Aeluma CEO's family trust sells 100,000 shares

Aeluma, Inc. CEO and director Jonathan Klamkin reported the sale of 100,000 shares held through a Family Trust on September 21, 2026, at a weighted average $13.3532 per share; the sale was under a Rule 10b5-1 plan adopted May 23, 2026.

Rhea-AI Filing Summary

Aeluma, Inc. CEO and director Jonathan Klamkin reported the sale of 100,000 shares held through a Family Trust on September 21, 2026, at a weighted average $13.3532 per share; the sale was under a Rule 10b5-1 plan adopted May 23, 2026. The trust held 1,226,995 shares after the sale. Klamkin also received 31,771 RSUs, 12,675 shares as a stock award in lieu of a cash bonus, and 75,135 options with a $13.61 exercise price. Separately, 4,547 shares were delivered or withheld for payment of exercise price or tax liability at $13.61 per share.

Insider Trade Summary 10b5-1

Net Seller: 100,000 shares

Net Sell 5 txns

Insider Klamkin Jonathan

Role Chief Executive Officer

Sold 100,000 shs ($1.34M)

Type	Security	Shares	Price	Value
Grant/Award	Stock Option (right to buy) F5	75,135	$0.00	$0.00
Sale	Common Stock F1, F2	100,000	$13.3532	$1.34M
Grant/Award	Common Stock F3	31,771	$0.00	$0.00
Grant/Award	Common Stock F4	12,675	$0.00	$0.00
Exercise Price or Tax Liability	Common Stock	4,547	$13.61	$62K

Holdings After Transaction: Stock Option (right to buy) — 75,135 contracts (Direct); Common Stock — 1,226,995 shares (Indirect, By Family Trust); Common Stock — 42,302 shares (Direct)

Footnotes (5)

1. F1. Sales effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on May 23, 2026.
2. F2. Reflects the weighted average price of 100,000 shares of common stock of Aeluma, Inc. sold by the reporting person in multiple transactions on September 21, 2026 with sale prices ranging from $12.70 to $13.65 per share. The reporting person undertakes to provide upon request by the U.S. Securities and Exchange Commission staff, the issuer, or a security holder of the issuer, full information regarding the number of shares sold at each separate price.
3. F3. 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.
4. F4. Stock award in lieu of cash bonus.
5. F5. 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

Shares sold: 100,000 shares Weighted average sale price: $13.3532 per share Shares held after sale: 1,226,995 shares +5 more

8 metrics

Shares sold 100,000 shares Held through a Family Trust; September 21, 2026

Weighted average sale price $13.3532 per share Multiple transactions on September 21, 2026

Shares held after sale 1,226,995 shares Family Trust

Stock options granted 75,135 options September 21, 2026; scheduled to vest over time

Option exercise price $13.61 per share Stock options granted September 21, 2026

Restricted stock units 31,771 RSUs Scheduled to vest and settle into an equal number of common shares

Stock award in lieu of cash bonus 12,675 shares September 21, 2026

Shares delivered or withheld for payment of exercise price or tax liability 4,547 shares Reported at $13.61 per share

Key Terms

Rule 10b5-1 trading plan, Restricted stock units, weighted average price, exercise price, +1 more

5 terms

Rule 10b5-1 trading plan regulatory

"Sales effected pursuant to a Rule 10b5-1 trading plan"

A Rule 10b5-1 trading plan is a pre-arranged schedule that allows company insiders to buy or sell stock at specific times, even if they have inside information. It helps prevent accusations of unfair trading by making these transactions look planned and transparent, rather than sneaky or illegal.

Restricted stock units financial

"Restricted stock units (RSUs) scheduled to vest"

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.

weighted average price financial

"Reflects the weighted average price of 100,000 shares"

Weighted average price is the average price of a security where each trade or component is counted according to its size, so bigger trades pull the average more than smaller ones. Think of it like calculating the average cost of a grocery haul where items you bought more of have greater influence on the final per-item cost. Investors use it to understand the true average price paid or received, judge execution quality, and compare trading performance against market movement.

exercise price financial

"Stock options with a $13.61 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.

substantially equivalent quarterly increments financial

"thereafter in 12 substantially equivalent quarterly increments"

FAQ

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

How many ALMU shares were sold, and at what price?

A Family Trust reported as indirectly owned by Jonathan Klamkin sold 100,000 shares on September 21, 2026, at a weighted average of $13.3532 per share. The sale prices ranged from $12.70 to $13.65 per share, and the trust held 1,226,995 shares after the sale.

Was the ALMU CEO's reported sale made under a trading plan?

Yes. The sale was made pursuant to a Rule 10b5-1 trading plan adopted by Jonathan Klamkin on May 23, 2026.

When are Jonathan Klamkin's ALMU RSUs and stock options scheduled to vest?

The 75,135 options are scheduled to vest 25% on the first anniversary of the grant date, then in 36 substantially equivalent increments on each monthly anniversary. The 31,771 RSUs are scheduled to vest and settle into equal shares: 25% on September 30, 2027, then in 12 substantially equivalent quarterly increments on each calendar quarter's last day.

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

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Available on EDGAR 09/23/2026 - 07:16 PM Accepted by SEC EDGAR 09/23/2026 - 07:16 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).

X

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^*

Klamkin Jonathan

(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)

X	Director		10% Owner
X	Officer (give title below)		Other (specify below)
	Chief Executive 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		S(1)		100,000	D	$13.3532(2)	1,226,995	I	By Family Trust
Common Stock	09/21/2026		A		31,771(3)	A	$0	34,174	D
Common Stock	09/21/2026		A		12,675(4)	A	$0	46,849	D
Common Stock	09/21/2026		F		4,547	D	$13.61	42,302	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		75,135		(5)	09/21/2036	Common Stock	75,135	$0	75,135	D

Explanation of Responses:

1. Sales effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on May 23, 2026.

2. Reflects the weighted average price of 100,000 shares of common stock of Aeluma, Inc. sold by the reporting person in multiple transactions on September 21, 2026 with sale prices ranging from $12.70 to $13.65 per share. The reporting person undertakes to provide upon request by the U.S. Securities and Exchange Commission staff, the issuer, or a security holder of the issuer, full information regarding the number of shares sold at each separate price.

3. 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.

4. Stock award in lieu of cash bonus.

5. 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.

	/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)