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ALMU Form 4: Director Mark Tompkins Reports Multiple Stock Sales on Sep 29–Oct 1

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

Rhea-AI Filing Summary

Mark N. Tompkins, a director of Aeluma, Inc. (ALMU), reported multiple open-market sales of Common Stock dated 09/29/2025 through 10/01/2025. The Form 4 lists six sale transactions: 23,382 shares at a weighted average price of $17.52, 1,618 shares at $18.36, 33,380 shares at $16.18, 200 shares at $17.54, 9,133 shares at $16.39, and 41,367 shares at $16.97. The form shows his beneficial ownership after the reported transactions declining to 2,806,333 shares.

The footnotes disclose the price ranges for each weighted-average sale and the reporting person commits to provide detailed per-price sale information on request. The filing is signed and dated 10/01/2025.

Positive

  • Compliant disclosure of all reported sales with weighted-average prices and footnote ranges
  • No derivative or complex transactions reported; all trades are direct common stock sales

Negative

  • Multiple insider sales across 09/29/2025–10/01/2025 totaling reported blocks (see Form 4 line items)
  • Beneficial ownership decreased to 2,806,333 shares following the reported transactions, which may concern some investors

Insights

TL;DR: Director reported routine open-market sales totaling reported blocks on 09/29-10/01/2025; disclosure is complete.

The Form 4 documents multiple open-market dispositions by Director Mark N. Tompkins across three trading dates with weighted-average prices disclosed and final beneficial ownership stated as 2,806,333 shares. From a capital-markets perspective, the filing is a standard Section 16 disclosure that provides transparency on insider liquidity. There is no derivative activity reported and all transactions are recorded as direct sales. The filing does not include any commentary about the purpose of the sales or any contemporaneous acquisition activity.

TL;DR: Multiple director sales over consecutive days may attract investor attention but are fully reported.

These sales reduce the director's direct stake to 2,806,333 shares according to the Form 4. While the filing meets disclosure obligations and includes weighted-average pricing and footnote detail, clustered insider selling can raise governance questions for stakeholders about insider views on liquidity or timing. The form does not state any nonpublic reasons for the transactions, and no related-party or derivative transactions are disclosed.

Insider Tompkins Mark N.
Role 10% Owner
Sold 109,080 shs ($1.83M)
Type Security Shares Price Value
Sale Common Stock 9,133 $16.39 $150K
Sale Common Stock 41,367 $16.97 $702K
Sale Common Stock 33,380 $16.18 $540K
Sale Common Stock 200 $17.54 $4K
Sale Common Stock 23,382 $17.52 $410K
Sale Common Stock 1,618 $18.36 $30K
Holdings After Transaction: Common Stock — 2,847,700 shares (Direct)
Footnotes (1)
  1. The price reported in Column 4 represents a weighted average sales price of $17.52. These shares were sold in multiple transactions at prices ranging from $17.00 to $17.98, inclusive. The price reported in Column 4 represents a weighted average sales price of $18.36. These shares were sold in multiple transactions at prices ranging from $18.02 to $18.64, inclusive. The price reported in Column 4 represents a weighted average sales price of $16.18. These shares were sold in multiple transactions at prices ranging from $15.86 to $16.75, inclusive. The price reported in Column 4 represents a weighted average sales price of $16.39. These shares were sold in multiple transactions at prices ranging from $15.77 to $16.76, 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 $16.77 to $17.20, inclusive.
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).
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)
09/29/2025
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 09/29/2025 S 23,382 D $17.52(1) 2,892,451 D
Common Stock 09/29/2025 S 1,618 D $18.36(2) 2,890,833 D
Common Stock 09/30/2025 S 33,380 D $16.18(3) 2,857,033 D
Common Stock 09/30/2025 S 200 D $17.54 2,856,833 D
Common Stock 10/01/2025 S 9,133 D $16.39(4) 2,847,700 D
Common Stock 10/01/2025 S 41,367 D $16.97(5) 2,806,333 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 of $17.52. These shares were sold in multiple transactions at prices ranging from $17.00 to $17.98, inclusive.
2. The price reported in Column 4 represents a weighted average sales price of $18.36. These shares were sold in multiple transactions at prices ranging from $18.02 to $18.64, inclusive.
3. The price reported in Column 4 represents a weighted average sales price of $16.18. These shares were sold in multiple transactions at prices ranging from $15.86 to $16.75, inclusive.
4. The price reported in Column 4 represents a weighted average sales price of $16.39. These shares were sold in multiple transactions at prices ranging from $15.77 to $16.76, inclusive.
5. 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 $16.77 to $17.20, 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 10/01/2025
** 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 shares did Mark N. Tompkins sell according to the ALMU Form 4?

The Form 4 reports sales of Common Stock on 09/29/2025 (23,382 and 1,618 shares), 09/30/2025 (33,380 and 200 shares) and 10/01/2025 (9,133 and 41,367 shares) at disclosed weighted-average prices.

What was the weighted-average price for the largest sale on the ALMU Form 4?

The 23,382-share transaction on 09/29/2025 was reported at a weighted-average price of $17.52, with a disclosed price range of $17.00 to $17.98.

How many Aeluma (ALMU) shares does the reporting person beneficially own after these transactions?

The Form 4 shows 2,806,333 shares beneficially owned following the reported transactions.

Did the Form 4 disclose any derivative or option transactions for ALMU?

No. Table II (derivative securities) contains no reported acquisitions or dispositions; only direct common stock sales are reported in Table I.

Does the filing provide details on prices for each individual trade?

The filing provides weighted-average prices and price ranges in footnotes and states the reporting person will provide per-price sale details on request.