Aeluma director plans sale of 25,000 shares

Aeluma, Inc. (ALMU) received a notice under Rule 144 that director Steven DenBaars plans to sell 25,000 shares of Aeluma common stock through broker Merrill Lynch.

Rhea-AI Filing Summary

Aeluma, Inc. (ALMU) received a notice under Rule 144 that director Steven DenBaars plans to sell 25,000 shares of Aeluma common stock through broker Merrill Lynch. The shares were acquired on February 5, 2021 via an Incentive Stock Option exercised for cash and are being sold pursuant to a Rule 10b5-1 trading plan. The notice lists an approximate sale date of August 26, 2026 and reports 18,305,335 shares of common stock outstanding.

Key Figures

Shares to be sold: 25,000 shares Aggregate market value of securities to be sold: 347,000 Shares outstanding: 18,305,335 shares +3 more

6 metrics

Shares to be sold 25,000 shares Planned sale of Aeluma common stock by director under Rule 144

Aggregate market value of securities to be sold 347,000 Reported in the securities information section for the 25,000 shares

Shares outstanding 18,305,335 shares Number of Aeluma common shares outstanding listed in the notice

Shares acquired via ISO 25,000 shares Amount of common stock acquired on February 5, 2021 via Incentive Stock Option

Date of acquisition 02/05/2021 Acquisition date for the 25,000 shares to be sold

Approximate date of sale 08/26/2026 Approximate date of sale listed for the Rule 144 transaction

Key Terms

Rule 144, Form 144, 10b5-1 plan, Incentive Stock Option

4 terms

Rule 144 regulatory

"See the definition of "person" in paragraph (a) of Rule 144."

Rule 144 is a U.S. securities regulation that sets conditions under which restricted or insider-held shares can be legally resold to the public, such as required holding periods, availability of public information, limits on how much can be sold at once, and certain filing requirements. For investors it matters because it determines when previously locked-up shares can enter the market — like a release valve that can increase supply, affect share price, and signal insider intent.

Form 144 regulatory

"144: Filer Information"

Form 144 is a document that investors must file with the government when they plan to sell a large number of shares of a company's stock. It helps ensure transparency so everyone knows how many shares are being sold and when, which can impact the stock's price.

10b5-1 plan regulatory

"Remarks | selling per 10b5-1 plan"

A 10b5-1 plan is a pre-arranged strategy that allows company insiders to buy or sell their shares at predetermined times and prices, even while they are aware of confidential information. It acts like a scheduled appointment for trading, helping ensure transactions happen transparently and legally, which can reassure investors that trades are not based on insider knowledge.

Incentive Stock Option financial

"Common | 02/05/2021 | ISO | Issuer"

An incentive stock option is a type of employee benefit that gives a worker the right to buy company shares at a fixed price, with special tax advantages if the employee holds the shares for a required period. Think of it as a coupon to buy future shares at today’s price that can result in lower tax on the gain. Investors care because ISOs can dilute share count, align staff incentives with the stock price, and affect company compensation costs and the timing of potential share sales.

FAQ

AI-generated questions and answers. How Rhea-AI works. Not financial advice.

What does the Form 144 filing disclose for Aeluma, Inc. (ALMU)?

It discloses that director Steven DenBaars has filed a Rule 144 notice to sell 25,000 shares of Aeluma common stock through Merrill Lynch, with an approximate sale date of August 26, 2026, under a pre-arranged Rule 10b5-1 trading plan.

How many Aeluma (ALMU) shares is Steven DenBaars planning to sell?

The notice states that 25,000 shares of Aeluma common stock are planned to be sold. These shares were originally acquired on February 5, 2021 through an Incentive Stock Option exercised for cash.

When were the Aeluma (ALMU) shares being sold by Steven DenBaars acquired?

The filing reports that the 25,000 shares to be sold were acquired on February 5, 2021 via an Incentive Stock Option (ISO), acquired from the issuer and paid for in cash.

