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.
The Aeluma, Inc. (NASDAQ: ALMU) SEC filings page on Stock Titan provides access to the company’s regulatory disclosures as filed with the U.S. Securities and Exchange Commission. Aeluma identifies itself in these documents as an emerging growth company and a semiconductor business focused on high-performance photonic and electronic technologies that scale, with headquarters in Goleta, California.
Among the key filings are multiple Form 8-K current reports. These include items furnished under Item 2.02 (Results of Operations and Financial Condition), where Aeluma attaches press releases summarizing quarterly financial results and discusses revenue from R&D contracts, operating expenses, and non-GAAP metrics such as non-GAAP net loss and adjusted EBITDA. Other 8-K filings under Item 1.01 (Entry into a Material Definitive Agreement) describe an underwriting agreement for an underwritten public offering of common stock made pursuant to an effective shelf registration statement on Form S-3, including the number of shares offered and intended uses of net proceeds.
Additional 8-Ks cover Item 5.02 (Appointment of Principal Officers), such as the appointment of a full-time Chief Financial Officer and related compensation arrangements, and Item 7.01 (Regulation FD Disclosure), where Aeluma furnishes investor presentations and press releases about the commencement and pricing of equity offerings. These filings also reiterate the company’s status as an emerging growth company and include standard disclosures about whether information is deemed “filed” or “furnished.”
Through Stock Titan, users can review Aeluma’s 8-Ks and related exhibits, while AI-powered tools can help summarize the contents, highlight key sections such as capital-raising terms, management changes, and financial result announcements, and make it easier to understand how these filings relate to the company’s semiconductor technology strategy and capital structure.
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.
Aeluma, Inc. director Mark N. Tompkins reported open-market sales of Aeluma common stock in mid-December. On December 9, 2025, he sold 10,861 shares at a weighted average price of $16.39 and 19,139 shares at a weighted average price of $17.06. On December 10, 2025, he sold 20,000 shares at a weighted average price of $17.49.
After these transactions, Tompkins beneficially owns 2,169,988 shares of Aeluma common stock directly. Each reported price is a weighted average for multiple individual trades executed within stated price ranges on the respective dates.
Aeluma, Inc. has filed a resale prospectus covering up to 11,010,002 shares of its Common Stock, which may be sold from time to time by existing selling stockholders. The company’s shares trade on the Nasdaq Capital Market under the symbol ALMU, and Aeluma will not receive any proceeds from these stockholder sales, other than any cash received if placement agent warrants are exercised.
Aeluma develops high-performance optoelectronic devices and photodetector arrays using compound semiconductor materials on large-diameter silicon wafers for applications including 3D imaging, LiDAR, AR/VR, defense, aerospace and communications. The company has raised capital through recent underwritten offerings and note conversions and has secured U.S. government contracts with the Department of Energy, the U.S. Navy and NASA to advance shortwave infrared and quantum sensing technologies.
The prospectus highlights that Aeluma is an early-stage business, not yet in volume production, and faces risks common to speculative semiconductor ventures, including the need for additional capital, reliance on government and key customers, intense competition, regulatory complexity, and potential volatility in demand, supply chains and the broader chip industry.
Aeluma, Inc. has filed Post-Effective Amendment No. 6 to its Form S-1 to maintain the registration for the resale of up to 11,010,002 shares of common stock by selling stockholders. These shares include stock issued in prior offerings, merger-related share issuances, placement agent compensation and pre-merger holdings. The company will not receive proceeds from stockholder resales, other than potential cash from the future exercise of placement agent warrants, which could total up to $720,000.
Aeluma is an early-stage semiconductor company developing high-performance optoelectronic image sensors and photodetectors for applications such as 3D imaging, LiDAR, AR/VR, defense, aerospace and quantum systems. Recent financing activities include two 2025 underwritten offerings and conversion of $3.1 million of notes into equity, while a $100,000,000 shelf registration provides additional capital-raising flexibility. The company highlights multiple 2025 contracts with U.S. government agencies and emphasizes substantial risks typical of a young, unprofitable, R&D-intensive business operating in a cyclical, highly competitive semiconductor market.
Aeluma, Inc. has filed a prospectus supplement registering 2,017,498 shares of common stock and 85,653 shares of common stock underlying placement agent warrants. The supplement attaches the company’s latest quarterly report for the period ended September 30, 2025, giving investors updated financial and business information.
For the quarter, revenue rose to $1.4 million, up from $0.5 million a year earlier, mainly from government contracts, while the net loss widened to $1.5 million as the company increased spending on materials, staff, and stock-based compensation to support growth. Aeluma closed two public equity offerings in March and September 2025, boosting cash, cash equivalents, and a certificate of deposit to $38.1 million and alleviating previously disclosed substantial doubt about its ability to continue as a going concern. The company reports that its disclosure controls were not yet effective and is adding finance leadership and staff to improve internal controls.
Aeluma, Inc. filed a Prospectus Supplement updating its prospectus for 11,010,002 shares of common stock. The supplement incorporates the company’s latest Form 10-Q for the quarter ended September 30, 2025 and must be read together with the base prospectus dated October 6, 2023.
In the quarter, revenue reached $1.385 million, up from $481 thousand a year ago, while net loss was $1.493 million. Operating expenses rose to $2.993 million as the company expanded headcount and materials to support programs. Cash, cash equivalents and a certificate of deposit totaled $38.147 million, strengthened by net proceeds of $23.4 million from the September 2025 offering and $12.6 million from the March 2025 offering.
Shares outstanding were 17,857,863 as of November 10, 2025. Management reported disclosure controls and procedures were not effective as of quarter-end and outlined remediation steps, including hiring a CFO and adding accounting resources.
Aeluma, Inc. furnished an 8‑K announcing it issued a press release with financial results for the first quarter ended September 30, 2025. The release accompanies the company’s Form 10‑Q filed the same day and is included as Exhibit 99.1. The information under Item 2.02 is furnished, not filed, under the Exchange Act and is not subject to Section 18 liabilities, nor incorporated by reference unless expressly stated.
Aeluma, Inc. filed Post‑Effective Amendment No. 5 to its Form S‑1, covering the resale of up to 11,010,002 shares of Common Stock by selling stockholders. The company states it will not receive proceeds from these resales. Under “Use of Proceeds,” Aeluma notes it could receive cash only if Placement Agent Warrants are exercised, with gross proceeds of up to $720,000.
This amendment also updates mechanics around effectiveness under Section 8(a) and files Exhibit 23.1; no additional securities are being registered and fees were previously paid. The Nasdaq Capital Market lists ALMU; the last reported sales price was $15.58 per share as of October 30, 2025. The resale pool includes shares issued in prior offerings, merger-related issuances, pre‑merger holdings, and shares issuable upon warrant exercise, as detailed in “The Offering.”
Aeluma (ALMU) insider activity: A reporting person disclosed open-market sales of common stock. On 10/17/2025, sales totaled 33,344 shares at a weighted average price of $16.75, 5,913 shares at $17.77, and 743 shares at $18.45. On 10/20/2025, an additional 37,500 shares were sold at $16.39. The prices reflect weighted averages across multiple trades within disclosed ranges.
Following these transactions, the reporting person beneficially owned 2,319,988 shares, held directly. The filer is identified as a Director.