Aeluma SEC Filings

Aeluma, Inc. provides fragments of a prospectus supplement for a registered offering of common stock (Nasdaq: ALMU). The document discloses an assumed public offering price context, underwriting arrangements including an underwriter option exercisable for 30 days to purchase additional shares, and estimated proceeds before expenses. It lists outstanding equity instruments: 954,354 and 837,754 shares issuable upon exercise of stock options (two different snapshots), warrants of 533,835 and 542,888 shares, and plan reserves of 1,344,781 and 1,576,437 shares under the 2021 Equity Incentive Plan. The historical net tangible book value per share is shown as $1.13 as of June 30, 2025. The supplement references risk factors, use of proceeds, underwriting, legal matters, and incorporated SEC filings including the annual report for year ended June 30, 2025 and several recent current and quarterly reports.

Jonathan Klamkin, Chief Executive Officer and a director of Aeluma, Inc. (ALMU), reported an amendment to his Form 4 disclosing stock awards and a sale. On July 1, 2025 he received a bonus consisting of 2,403 restricted stock units (RSUs) and a stock option for 6,253 shares with a $16.37 exercise price that vested immediately. On August 14, 2025 he sold 150,000 shares in multiple transactions at a weighted average price of $18.8487 per share. Following the sale, the filing shows Mr. Klamkin beneficially owns 1,479,398 shares. The amendment clarifies that the sale was executed under a non-10b5-1 trading arrangement and corrects an earlier reference to a 10b5-1 plan.

Aeluma, Inc. (ALMU) filing a Form 144/A notifies the market of a proposed sale of 150,000 common shares by an insider through Oppenheimer & Co., with an aggregate market value of $2,827,312.50. The shares represent part of a holding of 15,795,467 shares outstanding and the approximate sale date is 08/14/2025 on NASDAQ. The securities were originally acquired in a private placement on 10/27/2020 from the issuer, with payment completed on that date. The filer reports no shares sold in the past three months and includes the standard representation that they are unaware of any undisclosed material adverse information about the issuer.

Aeluma, Inc. filed a Form 10-K describing concentrated government contract revenue, recent financings, and operational risks. The company established a Shelf S-3 registration allowing up to $100,000,000 of securities offerings and completed a public offering in March 2025 that raised net proceeds of $12.6 million after underwriting discounts. For fiscal 2025, 71% of revenue was from Customer E and 100% of accounts receivable related to Customer E as of June 30, 2025, indicating high customer concentration. Convertible notes totaling $3.1 million converted into 898,573 shares, eliminating the related debt. The report discloses limited board oversight on cybersecurity, significant unrecognized stock-based compensation of $4.1 million, federal net operating loss carryforwards of $7.6 million, and material lease and ROU remeasurement items.

Jonathan Klamkin, Aeluma, Inc. CEO and director, reported option and restricted stock unit awards and a planned sale of common stock. The report shows a bonus grant of 6,253 stock options exercisable at $16.37 and 2,403 restricted stock units (RSUs) that vested immediately, each RSU converting into one share on settlement. Following those awards, the reporting person sold 150,000 shares under a Rule 10b5-1 trading plan at a weighted average price of $18.8487 per share. Beneficial ownership decreased from 1,629,398 shares to 1,479,398 shares after the sale.

Aeluma, Inc. (ALMU) Form 144 reports a proposed sale of 150,000 common shares on NASDAQ through Oppenheimer & Co., with an aggregate market value of $2,827,312.50 based on the filing. The shares represent part of a 15,795,467-share outstanding base and are scheduled for sale on 08/14/2025. The filer acquired these shares in a private placement from the issuer on 10/27/2020 and paid for them in full on that date. The filing indicates no securities sold by the filer in the prior three months and includes the standard attestation that the seller is not aware of undisclosed material adverse information.

Aeluma's Chief Financial Officer, Christopher P. Stewart, reported direct beneficial ownership of equity awards consisting of 110,000 stock options with an exercise price of $21.04 and 55,000 restricted stock units (RSUs). The options vest 25% after 12 months then monthly over 36 months and expire 10 years after the vesting date. The RSUs vest 25% after the first fiscal quarter following the 12-month anniversary, then quarterly thereafter, and each RSU converts to one share at settlement.

Aeluma, Inc. appointed Christopher Stewart as full-time Chief Financial Officer and Principal Accounting Officer effective August 4, 2025. Stewart replaces interim CFO James Seo and brings prior public-company CFO experience at LeddarTech and Bionano Genomics and senior financial leadership roles at Maxwell Technologies, Entropic Communications and Intel. The company will enter into a standard indemnification agreement with him.

Stewart's compensation includes an annual salary of $300,000, an option to purchase 110,000 shares under the 2021 Stock Incentive Plan and 55,000 restricted stock units subject to the Plan. The employment agreement is attached as Exhibit 10.1 and a press release announcing the appointment is filed as Exhibit 99.1. The filing states no family relationships or transactions requiring Item 404 disclosure.