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Aeluma, Inc. (ALMU) director reports December common stock sales

Filing Impact
(Very High)
Filing Sentiment
(Negative)
Form Type
4

Rhea-AI Filing Summary

Aeluma, Inc. director Mark N. Tompkins reported open-market sales of Aeluma common stock in mid-December. On December 9, 2025, he sold 10,861 shares at a weighted average price of $16.39 and 19,139 shares at a weighted average price of $17.06. On December 10, 2025, he sold 20,000 shares at a weighted average price of $17.49.

After these transactions, Tompkins beneficially owns 2,169,988 shares of Aeluma common stock directly. Each reported price is a weighted average for multiple individual trades executed within stated price ranges on the respective dates.

Positive

  • None.

Negative

  • None.
Insider Tompkins Mark N.
Role 10% Owner
Sold 50,000 shs ($854K)
Type Security Shares Price Value
Sale Common Stock 20,000 $17.49 $350K
Sale Common Stock 10,861 $16.39 $178K
Sale Common Stock 19,139 $17.06 $327K
Holdings After Transaction: Common Stock — 2,169,988 shares (Direct)
Footnotes (1)
  1. The price reported in Column 4 represents a weighted average sales price. These shares were sold in multiple transactions at prices ranging from $15.85 to $16.84, inclusive. The price reported in Column 4 represents a weighted average sales price. These shares were sold in multiple transactions at prices ranging from $16.86 to $17.33, inclusive. The price reported in Column 4 represents a weighted average sales price. These shares were sold in multiple transactions at prices ranging from $17.31 to $17.61, inclusive.
Form 4 Insider Transactions: What Each Field Means →
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).
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)
12/09/2025
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 12/09/2025 S 10,861 D $16.39(1) 2,209,127 D
Common Stock 12/09/2025 S 19,139 D $17.06(2) 2,189,988 D
Common Stock 12/10/2025 S 20,000 D $17.49(3) 2,169,988 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 $15.85 to $16.84, 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 $16.86 to $17.33, 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 $17.31 to $17.61, 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 12/11/2025
** 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.

Source: View Original Filing on SEC EDGAR

FAQ

What insider stock transactions did Aeluma (ALMU) report in December 2025?

The filing shows that director Mark N. Tompkins sold Aeluma common stock on December 9, 2025 and December 10, 2025 in multiple open-market transactions.

How many Aeluma (ALMU) shares did Mark N. Tompkins sell and at what prices?

Tompkins sold 10,861 shares at a weighted average price of $16.39, 19,139 shares at $17.06, and 20,000 shares at $17.49, with each figure representing a weighted average of multiple trades.

How many Aeluma (ALMU) shares does Mark N. Tompkins own after these sales?

After the reported transactions, Mark N. Tompkins beneficially owns 2,169,988 shares of Aeluma common stock directly.

What price ranges did the Aeluma (ALMU) insider stock sales cover?

The explanation notes that the $16.39 weighted average reflects trades from $15.85 to $16.84, the $17.06 average reflects trades from $16.86 to $17.33, and the $17.49 average reflects trades from $17.31 to $17.61.

Were any derivative securities involved in this Aeluma (ALMU) insider activity?

The section for derivative securities shows no entries, indicating no reported acquisitions, dispositions, or holdings of derivative securities in this transaction report.

What is the reporting person’s relationship to Aeluma (ALMU)?

The reporting person, Mark N. Tompkins, is identified as a director of Aeluma, Inc..