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.
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.
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.