Aeluma CFO receives options covering 37,568 shares

The RSUs are scheduled to vest and settle in installments beginning September 30, 2027; the options vest partly on the first grant anniversary and monthly thereafter.

Rhea-AI Filing Summary

Aeluma, Inc. Chief Financial Officer Stewart Christopher P. reported equity awards on September 21, 2026: 15,886 restricted stock units, 4,042 shares as a stock award in lieu of a cash bonus, and options covering 37,568 shares at a $13.61 exercise price. The RSUs are scheduled to vest and settle 25% on September 30, 2027, then in 12 quarterly increments. The options vest 25% on the first grant anniversary, then in 36 monthly increments. Separately, 1,450 shares were delivered or withheld for payment of exercise price or tax liability.

Insider Trade Summary

4 transactions reported

Mixed 4 txns

Insider Stewart Christopher P.

Role Chief Financial Officer

Type	Security	Shares	Price	Value
Grant/Award	Stock Option (right to buy) F3	37,568	$0.00	$0.00
Grant/Award	Common Stock F1	15,886	$0.00	$0.00
Grant/Award	Common Stock F2	4,042	$0.00	$0.00
Exercise Price or Tax Liability	Common Stock	1,450	$13.61	$20K

Holdings After Transaction: Stock Option (right to buy) — 37,568 contracts (Direct); Common Stock — 18,478 shares (Direct)

Footnotes (3)

1. F1. Restricted stock units ("RSUs") scheduled to vest and settle into an equal number of shares of common stock with respect to 25% of the shares on September 30, 2027 and thereafter in 12 substantially equivalent quarterly increments on the last day of each calendar quarter.
2. F2. Stock award in lieu of cash bonus.
3. F3. Stock options scheduled to vest with respect to 25% of the shares on first anniversary of the grant date, and thereafter in 36 substantially equivalent increments on each monthly anniversary of the grant date.

Key Figures

Restricted stock units awarded: 15,886 shares Stock award in lieu of cash bonus: 4,042 shares Stock options awarded: 37,568 options +2 more

5 metrics

Restricted stock units awarded 15,886 shares Reported September 21, 2026

Stock award in lieu of cash bonus 4,042 shares Reported September 21, 2026

Stock options awarded 37,568 options Reported September 21, 2026

Exercise price $13.61 per share Options covering 37,568 shares

Shares delivered or withheld 1,450 shares For payment of exercise price or tax liability

Key Terms

restricted stock units, Stock options, exercise price

3 terms

restricted stock units financial

"Restricted stock units ("RSUs") scheduled to vest and settle"

Restricted stock units are a type of company reward where employees are promised shares of stock, but they only fully own these shares after meeting certain conditions, like staying with the company for a set time. They matter because they can become valuable assets and are often used to motivate employees to help the company succeed.

Stock options financial

"Stock options scheduled to vest"

Stock options are agreements that give a person the right to buy or sell a company's stock at a specific price within a certain time frame. They are often used as a reward or incentive, similar to a coupon that can be used later if the stock price rises, allowing the holder to make a profit.

exercise price financial

"conversion or exercise price"

The exercise price is the fixed amount at which you can buy or sell an asset, like a stock, when using an options contract. It matters because it helps determine whether exercising the option will be profitable or not, depending on the current market price. Think of it as the set price you agree on today to buy or sell later.

FAQ

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

What equity awards did Aeluma (ALMU) report for its CFO?

The CFO reported 15,886 restricted stock units, 4,042 shares as a stock award in lieu of a cash bonus, and options covering 37,568 shares on September 21, 2026. Separately, 1,450 shares were delivered or withheld for payment of exercise price or tax liability.

How do the Aeluma (ALMU) equity awards vest?

The RSUs are scheduled to vest and settle 25% on September 30, 2027, followed by 12 substantially equivalent quarterly increments on the last day of each calendar quarter. The options vest 25% on the first anniversary of the grant date, followed by 36 substantially equivalent monthly increments.

Did the Aeluma (ALMU) transactions use a Rule 10b5-1 plan?

No Rule 10b5-1 plan is reported.

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

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Available on EDGAR 09/23/2026 - 07:19 PM Accepted by SEC EDGAR 09/23/2026 - 07:18 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^*

Stewart Christopher P.

(Last) (First) (Middle)

27 CASTILIAN DRIVE

(Street)

GOLETA CALIFORNIA 93117

(City) (State) (Zip)

UNITED STATES

(Country)

2. Issuer Name and Ticker or Trading Symbol
Aeluma, Inc. [ ALMU ]

5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)

	Director		10% Owner
X	Officer (give title below)		Other (specify below)
	Chief Financial Officer

2a. Foreign Trading Symbol

3. Date of Earliest Transaction (Month/Day/Year)
09/21/2026

6. Individual or Joint/Group Filing (Check Applicable Line)

X	Form filed by One Reporting Person
	Form filed by More than One Reporting Person

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

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	09/21/2026		A		15,886(1)	A	$0	15,886	D
Common Stock	09/21/2026		A		4,042(2)	A	$0	19,928	D
Common Stock	09/21/2026		F		1,450	D	$13.61	18,478	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
Stock Option (right to buy)	$13.61	09/21/2026		A		37,568		(3)	09/21/2036	Common Stock	37,568	$0	37,568	D

Explanation of Responses:

1. Restricted stock units ("RSUs") scheduled to vest and settle into an equal number of shares of common stock with respect to 25% of the shares on September 30, 2027 and thereafter in 12 substantially equivalent quarterly increments on the last day of each calendar quarter.

2. Stock award in lieu of cash bonus.

3. Stock options scheduled to vest with respect to 25% of the shares on first anniversary of the grant date, and thereafter in 36 substantially equivalent increments on each monthly anniversary of the grant date.

Remarks:

Exhibit List: Exhibit 24-Power of Attorney

	/s/ Joshua L. Colburn, Attorney-in-Fact	09/23/2026
	** 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.
* Form 4: SEC 1474 (03-26)