Aeluma, Inc. SEC Filings

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.

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.

Aeluma, Inc. filed a current report to note that it released its financial results for the fourth quarter ended June 30, 2025. The company issued a press release on September 9, 2025 describing its results and overall financial condition for that quarter. That press release is attached to the report as an exhibit and is described as furnished rather than filed, which limits how it is treated under securities laws.

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.