Aeluma (ALMU) 10% owner Mark Tompkins records multiple stock sales

Rhea-AI Filing Summary

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.

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

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

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^*

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)
01/29/2026

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

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	01/29/2026		S		27,297	D	$16.75(1)	1,892,691	D
Common Stock	01/29/2026		S		5,203	D	$17.16(2)	1,887,488	D
Common Stock	01/30/2026		S		24,092	D	$15.88(3)	1,863,396	D
Common Stock	01/30/2026		S		908	D	$16.79(4)	1,862,488	D
Common Stock	02/02/2026		S		37,500	D	$15.74(5)	1,824,988	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. The price reported in Column 4 represents a weighted average sales price. These shares were sold in multiple transactions at prices ranging from $16.08 to $17.07, inclusive.

2. The price reported in Column 4 represents a weighted average sales price. These shares were sold in multiple transactions at prices ranging from $17.08 to $17.22, 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 $15.45 to $16.44, inclusive.

4. The price reported in Column 4 represents a weighted average sales price. These shares were sold in multiple transactions at prices ranging from $16.45 to $17.33, inclusive.

5. The price reported in Column 4 represents a weighted average sales price. These shares were sold in multiple transactions at prices ranging from $15.34 to $16.03, 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	02/02/2026
	** 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.

FAQ

Who is the insider in Aeluma (ALMU)'s latest Form 4 filing?

The insider is Mark N. Tompkins, reported as a 10% owner of Aeluma, Inc. He filed a Form 4 detailing recent sales of Aeluma common stock, all held in direct ownership after the reported transactions.

What Aeluma (ALMU) stock transactions did Mark Tompkins report?

Mark Tompkins reported open‑market sales of Aeluma common stock on 01/29/2026, 01/30/2026, and 02/02/2026. Each line item reflects a separate sale with its own number of shares and a weighted average price per share.

At what prices did Aeluma (ALMU) shares sell in this Form 4?

The reported sales used weighted average prices. Individual transactions occurred within ranges: from $15.34 up to $17.33 per share, as described in the footnotes explaining each price range for the grouped trades.

How many Aeluma (ALMU) shares does Mark Tompkins own after the trades?

Following the reported transactions, Mark Tompkins directly beneficially owned 1,824,988 shares of Aeluma common stock. This figure appears in the column for Amount of Securities Beneficially Owned Following Reported Transaction(s) for his final listed sale.

Were Aeluma (ALMU) derivative securities involved in this Form 4?

No derivative transactions are reported. The Form 4’s detailed activity appears in Table I for non‑derivative securities. Table II, which would cover options or other derivatives, contains no entries for acquisitions or dispositions.

How are the weighted average sale prices for Aeluma (ALMU) explained?

Each footnote states the Column 4 price is a weighted average. The shares were sold through multiple trades within specific price ranges, and the filer undertakes to provide exact per‑trade details upon request to the issuer, security holders, or SEC staff.