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. (ALMU) filed an 8-K under Item 8.01 to furnish its new investor PowerPoint presentation as Exhibit 99.1. The company also included the standard legend stating the report and exhibit do not constitute an offer to sell or a solicitation to buy securities in any jurisdiction prior to proper registration or qualification. The filing lists the company’s common stock trading on Nasdaq under the symbol ALMU.
Aeluma, Inc. (ALMU) director reported open‑market sales of common stock on 10/15/2025 and 10/16/2025 (transaction code S). On 10/15/2025, sales included 24,147 shares at $20.11 (weighted average) and 15,853 shares at $21.31. On 10/16/2025, sales included 17,540 shares at $18.97, 6,650 shares at $19.96, and 810 shares at $20.72. Following these trades, the reporting person beneficially owns 2,397,488 shares, held directly. Footnotes note weighted‑average pricing across stated ranges.
Aeluma, Inc. (ALMU) reported insider share sales on a Form 4. The reporting person executed multiple open‑market sales of common stock: 30,587 shares at a weighted average price of $16.60 on 10/10/2025 (range $16.06–$17.05), an additional 4,413 shares at $17.16 on 10/10/2025 (range $17.06–$17.25), 35,031 shares at $16.97 on 10/13/2025 (range $16.53–$17.49), 300 shares at $17.57 on 10/13/2025, and 36,855 shares at $19.86 on 10/14/2025 (range $19.65–$20.32). After these transactions, the reporting person beneficially owned 2,462,488 shares, held directly.
Mark N. Tompkins, a director of Aeluma, Inc. (ALMU), reported multiple open-market sales of common stock executed on 10/07/2025 through 10/09/2025.
The filings show a total of 106,908 shares sold across seven transactions at reported weighted-average prices ranging from $16.54 to $19.16, with the reported weighted-average prices for each tranche listed as $17.46, $18.66, $19.16, $17.46, $18.14, and $16.54. Following these sales, the reporting person beneficially owned 2,569,674 shares, held directly.
Mark N. Tompkins, a director of Aeluma, Inc. (ALMU), reported multiple sales of common stock across 10/02/2025 to 10/06/2025. The filings show a total of 129,751 shares sold in five transactions at weighted-average prices ranging from $17.10 to $18.70, with per-transaction weighted averages disclosed for each sale. After the reported disposals, the reporting person beneficially owned 2,676,582 shares. The filer certifies willingness to provide detailed price-by-price breakdowns upon request. The form is a routine Section 16 report documenting insider sales; no options or derivative transactions were reported.
Aeluma, Inc. (ALMU) director Mark N. Tompkins amended a prior Form 4 to correct the number of common shares sold and to disclose the weighted average sale price. The amendment shows a sale of 33,800 shares on 09/30/2025 at a weighted average price of $16.18, with the reporter retaining 2,857,033 shares after the transaction. The filing states the shares were sold in multiple transactions at prices ranging from $15.86 to $16.75 and that the amendment fixes a discrepancy in the original October 2 report.
The filing is a technical correction rather than a new transaction disclosure: the reporter affirms willingness to provide details of the per‑trade breakdown on request and manually signed the amendment on 10/06/2025. The disclosure clarifies beneficial ownership and trading price ranges but does not include derivative activity or other material changes to holdings beyond the corrected sale amount.
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.
Aeluma, Inc. reported that director Steven DenBaars has terminated a previously adopted Rule 10b5-1 trading plan. The plan, adopted on June 23, 2025, had authorized the potential sale of up to 130,000 shares of Aeluma common stock between October 6, 2025 and May 6, 2026 under preset price and formula conditions. On September 16, 2025, the plan was terminated, and the company stated that no sales were or will be made under this 10b5-1 plan.
Aeluma, Inc. (ALMU) filed an 8-K reporting execution of an Underwriting Agreement dated September 17, 2025 with Craig-Hallum Capital Group LLC acting as representative of the underwriters for shares of the company’s common stock listed on The Nasdaq Stock Market LLC. The filing includes a legal opinion and consent from Hunter Taubman Fischer & Li LLC and attaches two press releases dated September 17, 2025 and September 18, 2025. The document is signed by Jonathan Klamkin, President and CEO, on September 19, 2025. The filing lists the company ticker as ALMU but does not disclose offering size, price, net proceeds, use of proceeds, or other economic terms within the provided text.
Aeluma, Inc. (ALMU) prospectus supplement excerpts disclose terms of a public offering and related corporate provisions. The document lists an underwriting discount of $0.91 per share and shows proceeds to the company of $12.09 per share, with aggregate proceeds shown as $20,553,000 (and $23,635,950 if over-allotment is exercised). The underwriters have a 30-day option to purchase up to 255,000 additional shares. The prospectus summarizes outstanding equity-related instruments including stock options, warrants and shares reserved under the 2021 Equity Incentive Plan. It also references risk factors, incorporation of prior SEC filings and transfer agent details. Corporate charter provisions described include authority to issue up to 10,000,000 shares of Preferred Stock, classified board structure, restrictions on stockholder actions and director removal rules.