ALMU insider disposes 129,751 shares at $17.1–$18.7 average

Rhea-AI Filing Summary

Mark N. Tompkins, a director of Aeluma, Inc. (ALMU), reported multiple sales of common stock across 10/02/2025 to 10/06/2025. The filings show a total of 129,751 shares sold in five transactions at weighted-average prices ranging from $17.10 to $18.70, with per-transaction weighted averages disclosed for each sale. After the reported disposals, the reporting person beneficially owned 2,676,582 shares. The filer certifies willingness to provide detailed price-by-price breakdowns upon request. The form is a routine Section 16 report documenting insider sales; no options or derivative transactions were reported.

Insights

Corporate Governance Analyst

Insider completed substantial open-market sales totaling 129,751 shares over five days.

The transactions were reported as direct sales with weighted-average prices of $17.10, $17.30, $17.94, and $18.70. The filing lists remaining beneficial ownership at 2,676,582 shares, showing the director retains a material equity stake.

Key dependencies include whether sales were preplanned under a written plan (no 10b5-1 box was checked) and the absence of disclosed derivative activity. Monitor publicly available trade-level prints or issuer disclosures if precise timing or price-by-price detail is needed within days.

10/06/2025 - 09:24 PM

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)
10/02/2025

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	10/02/2025		S		34,880	D	$17.1(1)	2,771,453	D
Common Stock	10/02/2025		S		120	D	$17.58	2,771,333	D
Common Stock	10/03/2025		S		18,189	D	$17.3(2)	2,753,144	D
Common Stock	10/03/2025		S		12,958	D	$17.94(3)	2,740,186	D
Common Stock	10/06/2025		S		63,604	D	$18.7(4)	2,676,582	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 $17.10. These shares were sold in multiple transactions at prices ranging from $16.49 to $17.48, inclusive.

2. The price reported in Column 4 represents a weighted average sales price of $17.30. These shares were sold in multiple transactions at prices ranging from $16.65 to $17.64, inclusive.

3. The price reported in Column 4 represents a weighted average sales price of $17.94. These shares were sold in multiple transactions at prices ranging from $17.65 to $18.20, inclusive.

4. The price reported in Column 4 represents a weighted average sales price of $18.70. These shares were sold in multiple transactions at prices ranging from $18.25 to $19.00, 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	10/06/2025
	** 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.

FAQ

What did Aeluma (ALMU) insider Mark N. Tompkins sell?

The director sold a total of 129,751 shares of common stock across transactions dated 10/02/2025 to 10/06/2025.

At what prices were the ALMU shares sold?

Reported weighted-average sale prices ranged from $17.10 to $18.70, with specific weighted averages disclosed per transaction.

How many ALMU shares does the director own after the sales?

Following the reported transactions, the reporting person beneficially owned 2,676,582 shares.

Was a 10b5-1 trading plan indicated on the Form 4?

No; the box indicating a transaction pursuant to a 10b5-1 plan was not checked on the filing.

Are there any derivative transactions reported by the insider?

No derivative securities were reported in Table II; only non-derivative common stock sales are listed.