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ALMU insider: Mark Tompkins disposes 106,908 shares; holdings 2.57M

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

Rhea-AI Filing Summary

Mark N. Tompkins, a director of Aeluma, Inc. (ALMU), reported multiple open-market sales of common stock executed on 10/07/2025 through 10/09/2025.

The filings show a total of 106,908 shares sold across seven transactions at reported weighted-average prices ranging from $16.54 to $19.16, with the reported weighted-average prices for each tranche listed as $17.46, $18.66, $19.16, $17.46, $18.14, and $16.54. Following these sales, the reporting person beneficially owned 2,569,674 shares, held directly.

Positive

  • Timely compliance with Section 16 reporting through a signed Form 4
  • Full price ranges disclosed via weighted-average prices and footnotes enabling further verification

Negative

  • Insider selling of 106,908 shares over 10/07/2025–10/09/2025, which reduces the director's direct stake to 2,569,674 shares

Insights

Director sold 106,908 shares over three days; holdings remain significant.

The reporting shows open-market disposals totaling 106,908 common shares between 10/07/2025 and 10/09/2025

These sales occurred at weighted-average prices in the $16.54–$19.16 range and reduced the director's direct beneficial ownership to 2,569,674 shares. The transactions are reported as direct sales with no derivative activity disclosed.

The primary dependency for interpreting impact is the absolute size of remaining ownership versus prior stake and overall float (not provided). Near term, monitor subsequent Section 16 filings for additional transactions and any issuer disclosures that explain the sales timing.

Insider Tompkins Mark N.
Role 10% Owner
Sold 106,908 shs ($1.84M)
Type Security Shares Price Value
Sale Common Stock 35,908 $16.54 $594K
Sale Common Stock 1,000 $17.25 $17K
Sale Common Stock 34,300 $17.46 $599K
Sale Common Stock 700 $18.14 $13K
Sale Common Stock 26,693 $17.46 $466K
Sale Common Stock 7,907 $18.66 $148K
Sale Common Stock 400 $19.16 $8K
Holdings After Transaction: Common Stock — 2,570,674 shares (Direct)
Footnotes (1)
  1. The price reported in Column 4 represents a weighted average sales price of $17.46. These shares were sold in multiple transactions at prices ranging from $17.10 to $17.96, inclusive. The price reported in Column 4 represents a weighted average sales price of $18.66. These shares were sold in multiple transactions at prices ranging from $18.15 to $19.13, inclusive. The price reported in Column 4 represents a weighted average sales price of $19.16. These shares were sold in multiple transactions at prices ranging from $19.15 to $19.17, inclusive. The price reported in Column 4 represents a weighted average sales price of $17.46. These shares were sold in multiple transactions at prices ranging from $16.90 to $17.86, inclusive. The price reported in Column 4 represents a weighted average sales price of $18.14. These shares were sold in multiple transactions at prices ranging from $17.99 to $18.27, inclusive. The price reported in Column 4 represents a weighted average sales price of $16.54. These shares were sold in multiple transactions at prices ranging from $16.25 to $17.11, 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)
10/07/2025
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 10/07/2025 S 26,693 D $17.46(1) 2,649,889 D
Common Stock 10/07/2025 S 7,907 D $18.66(2) 2,641,982 D
Common Stock 10/07/2025 S 400 D $19.16(3) 2,641,582 D
Common Stock 10/08/2025 S 34,300 D $17.46(4) 2,607,282 D
Common Stock 10/08/2025 S 700 D $18.14(5) 2,606,582 D
Common Stock 10/09/2025 S 35,908 D $16.54(6) 2,570,674 D
Common Stock 10/09/2025 S 1,000 D $17.25 2,569,674 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 of $17.46. These shares were sold in multiple transactions at prices ranging from $17.10 to $17.96, inclusive.
2. The price reported in Column 4 represents a weighted average sales price of $18.66. These shares were sold in multiple transactions at prices ranging from $18.15 to $19.13, inclusive.
3. The price reported in Column 4 represents a weighted average sales price of $19.16. These shares were sold in multiple transactions at prices ranging from $19.15 to $19.17, inclusive.
4. The price reported in Column 4 represents a weighted average sales price of $17.46. These shares were sold in multiple transactions at prices ranging from $16.90 to $17.86, inclusive.
5. The price reported in Column 4 represents a weighted average sales price of $18.14. These shares were sold in multiple transactions at prices ranging from $17.99 to $18.27, inclusive.
6. The price reported in Column 4 represents a weighted average sales price of $16.54. These shares were sold in multiple transactions at prices ranging from $16.25 to $17.11, 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 10/09/2025
** 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 did Aeluma director Mark N. Tompkins sell (ALMU)?

He sold a total of 106,908 shares of common stock across transactions on 10/07/2025–10/09/2025.

At what prices were the ALMU shares sold?

Reported weighted-average sale prices for the tranches ranged from $16.54 to $19.16, with individual tranche averages including $17.46, $18.66, and $19.16.

What is Mark Tompkins' beneficial ownership after these transactions?

Following the reported sales, he beneficially owned 2,569,674 shares, held directly.

Were these transactions open-market sales or derivative exercises?

The Form 4 lists these as sales (code "S") of common stock; no derivative securities were reported as acquired or disposed in Table II.

When were these transactions reported on Form 4?

The earliest transaction date shown is 10/07/2025, and the Form 4 is signed and dated 10/09/2025.