Aeluma (ALMU) director sells; direct holdings now 2,397,488

Aeluma, Inc. (ALMU) director reported open‑market sales of common stock on 10/15/2025 and 10/16/2025 (transaction code S).

Rhea-AI Filing Summary

Aeluma, Inc. (ALMU) director reported open‑market sales of common stock on 10/15/2025 and 10/16/2025 (transaction code S). On 10/15/2025, sales included 24,147 shares at $20.11 (weighted average) and 15,853 shares at $21.31. On 10/16/2025, sales included 17,540 shares at $18.97, 6,650 shares at $19.96, and 810 shares at $20.72. Following these trades, the reporting person beneficially owns 2,397,488 shares, held directly. Footnotes note weighted‑average pricing across stated ranges.

Insider Trade Summary

Net Seller: 65,000 shares

Net Sell 5 txns

Insider Tompkins Mark N.

Role 10% Owner

Sold 65,000 shs ($1.31M)

Type	Security	Shares	Price	Value
Sale	Common Stock	17,540	$18.97	$333K
Sale	Common Stock	6,650	$19.96	$133K
Sale	Common Stock	810	$20.72	$17K
Sale	Common Stock	24,147	$20.11	$486K
Sale	Common Stock	15,853	$21.31	$338K

Holdings After Transaction: Common Stock — 2,397,488 shares (Direct)

Footnotes (5)

1. F1. The price reported in Column 4 represents a weighted average sales price. These shares were sold in multiple transactions at prices ranging from $19.71 to $20.57, inclusive.
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 $20.71 to $21.52, 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 $18.63 to $19.63, inclusive.
4. F4. The price reported in Column 4 represents a weighted average sales price. These shares were sold in multiple transactions at prices ranging from $19.64 to $20.57, inclusive.
5. F5. The price reported in Column 4 represents a weighted average sales price. These shares were sold in multiple transactions at prices ranging from $20.65 to $20.76, inclusive.

FAQ

AI-generated questions and answers. How Rhea-AI works. Not financial advice.

What did Aeluma (ALMU) disclose in this Form 4?

A director reported open‑market sales of common stock on 10/15/2025 and 10/16/2025 with transaction code S.

How many Aeluma (ALMU) shares does the insider hold after the transactions?

The reporting person beneficially owns 2,397,488 shares directly after the reported trades.

What were the notable sale amounts and prices reported?

Examples include 24,147 shares at $20.11 and 15,853 shares at $21.31 on 10/15/2025.

Were the reported prices exact or averaged?

Prices are weighted average figures, with ranges disclosed in the footnotes for each transaction.

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

The reporting person is a Director of Aeluma, Inc.

How is ownership reported for these holdings?

Ownership is reported as Direct (D).

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

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Accepted by SEC EDGAR 10/17/2025 - 09:00 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).

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)
10/15/2025

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	10/15/2025		S		24,147	D	$20.11(1)	2,438,341	D
Common Stock	10/15/2025		S		15,853	D	$21.31(2)	2,422,488	D
Common Stock	10/16/2025		S		17,540	D	$18.97(3)	2,404,948	D
Common Stock	10/16/2025		S		6,650	D	$19.96(4)	2,398,298	D
Common Stock	10/16/2025		S		810	D	$20.72(5)	2,397,488	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 $19.71 to $20.57, 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 $20.71 to $21.52, 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 $18.63 to $19.63, 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 $19.64 to $20.57, 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 $20.65 to $20.76, 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	10/17/2025
	** 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.