ALMU SEC Filing News — Aeluma, Inc.

Latest SEC filings for Aeluma, Inc. (ALMU) explained in plain English. Covers insider buying and selling (Form 4), proposed insider sales (Form 144), material company events (8-K), and quarterly & annual reports (10-Q / 10-K). StrongBuyAnalytics provides navigation and brief excerpts or summaries; original filings remain at the SEC/source links and were authored by their filers, not StrongBuyAnalytics. Filing dates shown are source dates. Coverage and detection can be delayed or incomplete because of SEC availability, amendments, parsing, caching, or outages. Latest source filing date shown: 2026-10-14.

Aeluma, Inc. develops photonic and electronic technologies for communications and sensing in the United States. The company is involved in development of photodetectors, photodetector arrays, lasers, optical amplifiers, and other technologies. Its products are used in telecom, artificial intelligence, datacom, mobile, defense and aerospace, robotics, automotive, augmented reality/virtual reality, and quantum applications. Aeluma, Inc. was founded in 2019 and is headquartered in Goleta, Californi…
Sector: Technology Industry: Semiconductors Market Cap: $148.3M CIK: 1828805
20
Total Filings
0
Bullish Classifications
7
Bearish Classifications
10
Insider Transactions
4
Material Events (8-K)
1
Periodic Reports
Rule-based classifications for ALMU currently lean bearish. Of the 20 filing records displayed, 7 carry bearish classifications (such as insider sales or negative 8-K disclosures) versus 0 bullish. This does not necessarily signal fundamental deterioration — insiders sell for many reasons — but it is worth monitoring alongside the company's core financial metrics.
ALMU Filing Activity Snapshot 2026-05-19 — 2026-10-14
Insider Transactions (Form 4)
0 buys vs 7 sells
Net insider selling in this period — insiders sell for many reasons beyond conviction.
Largest Form 144 Filing
$1.34M
Klamkin Jonathan (Director, Chief Executive Officer) · 2026-09-23
100,000 shares · Form 4
Form 144 Notices
5
Proposed insider sales filed — Form 144 is a notice of intent, not a confirmed transaction. Actual sales are confirmed via Form 4.
Insider Transactions 10 · Forms 3, 4 and 5

A Form 4 is filed within two business days of a company insider — an officer, a director, or a holder of more than ten percent of the stock — changing their position in the shares. All 10 filings in this group are Form 4s for Aeluma, Inc.

The difficulty with reading these filings as a group is that a single form type covers transactions that mean entirely different things. An executive spending their own money to buy stock and an executive having shares withheld to pay tax on a vesting grant both appear as a Form 4. Every filing below is therefore tagged with the nature of the underlying transaction, taken from the transaction code reported on the form itself.

Across the 10 insider filings shown, the breakdown is 7 open-market sale, 1 compensation award, 1 option exercise and 1 tax withholding. 7 of them involved a discretionary open-market trade; the rest are compensation and administrative mechanics.

What each transaction type means

Open-market sale ×7
The insider sold shares on the open market. Sales may be discretionary or executed automatically under a pre-arranged Rule 10b5-1 trading plan, and a Form 4 does not always make clear which applies.
Compensation award ×1
Shares were granted as compensation rather than purchased. No cash changed hands, so the filing reflects a pay decision by the company, not a judgement about the price.
Option exercise ×1
The insider converted options into shares. The exercise price was fixed when the options were granted, so the timing usually tracks an expiry schedule.
Tax withholding ×1
Shares were withheld by the company to settle tax due when equity vested. This is an automatic administrative step and not a decision to sell.
Form 4 Open-market sale Insider Selling 2026-10-14

ALMU insider Klamkin Jonathan (Director, Chief Executive Officer) sold 100,000 shares (~$1.05M)

Klamkin Jonathan, listed as Director, Chief Executive Officer at Aeluma, Inc., reported an open-market sale of 100,000 ALMU shares in a Form 4 filing. This is a confirmed insider sale, not just a proposed sale notice.

The insider sold shares on the open market. Sales may be discretionary or executed automatically under a pre-arranged Rule 10b5-1 trading plan, and a Form 4 does not always make clear which applies.

Transactions reported on this filing
Code Nature Shares Price Value
S Open-market sale 100,000 $10.53 $1.05M
Filing: Form 4 (Insider Transaction) Insider: Klamkin Jonathan (Director, Chief Executive Officer) Shares: 100,000 Est. Value: $1.05M
View on SEC EDGAR → Open Filing Document →
Form 4 Tax withholding Tax / Compensation Filing 2026-10-01

ALMU insider Form 4 filed for equity award, exercise, or tax withholding

Stewart Christopher P. (Chief Financial Officer) filed a Form 4 covering compensation-related activity such as stock awards, option exercises, conversions, or tax withholding. These filings are usually neutral.

Shares were withheld by the company to settle tax due when equity vested. This is an automatic administrative step and not a decision to sell.

Transactions reported on this filing
Code Nature Shares Price Value
F Tax withholding on vested shares 5,697 $12.36 $70.4K
Filing: Form 4 (Insider Transaction) Insider: Stewart Christopher P. (Chief Financial Officer) Shares: 5,697
View on SEC EDGAR → Open Filing Document →
Form 4 Compensation award Tax / Compensation Filing 2026-09-23

ALMU insider Form 4 filed for equity award, exercise, or tax withholding

Stewart Christopher P. (Chief Financial Officer) filed a Form 4 covering compensation-related activity such as stock awards, option exercises, conversions, or tax withholding. These filings are usually neutral.

Shares were granted as compensation rather than purchased. No cash changed hands, so the filing reflects a pay decision by the company, not a judgement about the price.

