Welcome to our dedicated page for Aeluma SEC filings (Ticker: ALMU), a comprehensive resource for investors and traders seeking official regulatory documents including 10-K annual reports, 10-Q quarterly earnings, 8-K material events, and insider trading forms.
Aeluma, Inc. filings document the reporting record of a Nasdaq-listed emerging growth semiconductor company developing scalable photonic and electronic technologies. Its periodic and current reports cover financial results, quarterly reporting, Regulation FD materials, investor presentations and public-company disclosure controls.
The company’s SEC filings also describe capital-structure activity involving common stock, shelf registration, underwriting agreements and sales-agreement arrangements for registered equity issuance. Governance disclosures include annual meeting voting results, director elections and shareholder approvals, while other current reports address material definitive agreements and Rule 10b5-1 trading-plan disclosures.
Aeluma, Inc. (ALMU) received an updated large‑holder report from investor Mark N. Tompkins, disclosing a significant passive stake in the company. He reports beneficial ownership of 2,024,988 shares of Aeluma common stock, representing 11.34% of the outstanding shares as of December 31, 2025.
The percentage is based on 17,857,863 Aeluma common shares outstanding as of November 21, 2025, as cited from the company’s proxy statement. Tompkins has sole voting and sole dispositive power over all reported shares and certifies the holdings are not for the purpose of changing or influencing control of Aeluma.
Aeluma, Inc. reported revenue of $2.7 million for the six months ended December 31, 2025, up from $2.1 million a year earlier, mainly from U.S. government contracts. Operating expenses rose sharply to $6.3 million, driven by higher materials costs and expanding headcount, leading to a net loss of $3.3 million, slightly better than the prior period’s $3.6 million loss.
The company strengthened its balance sheet with two underwritten equity offerings in March and September 2025, providing net proceeds of $12.6 million and $23.4 million. Cash, cash equivalents and a certificate of deposit increased to $38.6 million, and management states that prior substantial doubt about its ability to continue as a going concern has been alleviated for at least the next twelve months. However, disclosure controls and procedures were deemed not effective due to limited finance staffing, and remediation efforts, including hiring a new chief financial officer and adding accounting resources, are underway.
Aeluma, Inc. reported financial results for its second quarter of fiscal 2026, for the period ended December 31, 2025. Revenue for the quarter was $1.27 million, compared with $1.39 million in the prior quarter and $1.61 million a year earlier, while the company posted a GAAP net loss of $1.85 million (or $0.11 per share).
For the first six months of fiscal 2026, revenue totaled $2.66 million and the GAAP net loss was $3.35 million. On a non-GAAP basis, which excludes stock-based compensation, certain financing-related items, and other adjustments, Aeluma reported a second-quarter net loss of $0.80 million and adjusted EBITDA of $(0.92) million.
The company emphasized progress toward commercialization, citing increasing customer engagements and initial sales orders, and reaffirmed its full fiscal 2026 revenue outlook in the range of $4.0 million to $6.0 million. Aeluma ended the quarter with $38.57 million in cash and cash equivalents, supporting ongoing research, development, and go-to-market activities.
Aeluma, Inc. is registering up to 14,011,726 shares of common stock for resale by existing selling stockholders. The shares come from prior private offerings, a merger conversion, pre‑merger holders and convertible notes, plus shares issuable on placement agent warrants.
Aeluma will not receive proceeds from stockholder resales, but may receive cash if the warrants are exercised. Its common stock trades on Nasdaq under the symbol ALMU. The company qualifies as an emerging growth and smaller reporting company, using scaled disclosure requirements.
Aeluma, Inc. insider Mark N. Tompkins reported two stock sales and is now a former 10% owner. On February 4, 2026, he sold 28,544 common shares at a weighted average price of $14.63, and another 5,956 shares at a weighted average price of $15.12.
Each reported price reflects multiple trades within disclosed ranges of $13.94–$14.91 and $14.94–$15.50. After these transactions, Tompkins beneficially owned 1,790,488 Aeluma common shares directly and no longer qualifies as a 10% beneficial owner.
Aeluma, Inc. filed a post-effective amendment on Form S-1/S-3 to register the resale of up to 14,011,726 shares of common stock held by various selling stockholders. These shares come from prior private placements in 2021 and 2023, a merger with Biond Photonics, pre-merger holders, placement agent warrants and shares underlying 2024 convertible notes.
The company is not selling any new shares in this offering and will not receive proceeds from stockholder resales, other than potential cash from the exercise of outstanding placement agent warrants. Aeluma’s common stock trades on Nasdaq under the symbol ALMU, with 18,049,306 shares outstanding as of January 31, 2026. The filing also consolidates three earlier S-1 registration statements into a single combined prospectus.
Aeluma, Inc. 10% owner Mark N. Tompkins reported multiple open‑market sales of common stock over several days. On 01/29/2026 and 01/30/2026 he sold shares at weighted average prices between $15.45 and $17.33 per share, followed by an additional sale on 02/02/2026 at a weighted average price of $15.74 per share. After these transactions, he directly beneficially owned 1,824,988 Aeluma common shares.
Aeluma, Inc. insider activity: Mark N. Tompkins, a 10% owner of Aeluma (ALMU), reported open‑market sales of a total of 105,000 shares of common stock over three days in January 2026. The trades occurred on January 20–22, 2026 at weighted average prices reported between $18.05 and $21.58 per share, with each price reflecting multiple individual transactions within the stated ranges. After these sales, Tompkins directly beneficially owned 1,919,988 shares of Aeluma common stock. The footnotes state that the reported prices are weighted averages and that more detailed breakdowns by individual execution price are available upon request.
Aeluma, Inc. reported the results of its 2025 Annual General Meeting of shareholders. The meeting had a quorum, with 9,892,101 shares of common stock present or represented by proxy, representing 55.4% of the voting power entitled to vote.
Shareholders re-elected Steven P. DenBaars and John Paglia to the Board of Directors by plurality of the votes cast. A second proposal also passed, receiving 9,822,341 votes For, 57,925 Against, and 11,835 Abstain. The filing notes that broker non-votes are included only for purposes of determining whether a quorum is present.