeluma common stock in mid-December. On December 9, 2025, he sold 10,861 shares at a weighted average price of $16.39 and 19,139 shares at a weighted average price of $17.06. On December 10, 2025, he sold 20,000 shares at a weighted average price of $17.49.
After these transactions, Tompkins beneficially owns 2,169,988 shares of Aeluma common stock directly. Each reported price is a weighted average for multiple individual trades executed within stated price ranges on the respective dates.
Aeluma, Inc. has filed a resale prospectus covering up to 11,010,002 shares of its Common Stock, which may be sold from time to time by existing selling stockholders. The company’s shares trade on the Nasdaq Capital Market under the symbol ALMU, and Aeluma will not receive any proceeds from these stockholder sales, other than any cash received if placement agent warrants are exercised.
Aeluma develops high-performance optoelectronic devices and photodetector arrays using compound semiconductor materials on large-diameter silicon wafers for applications including 3D imaging, LiDAR, AR/VR, defense, aerospace and communications. The company has raised capital through recent underwritten offerings and note conversions and has secured U.S. government contracts with the Department of Energy, the U.S. Navy and NASA to advance shortwave infrared and quantum sensing technologies.
The prospectus highlights that Aeluma is an early-stage business, not yet in volume production, and faces risks common to speculative semiconductor ventures, including the need for additional capital, reliance on government and key customers, intense competition, regulatory complexity, and potential volatility in demand, supply chains and the broader chip industry.
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