SEC Form 4 · accession 0001869626-26-000026
Aeluma, Inc. · ALMU
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Jonathan Klamkin
Officer — Chief Executive Officer · Director
Period of report
Sep 21, 2026
Accepted (ET)
Sep 23, 2026 · 7:16 pm EDT
Rule 10b5-1 plan
yes — trade under a plan
Issuer CIK
0001828805
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF2 | Sep 21, 2026 | S | 100,000 | $13.3532 | D | 1,226,995 | I | By Family Trust |
| Common StockF3 | Sep 21, 2026 | A | 31,771 | $0.00 | A | 34,174 | D | |
| Common StockF4 | Sep 21, 2026 | A | 12,675 | $0.00 | A | 46,849 | D | |
| Common Stock | Sep 21, 2026 | F | 4,547 | $13.61 | D | 42,302 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Option (right to buy)F5 | $13.61 | Sep 21, 2026 | A | 75,135 | A | — | Sep 21, 2036 | Common Stock | 75,135 | 75,135 | D |
Explanation of responses
- F1Sales effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on May 23, 2026.
- F2Reflects the weighted average price of 100,000 shares of common stock of Aeluma, Inc. sold by the reporting person in multiple transactions on September 21, 2026 with sale prices ranging from $12.70 to $13.65 per share. The reporting person undertakes to provide upon request by the U.S. Securities and Exchange Commission staff, the issuer, or a security holder of the issuer, full information regarding the number of shares sold at each separate price.
- F3Restricted stock units ("RSUs") scheduled to vest and settle into an equal number of shares of common stock with respect to 25% of the shares on September 30, 2027 and thereafter in 12 substantially equivalent quarterly increments on the last day of each calendar quarter.
- F4Stock award in lieu of cash bonus.
- F5Stock options scheduled to vest with respect to 25% of the shares on first anniversary of the grant date, and thereafter in 36 substantially equivalent increments on each monthly anniversary of the grant date.