[Form 4/A] Aeluma, Inc. Amended Insider Trading Activity

Rhea-AI Filing Summary

Aeluma, Inc. (ALMU) director Mark N. Tompkins amended a prior Form 4 to correct the number of common shares sold and to disclose the weighted average sale price. The amendment shows a sale of 33,800 shares on 09/30/2025 at a weighted average price of $16.18, with the reporter retaining 2,857,033 shares after the transaction. The filing states the shares were sold in multiple transactions at prices ranging from $15.86 to $16.75 and that the amendment fixes a discrepancy in the original October 2 report.

The filing is a technical correction rather than a new transaction disclosure: the reporter affirms willingness to provide details of the per‑trade breakdown on request and manually signed the amendment on 10/06/2025. The disclosure clarifies beneficial ownership and trading price ranges but does not include derivative activity or other material changes to holdings beyond the corrected sale amount.

Positive

• Amendment corrects prior reporting error, improving disclosure accuracy
• Weighted average price disclosed ($16.18) and full trade price range provided
• Reporting person retains a substantial holding of 2,857,033 shares after the sale

Negative

• Insider sold 33,800 shares, creating modest insider liquidity which may attract investor attention
• Original Form 4 contained an incorrect share amount, indicating a prior reporting inaccuracy

Insights

Securities Trading Analyst

TL;DR: Amendment corrects reported sale size; shows modest insider liquidity at market prices.

The amendment clarifies that 33,800 common shares were sold on 09/30/2025 at a weighted average of $16.18, with executed prices between $15.86 and $16.75. The reporter continues to hold 2,857,033 shares directly after the sale, indicating this was a relatively small monetization versus total holdings.

This is a corrective filing rather than a new trading plan; the main risk is investor confusion from the earlier misstatement. Expect no near‑term change in ownership control from this sale; if more sales are reported, watch aggregate dispositions over the next 30-90 days for potential signaling.

Corporate Governance Specialist

TL;DR: Filing demonstrates procedural compliance and readiness to provide per‑trade detail.

The amendment addresses an internal reporting error by restating the sale quantity and disclosing the weighted average price and price range. The attestation and manual signature show adherence to Section 16 reporting formalities and corrective disclosure norms.

Governance implications are limited: the corrected disclosure improves transparency. Monitor whether additional amendments or Form 5s follow if further reporting inconsistencies appear within the next 60 days.

SEC Form 4

FORM 4

UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940

OMB APPROVAL

OMB Number:			3235-0287
Estimated average burden
hours per response:			0.5

Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).

1. Name and Address of Reporting Person^*

Tompkins Mark N.

(Last) (First) (Middle)

APP. 1,

VIA GUIDINO 23

(Street)

LUGANO-PARADISO V8 6900

(City) (State) (Zip)

2. Issuer Name and Ticker or Trading Symbol
Aeluma, Inc. [ ALMU ]

5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)

	Director	X	10% Owner
	Officer (give title below)		Other (specify below)

3. Date of Earliest Transaction (Month/Day/Year)
09/29/2025

4. If Amendment, Date of Original Filed (Month/Day/Year)
10/02/2025

6. Individual or Joint/Group Filing (Check Applicable Line)

X	Form filed by One Reporting Person
	Form filed by More than One Reporting Person

Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1. Title of Security (Instr. 3)	2. Transaction Date (Month/Day/Year)	2A. Deemed Execution Date, if any (Month/Day/Year)	3. Transaction Code (Instr. 8)		4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5)			5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)	6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	7. Nature of Indirect Beneficial Ownership (Instr. 4)
			Code	V	Amount	(A) or (D)	Price
Common Stock	09/30/2025		S		33,800(1)	D	$16.18(2)	2,857,033	D

Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 3)	2. Conversion or Exercise Price of Derivative Security	3. Transaction Date (Month/Day/Year)	3A. Deemed Execution Date, if any (Month/Day/Year)	4. Transaction Code (Instr. 8)		5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)		6. Date Exercisable and Expiration Date (Month/Day/Year)		7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4)		8. Price of Derivative Security (Instr. 5)	9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4)	10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	11. Nature of Indirect Beneficial Ownership (Instr. 4)
				Code	V	(A)	(D)	Date Exercisable	Expiration Date	Title	Amount or Number of Shares

Explanation of Responses:

1. On October 2, 2025, the Reporting Person filed a Form 4 (the "Original Report") which incorrectly stated the total shares sold in the reported transaction in Table I - Column 4 of the Original Report.. The Reporting Person is filing this Form 4/A to amend and correct the discrepancy.

2. The price reported in Column 4 represents a weighted average sales price of $16.18. These shares were sold in multiple transactions at prices ranging from $15.86 to $16.75, inclusive.

Remarks:

The reporting person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in the footnotes above.

	/s/ Mark N. Tompkins	10/06/2025
	** Signature of Reporting Person	Date
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 4 (b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number.

FAQ

What did Mark N. Tompkins report on the Aeluma (ALMU) Form 4/A?

The amendment reports a sale of 33,800 common shares on 09/30/2025 at a weighted average price of $16.18, leaving 2,857,033 shares beneficially owned.

Why was the Form 4 amended for ALMU?

The amendment corrects a discrepancy in the Original Report regarding the total shares sold; the filer states the prior report misstated the number in Table I Column 4.

What price range did the ALMU share sales occur at?

The shares were sold in multiple transactions at prices ranging from $15.86 to $16.75, producing a weighted average of $16.18.

Does the Form 4/A show any derivative transactions for ALMU?

No. Table II for derivative securities shows no entries; the filing only amends the non‑derivative sale in Table I.

When was the amended Form 4 signed?

The filing bears the reporting person's signature dated 10/06/2025.