Aeluma director sells 25,000 shares under plan

Aeluma, Inc. (ALMU) director Steven Denbaars reported amended insider sales of common stock.

Rhea-AI Filing Summary

Aeluma, Inc. (ALMU) director Steven Denbaars reported amended insider sales of common stock. He sold 12,500 shares on 2026-08-26 at a weighted average price of $13.8435 per share and another 12,500 shares on 2026-08-27 at a weighted average price of $13.8158 per share. Both transactions were effected under a Rule 10b5-1 trading plan adopted on November 20, 2025. The amendment states it was filed solely to include previously omitted details of this trading plan.

Insider Trade Summary 10b5-1

Net Seller: 25,000 shares

Net Sell 2 txns

Insider Denbaars Steven

Role Director

Sold 25,000 shs ($346K)

Type	Security	Shares	Price	Value
Sale	Common Stock F1, F3	12,500	$13.8158	$173K
Sale	Common Stock F1, F2	12,500	$13.8435	$173K

Holdings After Transaction: Common Stock — 345,209 shares (Direct)

Footnotes (3)

1. F1. Sales effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on November 20, 2025.
2. F2. The price reported in Column 4 represents a weighted average sales price. These shares were sold in multiple transactions at prices ranging from $13.57 to $14.40, inclusive.
3. F3. The price reported in Column 4 represents a weighted average sales price. These shares were sold in multiple transactions at prices ranging from $13.59 to $14.35, inclusive.

Key Figures

Shares sold on 2026-08-26: 12,500 shares of Common Stock Weighted average price on 2026-08-26: $13.8435 per share Shares sold on 2026-08-27: 12,500 shares of Common Stock +3 more

6 metrics

Shares sold on 2026-08-26 12,500 shares of Common Stock Non-derivative open-market or private sale by director Steven Denbaars

Weighted average price on 2026-08-26 $13.8435 per share Shares sold in multiple transactions between $13.57 and $14.40

Shares sold on 2026-08-27 12,500 shares of Common Stock Non-derivative open-market or private sale by director Steven Denbaars

Weighted average price on 2026-08-27 $13.8158 per share Shares sold in multiple transactions between $13.59 and $14.35

Total shares sold in reported period 25,000 shares of Common Stock Sum of two 12,500-share sales on 2026-08-26 and 2026-08-27

Rule 10b5-1 plan adoption date November 20, 2025 Trading plan under which the reported sales were effected

Key Terms

Rule 10b5-1 trading plan, weighted average sales price, Form 4/A

3 terms

Rule 10b5-1 trading plan regulatory

"Sales effected pursuant to a Rule 10b5-1 trading plan adopted"

A Rule 10b5-1 trading plan is a pre-arranged schedule that allows company insiders to buy or sell stock at specific times, even if they have inside information. It helps prevent accusations of unfair trading by making these transactions look planned and transparent, rather than sneaky or illegal.

weighted average sales price financial

"The price reported in Column 4 represents a weighted average sales price."

Form 4/A regulatory

"Amended solely to include details of Rule 10b5-1 plan unintentionally"

Form 4/A is an amended filing that corrects or updates an earlier Form 4, the mandatory report that insiders (like company executives, directors, or large shareholders) must file when their ownership stakes change. Think of it as an edited receipt showing who bought or sold stock and when; investors use it to track insider confidence, detect potential conflicts, and spot trading patterns that might signal future company prospects.

FAQ

What insider transactions did ALMU director Steven Denbaars report in this Form 4/A?

He reported selling 25,000 shares of Aeluma, Inc. common stock in total, split into two sales of 12,500 shares each on 2026-08-26 and 2026-08-27, at weighted average prices of $13.8435 and $13.8158 per share, respectively.

Were the ALMU insider sales by Steven Denbaars under a Rule 10b5-1 plan?

Yes. The filing states the sales were effected pursuant to a Rule 10b5-1 trading plan adopted by Steven Denbaars on November 20, 2025, and the document-level Rule 10b5-1 checkbox is marked as applicable.

What price range did the 2026-08-26 ALMU stock sales cover?

For the 2026-08-26 transaction, the weighted average price was $13.8435 per share. A footnote explains the 12,500 shares were sold in multiple transactions at prices ranging from $13.57 to $14.40, inclusive.

What price range did the 2026-08-27 ALMU stock sales cover?

For the 2026-08-27 transaction, the weighted average price was $13.8158 per share. A footnote states the 12,500 shares sold that day were in multiple trades at prices from $13.59 to $14.35, inclusive.

Why was this Aeluma (ALMU) Form 4/A filed as an amendment?

The report notes it was amended solely to include details of the Rule 10b5-1 trading plan that were unintentionally omitted from the original Form 4. The underlying share amounts and dates remain the same.

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

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Available on EDGAR 08/28/2026 - 05:55 PM Accepted by SEC EDGAR 08/28/2026 - 05:54 PM Learn about SEC filing dates

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).

X

Check this box to indicate that a transaction was made pursuant to a contract, instruction or written plan for the purchase or sale of equity securities of the issuer that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c). See Instruction 10.

1. Name and Address of Reporting Person^*

Denbaars Steven

(Last) (First) (Middle)

27 CASTILIAN DRIVE

(Street)

GOLETA CALIFORNIA 93117

(City) (State) (Zip)

UNITED STATES

(Country)

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

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

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

2a. Foreign Trading Symbol

3. Date of Earliest Transaction (Month/Day/Year)
08/26/2026

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

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

4. If Amendment, Date of Original Filed (Month/Day/Year)
08/28/2026

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	08/26/2026		S(1)		12,500	D	$13.8435(2)	357,709	D
Common Stock	08/27/2026		S(1)		12,500	D	$13.8158(3)	345,209	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. Sales effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on November 20, 2025.

2. The price reported in Column 4 represents a weighted average sales price. These shares were sold in multiple transactions at prices ranging from $13.57 to $14.40, inclusive.

3. The price reported in Column 4 represents a weighted average sales price. These shares were sold in multiple transactions at prices ranging from $13.59 to $14.35, inclusive.

Remarks:

Amended solely to include details of Rule 10b5-1 plan unintentionally omitted from original filing.

	/s/ Joshua L. Colburn, Attorney-in-Fact	08/28/2026
	** 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.
* Form 4: SEC 1474 (03-26)