[144] Aeluma, Inc. SEC Filing

Rhea-AI Filing Summary

Aeluma, Inc. (ALMU) Form 144 reports a proposed sale of 150,000 common shares on NASDAQ through Oppenheimer & Co., with an aggregate market value of $2,827,312.50 based on the filing. The shares represent part of a 15,795,467-share outstanding base and are scheduled for sale on 08/14/2025. The filer acquired these shares in a private placement from the issuer on 10/27/2020 and paid for them in full on that date. The filing indicates no securities sold by the filer in the prior three months and includes the standard attestation that the seller is not aware of undisclosed material adverse information.

Positive

• Clear disclosure of broker, share count, aggregate value, acquisition date and method, which supports regulatory compliance
• No sales in prior three months reported, reducing immediate aggregation concerns under Rule 144

Negative

• Potential modest dilution/pressure: 150,000 shares represent approximately 0.95% of the 15,795,467 shares outstanding
• Absence of transfer restriction details or lock-up information in the filing, so investors cannot assess timing constraints beyond the stated sale date

Insights

Securities Compliance Analyst

TL;DR: Routine Rule 144 notice for previously privately placed stock; signals planned insider/affiliate disposition but shows acquisition and settlement are clean.

The filing documents a planned sale under Rule 144 of 150,000 common shares acquired in a private placement in October 2020. Key compliance points are present: broker identification, number of shares, aggregate market value, outstanding share count and acquisition details. There are no reported sales in the prior three months, which helps avoid aggregation complications. The filing uses the standard representation regarding material nonpublic information. For investors, this is a disclosure of a shareholder intent to sell but contains no operational or financial performance data.

Equity Capital Markets Specialist

TL;DR: Market-impact likely limited; 150,000 shares equals a small percentage of the outstanding base but could add near-term supply pressure on float.

At an aggregate value of approximately $2.83 million, the planned sale is modest relative to the 15.8 million shares outstanding (about 0.95%). The use of a reputable broker is typical for orderly execution. The acquisition source (private placement from the issuer) and full payment at acquisition reduce complexity related to transfer restrictions, though any remaining transfer restrictions or lock-up provisions are not stated in the notice. Overall this is a routine disclosure of intended insider/affiliate selling activity without additional financial detail.

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

144: Issuer Information

Name of Issuer

SEC File Number

Address of Issuer

Phone

Name of Person for Whose Account the Securities are To Be Sold

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

Relationship to Issuer

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	Oppenheimer & Co Inc 85 Broad St New York NY 10004	150000	2827312.50	15795467	08/14/2025	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	10/27/2020	Private Placement	Issuer			150000	10/27/2020	NA

* 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

Date of Notice

Date of Plan Adoption or Giving of Instruction, If Relying on Rule 10b5-1

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

ATTENTION: Intentional misstatements or omission of facts constitute Federal Criminal Violations (See 18 U.S.C. 1001)

FAQ

What does Aeluma (ALMU) Form 144 disclose about the planned sale?

The filing discloses a proposed sale of 150,000 common shares on 08/14/2025 via Oppenheimer & Co., with an aggregate market value of $2,827,312.50.

When and how were the shares being sold acquired?

The shares were acquired on 10/27/2020 in a private placement from the issuer, and payment was made in full on that date.

How much of Aeluma's outstanding stock does the sale represent?

The filing shows 15,795,467 shares outstanding; 150,000 shares represent approximately 0.95% of that total.

Has the filer sold any Aeluma shares in the past three months?

The filing states "Nothing to Report" for securities sold during the past three months.

Does the Form 144 indicate any undisclosed material information about Aeluma?

By signing the notice the seller represents they do not know any material adverse information about the issuer that has not been publicly disclosed.