Aeluma director granted 10,861 restricted units

Paglia John Kenneth reported acquisition or exercise transactions in this Form 4 filing.

Rhea-AI Filing Summary

Paglia John Kenneth reported acquisition or exercise transactions in this Form 4 filing.

Aeluma, Inc. director John Kenneth Paglia reported receiving a grant of 10,861 shares of common stock in the form of restricted stock units at a stated price of $0 per share. Following this award, he holds 23,361 shares directly. The units are scheduled to vest over time: about 1/12 on December 31, 2025, 1/4 each on March 31, June 30, and September 30, 2026, and 1/6 on November 30, 2026.

Insider Trade Summary

Grant/Award: 10,861 shares

Grant/Award 1 txn

Insider Paglia John Kenneth

Role Director

Type	Security	Shares	Price	Value
Grant/Award	Common Stock	10,861	$0.00	$0.00

Holdings After Transaction: Common Stock — 23,361 shares (Direct)

Footnotes (1)

1. F1. Restricted stock units scheduled to vest with respect to approximately 1/12 of the shares on December 31, 2025, 1/4 of the shares on March 31, June 30, and September 30, 2026, and 1/6 of the shares on November 30, 2026.

FAQ

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

What insider transaction did Aeluma (ALMU) disclose for John Kenneth Paglia?

Aeluma reported that director John Kenneth Paglia received a grant of 10,861 restricted stock units representing common shares. The award was recorded at a price of $0 per share and increased his directly held common stock position to 23,361 shares after the transaction.

How many Aeluma (ALMU) shares did the director hold after the Form 4 transaction?

After the reported grant, director John Kenneth Paglia held 23,361 shares of Aeluma common stock directly. This total reflects the addition of 10,861 restricted stock units awarded to him, which represent shares that will vest over a defined schedule through late 2026.

What is the vesting schedule for the 10,861 Aeluma (ALMU) restricted stock units?

The 10,861 restricted stock units are scheduled to vest in tranches: approximately 1/12 on December 31, 2025; 1/4 on March 31, 2026; 1/4 on June 30, 2026; 1/4 on September 30, 2026; and the remaining 1/6 on November 30, 2026.

Did the Aeluma (ALMU) director pay cash for the 10,861-share stock grant?

No cash payment was reported for the award. The Form 4 shows a transaction price of $0 per share for the 10,861 restricted stock units, indicating this was a grant or award of equity compensation rather than an open-market purchase of Aeluma common stock.

Is the Aeluma (ALMU) director’s ownership reported as direct or indirect after the grant?

The Form 4 classifies John Kenneth Paglia’s ownership as direct after the transaction. The 23,361 shares of Aeluma common stock, including the newly granted restricted stock units, are reported with a direct ownership code, without reference to any intermediary entities or indirect holdings.

What transaction code was used in the Aeluma (ALMU) Form 4 filing?

The Form 4 uses transaction code “A”, which is described as a grant, award, or other acquisition. In this case, it reflects the issuance of 10,861 restricted stock units of Aeluma common stock to director John Kenneth Paglia as part of his equity compensation arrangement.

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

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Accepted by SEC EDGAR 03/02/2026 - 04:56 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^*

Paglia John Kenneth

(Last) (First) (Middle)

27 CASTILIAN DRIVE

(Street)

GOLETA CA 93117

(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)

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

3. Date of Earliest Transaction (Month/Day/Year)
12/03/2025

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	12/03/2025		A		10,861(1)	A	$0	23,361	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. Restricted stock units scheduled to vest with respect to approximately 1/12 of the shares on December 31, 2025, 1/4 of the shares on March 31, June 30, and September 30, 2026, and 1/6 of the shares on November 30, 2026.

	/s/ Joshua L. Colburn, Attorney-in-Fact	03/02/2026
	** 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.
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