What is the reported share count outstanding for Aeluma (ALMU) in this Form 144?

The Form 144 lists 18,305,335 shares of Aeluma common stock outstanding. This figure is presented in the securities information section as the number of shares or other units outstanding.

Is the planned sale of Aeluma (ALMU) shares under a trading plan?

Yes. The remarks state the shares are being “selling per 10b5-1 plan”, indicating that the 25,000-share sale by director Steven DenBaars is pursuant to a pre-arranged Rule 10b5-1 trading plan.

AI-generated analysis. How Rhea-AI works. Not financial advice.

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Available on EDGAR 08/26/2026 - 02:02 PM EDT Accepted by SEC EDGAR 08/26/2026 - 02:01 PM EDT Learn about SEC filing dates

Form 144 Filer Information	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 144 NOTICE OF PROPOSED SALE OF SECURITIES PURSUANT TO RULE 144 UNDER THE SECURITIES ACT OF 1933
FORM 144

144: Filer Information

Filer CIK	0001700533
Filer CCC	XXXXXXXX
Is this a LIVE or TEST Filing?	LIVE TEST
Submission Contact Information
Name
Phone
E-Mail Address

144: Issuer Information

Name of Issuer	Aeluma, Inc.
SEC File Number	001-42570
Address of Issuer	27 Castilian Drive Goleta CALIFORNIA 93117
Phone	805-351-2707
Name of Person for Whose Account the Securities are To Be Sold	Steven DenBaars
See the definition of "person" in paragraph (a) of Rule 144. Information is to be given not only as to the person for whose account the securities are to be sold but also as to all other persons included in that definition. In addition, information shall be given as to sales by all persons whose sales are required by paragraph (e) of Rule 144 to be aggregated with sales for the account of the person filing this notice.
Relationship to Issuer	Director

144: Securities Information

Title of the Class of Securities To Be Sold	Name and Address of the Broker	Number of Shares or Other Units To Be Sold	Aggregate Market Value	Number of Shares or Other Units Outstanding	Approximate Date of Sale	Name the Securities Exchange
Common Stock	Merrill Lynch 1424 State Street Santa Barbara CA 93101	25000	347000	18305335	08/26/2026	NASDAQ

Furnish the following information with respect to the acquisition of the securities to be sold and with respect to the payment of all or any part of the purchase price or other consideration therefor:

144: Securities To Be Sold

Title of the Class	Date you Acquired	Nature of Acquisition Transaction	Name of Person from Whom Acquired	Is this a Gift?	Date Donor Acquired	Amount of Securities Acquired	Date of Payment	Nature of Payment *
Common	02/05/2021	ISO	Issuer			25000	02/05/2021	Cash

* If the securities were purchased and full payment therefor was not made in cash at the time of purchase, explain in the table or in a note thereto the nature of the consideration given. If the consideration consisted of any note or other obligation, or if payment was made in installments describe the arrangement and state when the note or other obligation was discharged in full or the last installment paid.

Furnish the following information as to all securities of the issuer sold during the past 3 months by the person for whose account the securities are to be sold.

144: Securities Sold During The Past 3 Months

Nothing to Report

144: Remarks and Signature

Remarks	selling per 10b5-1 plan
Date of Notice	08/26/2026
Date of Plan Adoption or Giving of Instruction, If Relying on Rule 10b5-1	11/20/2025
ATTENTION:
The person for whose account the securities to which this notice relates are to be sold hereby represents by signing this notice that he does not know any material adverse information in regard to the current and prospective operations of the Issuer of the securities to be sold which has not been publicly disclosed. If such person has adopted a written trading plan or given trading instructions to satisfy Rule 10b5-1 under the Exchange Act, by signing the form and indicating the date that the plan was adopted or the instruction given, that person makes such representation as of the plan adoption or instruction date.
Signature	Steven DenBaars
ATTENTION: Intentional misstatements or omission of facts constitute Federal Criminal Violations (See 18 U.S.C. 1001)