ALMU Form 4: insider sale at $19.86; 2,462,488 shares held

Q: How many shares were sold by the reporting person and at what prices?

Sales included 30,587 shares at a weighted average price of $16.60 , 4,413 at $17.16 , 35,031 at $16.97 , 300 at $17.57 , and 36,855 at $19.86 .

Q: What price ranges did the weighted average prices cover?

Ranges were $16.06–$17.05 , $17.06–$17.25 , $16.53–$17.49 , and $19.65–$20.32 , as noted in the footnotes.

Q: What is the insider’s ownership after the reported transactions?

The reporting person beneficially owned 2,462,488 shares following the last reported sale on 10/14/2025.

Q: Is the ownership direct or indirect?

The filing lists the ownership form as Direct (D) for the reported holdings.

Filing Impact

(Very High)

Filing Sentiment

(Negative)

Form Type

Rhea-AI Filing Summary

Aeluma, Inc. (ALMU) reported insider share sales on a Form 4. The reporting person executed multiple open‑market sales of common stock: 30,587 shares at a weighted average price of $16.60 on 10/10/2025 (range $16.06–$17.05), an additional 4,413 shares at $17.16 on 10/10/2025 (range $17.06–$17.25), 35,031 shares at $16.97 on 10/13/2025 (range $16.53–$17.49), 300 shares at $17.57 on 10/13/2025, and 36,855 shares at $19.86 on 10/14/2025 (range $19.65–$20.32). After these transactions, the reporting person beneficially owned 2,462,488 shares, held directly.

Insights

Large shareholder reported multi-day open-market sales; holdings remain significant; no derivatives involved. Overall impact reads as informational, not thesis-changing.

The reporting person, identified as a Director/10% owner of Aeluma, Inc. (ALMU), disclosed open-market sales across three trading days: 10/10/2025, 10/13/2025, and 10/14/2025. Weighted-average prices were disclosed with ranges: $16.60 ($16.06–$17.05), $17.16 ($17.06–$17.25), $16.97 ($16.53–$17.49), one trade at $17.57, and $19.86 ($19.65–$20.32). After these transactions, direct beneficial ownership stands at 2,462,488 shares.

All reported sales are non-derivative common stock, with no derivative transactions reported in Table II. The filing specifies direct ownership ("D") and provides standard undertakings to supply detailed trade breakdowns within the disclosed price ranges. This is a change in beneficial ownership, not a change in control or governance structure.

Key items to watch: any continued selling activity in subsequent Forms 4, shifts in the remaining 2,462,488 directly held shares, and any future disclosures that alter ownership form or add derivative positions. The next relevant check would be upcoming Section 16 filings following October 2025 to assess persistence or cessation of selling.

Insider Trade Summary

Net Seller: 107,186 shares ($1,915,159)

Net Sell 5 txns

Insider Tompkins Mark N.

Role 10% Owner

Sold 107,186 shs ($1.92M)

Type	Security	Shares	Price	Value
Sale	Common Stock	36,855	$19.86	$732K
Sale	Common Stock	35,031	$16.97	$594K
Sale	Common Stock	300	$17.57	$5K
Sale	Common Stock	30,587	$16.60	$508K
Sale	Common Stock	4,413	$17.16	$76K

Holdings After Transaction: Common Stock — 2,462,488 shares (Direct)

Footnotes (1)

The price reported in Column 4 represents a weighted average sales price of $16.60. These shares were sold in multiple transactions at prices ranging from $16.06 to $17.05, inclusive. The price reported in Column 4 represents a weighted average sales price of $17.16. These shares were sold in multiple transactions at prices ranging from $17.06 to $17.25, inclusive. The price reported in Column 4 represents a weighted average sales price of $16.97. These shares were sold in multiple transactions at prices ranging from $16.53 to $17.49, inclusive. The price reported in Column 4 represents a weighted average sales price of $19.86. These shares were sold in multiple transactions at prices ranging from $19.65 to $20.32, inclusive.

Form 4 Insider Transactions: What Each Field Means →

10/14/2025 - 09:59 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).

1. Name and Address of Reporting Person^*

Tompkins Mark N.

(Last)

(First)

(Middle)

APP. 1, VIA GUIDINO 23

(Street)

LUGANO-PARADISO

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)
10/10/2025

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)
1. Title of Security (Instr. 3)	2. Transaction Date (Month/Day/Year)	2A. Deemed Execution Date, if any (Month/Day/Year)	Code	V	Amount	(A) or (D)	Price		6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	7. Nature of Indirect Beneficial Ownership (Instr. 4)
Common Stock	10/10/2025		S		30,587	D	$16.6⁽¹⁾	2,539,087	D
Common Stock	10/10/2025		S		4,413	D	$17.16⁽²⁾	2,534,674	D
Common Stock	10/13/2025		S		35,031	D	$16.97⁽³⁾	2,499,643	D
Common Stock	10/13/2025		S		300	D	$17.57	2,499,343	D
Common Stock	10/14/2025		S		36,855	D	$19.86⁽⁴⁾	2,462,488	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)
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)	Code	V	(A)	(D)	Date Exercisable	Expiration Date	Title	Amount or Number of Shares	8. Price of Derivative Security (Instr. 5)		10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	11. Nature of Indirect Beneficial Ownership (Instr. 4)

Explanation of Responses:

1. The price reported in Column 4 represents a weighted average sales price of $16.60. These shares were sold in multiple transactions at prices ranging from $16.06 to $17.05, inclusive.

2. The price reported in Column 4 represents a weighted average sales price of $17.16. These shares were sold in multiple transactions at prices ranging from $17.06 to $17.25, inclusive.

3. The price reported in Column 4 represents a weighted average sales price of $16.97. These shares were sold in multiple transactions at prices ranging from $16.53 to $17.49, inclusive.

4. The price reported in Column 4 represents a weighted average sales price of $19.86. These shares were sold in multiple transactions at prices ranging from $19.65 to $20.32, 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	10/14/2025
	** 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.

Source: View Original Filing on SEC EDGAR

FAQ

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

A series of insider open‑market sales of common stock on 10/10/2025, 10/13/2025, and 10/14/2025, with post‑transaction holdings of 2,462,488 shares.

How many shares were sold by the reporting person and at what prices?

Sales included 30,587 shares at a weighted average price of $16.60, 4,413 at $17.16, 35,031 at $16.97, 300 at $17.57, and 36,855 at $19.86.

What price ranges did the weighted average prices cover?

Ranges were $16.06–$17.05, $17.06–$17.25, $16.53–$17.49, and $19.65–$20.32, as noted in the footnotes.

What is the insider’s ownership after the reported transactions?

The reporting person beneficially owned 2,462,488 shares following the last reported sale on 10/14/2025.

Is the ownership direct or indirect?

The filing lists the ownership form as Direct (D) for the reported holdings.

Were any derivative securities reported?

No derivative securities were reported in Table II for these transactions.