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Tompkins trims Aeluma (NASDAQ: ALMU) stake with 105,000-share sale

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

Rhea-AI Filing Summary

Aeluma, Inc. insider activity: Mark N. Tompkins, a 10% owner of Aeluma (ALMU), reported open‑market sales of a total of 105,000 shares of common stock over three days in January 2026. The trades occurred on January 20–22, 2026 at weighted average prices reported between $18.05 and $21.58 per share, with each price reflecting multiple individual transactions within the stated ranges. After these sales, Tompkins directly beneficially owned 1,919,988 shares of Aeluma common stock. The footnotes state that the reported prices are weighted averages and that more detailed breakdowns by individual execution price are available upon request.

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Insights

10% owner sells 105,000 Aeluma shares but retains a large stake.

Mark N. Tompkins, identified as a 10% owner of Aeluma, Inc., executed a series of open‑market sales of common stock over January 20–22, 2026. Across eight reported transactions, he sold a total of 105,000 shares at weighted average prices ranging from $18.05 to $21.58 per share. Each reported price represents multiple individual trades within specified price bands, indicating the sales were worked through the market rather than a single block.

Following these transactions, Tompkins still directly beneficially owned 1,919,988 common shares, so the sales reduced but did not eliminate his exposure. The filing does not describe reasons or any related corporate events, so the information is limited to the fact of the sales and remaining holdings. Future company filings and insider reports may provide additional context on whether this pattern of selling continues or was a one‑off liquidity event.

Insider Tompkins Mark N.
Role 10% Owner
Sold 105,000 shs ($2.01M)
Type Security Shares Price Value
Sale Common Stock 29,038 $18.05 $524K
Sale Common Stock 962 $18.81 $18K
Sale Common Stock 30,328 $18.52 $562K
Sale Common Stock 12,947 $19.30 $250K
Sale Common Stock 1,715 $20.44 $35K
Sale Common Stock 10 $21.24 $212.40
Sale Common Stock 29,112 $20.66 $601K
Sale Common Stock 888 $21.58 $19K
Holdings After Transaction: Common Stock — 1,920,950 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 $20.41 to $21.40, inclusive. The price reported in Column 4 represents a weighted average sales price. These shares were sold in multiple transactions at prices ranging from $21.45 to $21.68, inclusive. The price reported in Column 4 represents a weighted average sales price. These shares were sold in multiple transactions at prices ranging from $18.00 to $18.98, inclusive. The price reported in Column 4 represents a weighted average sales price. These shares were sold in multiple transactions at prices ranging from $18.99 to $19.97, inclusive. The price reported in Column 4 represents a weighted average sales price. These shares were sold in multiple transactions at prices ranging from $20.00 to $20.99, inclusive. The price reported in Column 4 represents a weighted average sales price. These shares were sold in multiple transactions at prices ranging from $17.65 to $18.50, inclusive. The price reported in Column 4 represents a weighted average sales price. These shares were sold in multiple transactions at prices ranging from $18.67 to $19.02, inclusive.
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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)
01/20/2026
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 01/20/2026 S 29,112 D $20.66(1) 1,995,876 D
Common Stock 01/20/2026 S 888 D $21.58(2) 1,994,988 D
Common Stock 01/21/2026 S 30,328 D $18.52(3) 1,964,660 D
Common Stock 01/21/2026 S 12,947 D $19.3(4) 1,951,713 D
Common Stock 01/21/2026 S 1,715 D $20.44(5) 1,949,998 D
Common Stock 01/21/2026 S 10 D $21.24 1,949,988 D
Common Stock 01/22/2026 S 29,038 D $18.05(6) 1,920,950 D
Common Stock 01/22/2026 S 962 D $18.81(7) 1,919,988 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 $20.41 to $21.40, 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 $21.45 to $21.68, 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 $18.00 to $18.98, 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 $18.99 to $19.97, 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 $20.00 to $20.99, inclusive.
6. The price reported in Column 4 represents a weighted average sales price. These shares were sold in multiple transactions at prices ranging from $17.65 to $18.50, inclusive.
7. The price reported in Column 4 represents a weighted average sales price. These shares were sold in multiple transactions at prices ranging from $18.67 to $19.02, 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 01/22/2026
** 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.

Source: View Original Filing on SEC EDGAR

FAQ

What insider transaction did Aeluma (ALMU) report for Mark N. Tompkins?

Mark N. Tompkins, a 10% owner of Aeluma, Inc., reported a series of open‑market sales of the company’s common stock over three days in January 2026. The Form 4 shows multiple sales transactions in Aeluma common shares coded as “S” for sale.

How many Aeluma (ALMU) shares did Mark N. Tompkins sell in this Form 4?

Across all reported transactions on January 20–22, 2026, Mark N. Tompkins sold a total of 105,000 shares of Aeluma common stock. This total comes from eight separate line‑item sales reported in Table I of the Form 4.

At what prices were the Aeluma (ALMU) shares sold by Mark N. Tompkins?

The reported sales prices are weighted average prices. Individual transactions on those days were executed within stated ranges. The weighted averages disclosed include $20.66, $21.58, $18.52, $19.30, $20.44, $21.24, $18.05, and $18.81 per share, each tied to a specific sale entry.

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

After completing the reported transactions, Mark N. Tompkins directly beneficially owned 1,919,988 shares of Aeluma common stock. The ownership form is listed as Direct (D) in the filing’s Table I.

Over what dates did the Aeluma (ALMU) insider sales by Mark N. Tompkins occur?

The sales reported in this Form 4 took place on January 20, 2026, January 21, 2026, and January 22, 2026. Each date includes one or more separate sale transactions in Aeluma common stock.

What do the weighted average price footnotes mean in the Aeluma (ALMU) Form 4?

The footnotes explain that each price shown in Column 4 is a weighted average sales price for multiple trades executed that day within a specified price range. The reporting person states they will provide full details of the number of shares sold at each individual price level within those ranges upon request.

Is Mark N. Tompkins a director or officer of Aeluma (ALMU)?

In this Form 4, Mark N. Tompkins is identified as a 10% owner of Aeluma, Inc. The insider data does not indicate that he is a director or officer in this filing.