Transactions reported on this filing
Code Nature Shares Price Value
A Compensation award 15,886 — —
A Compensation award 4,042 — —
F Tax withholding on vested shares 1,450 $13.61 $19.7K
A Compensation award derivative · Stock Option (right to buy) 37,568 — —
Filing: Form 4 (Insider Transaction) Insider: Stewart Christopher P. (Chief Financial Officer) Shares: 21,378
View on SEC EDGAR → Open Filing Document →
Form 4 Open-market sale Insider Selling 2026-09-23

ALMU insider Klamkin Jonathan (Director, Chief Executive Officer) sold 100,000 shares (~$1.34M)

Klamkin Jonathan, listed as Director, Chief Executive Officer at Aeluma, Inc., reported an open-market sale of 100,000 ALMU shares in a Form 4 filing. This is a confirmed insider sale, not just a proposed sale notice.

The insider sold shares on the open market. Sales may be discretionary or executed automatically under a pre-arranged Rule 10b5-1 trading plan, and a Form 4 does not always make clear which applies.

Transactions reported on this filing
Code Nature Shares Price Value
S Open-market sale 100,000 $13.35 $1.34M
A Compensation award 31,771 — —
A Compensation award 12,675 — —
F Tax withholding on vested shares 4,547 $13.61 $61.9K
A Compensation award derivative · Stock Option (right to buy) 75,135 — —
Filing: Form 4 (Insider Transaction) Insider: Klamkin Jonathan (Director, Chief Executive Officer) Shares: 100,000 Est. Value: $1.34M
View on SEC EDGAR → Open Filing Document →
Form 4 Option exercise Tax / Compensation Filing 2026-09-23

ALMU insider Form 4 filed for equity award, exercise, or tax withholding

Byron Michael (Director) filed a Form 4 covering compensation-related activity such as stock awards, option exercises, conversions, or tax withholding. These filings are usually neutral.

The insider converted options into shares. The exercise price was fixed when the options were granted, so the timing usually tracks an expiry schedule.

Transactions reported on this filing
Code Nature Shares Price Value
M Option exercise 25,000 $5.93 $148.2K
M Option exercise derivative · Stock Option (right to buy) 25,000 — —
Filing: Form 4 (Insider Transaction) Insider: Byron Michael (Director) Shares: 25,000
View on SEC EDGAR → Open Filing Document →
Form 4 Open-market sale Insider Selling 2026-08-28

ALMU insider Denbaars Steven (Director) sold 25,000 shares (~$345.7K)

Denbaars Steven, listed as Director at Aeluma, Inc., reported an open-market sale of 25,000 ALMU shares in a Form 4 filing. This is a confirmed insider sale, not just a proposed sale notice.

The insider sold shares on the open market. Sales may be discretionary or executed automatically under a pre-arranged Rule 10b5-1 trading plan, and a Form 4 does not always make clear which applies.

Transactions reported on this filing
Code Nature Shares Price Value
S Open-market sale 12,500 $13.84 $173.0K
S Open-market sale 12,500 $13.82 $172.7K
Filing: Form 4 (Insider Transaction) Insider: Denbaars Steven (Director) Shares: 25,000 Est. Value: $345.7K
View on SEC EDGAR → Open Filing Document →
Form 4 Open-market sale Insider Selling 2026-08-05

ALMU insider Klamkin Jonathan (Director, Chief Executive Officer) sold 20,000 shares (~$334.6K)

Klamkin Jonathan, listed as Director, Chief Executive Officer at Aeluma, Inc., reported an open-market sale of 20,000 ALMU shares in a Form 4 filing. This is a confirmed insider sale, not just a proposed sale notice.

The insider sold shares on the open market. Sales may be discretionary or executed automatically under a pre-arranged Rule 10b5-1 trading plan, and a Form 4 does not always make clear which applies.

Transactions reported on this filing
Code Nature Shares Price Value
G Gift 20,000 — —
G Gift 20,000 — —
S Open-market sale 4,190 $16.29 $68.3K
S Open-market sale 15,810 $16.85 $266.4K
Filing: Form 4 (Insider Transaction) Insider: Klamkin Jonathan (Director, Chief Executive Officer) Shares: 20,000 Est. Value: $334.6K
View on SEC EDGAR → Open Filing Document →
Form 4 Open-market sale Insider Selling 2026-07-02

ALMU insider Klamkin Jonathan (Director, Chief Executive Officer) sold 20,000 shares (~$421.7K)

Klamkin Jonathan, listed as Director, Chief Executive Officer at Aeluma, Inc., reported an open-market sale of 20,000 ALMU shares in a Form 4 filing. This is a confirmed insider sale, not just a proposed sale notice.

The insider sold shares on the open market. Sales may be discretionary or executed automatically under a pre-arranged Rule 10b5-1 trading plan, and a Form 4 does not always make clear which applies.

Transactions reported on this filing
Code Nature Shares Price Value
G Gift 20,000 — —
G Gift 20,000 — —
S Open-market sale 19,900 $21.08 $419.5K
S Open-market sale 100 $21.56 $2.2K
Filing: Form 4 (Insider Transaction) Insider: Klamkin Jonathan (Director, Chief Executive Officer) Shares: 20,000 Est. Value: $421.7K
View on SEC EDGAR → Open Filing Document →
Form 4 Open-market sale Insider Selling 2026-06-03

ALMU insider Klamkin Jonathan (Director, Chief Executive Officer) sold 20,000 shares (~$500.7K)

Klamkin Jonathan, listed as Director, Chief Executive Officer at Aeluma, Inc., reported an open-market sale of 20,000 ALMU shares in a Form 4 filing. This is a confirmed insider sale, not just a proposed sale notice.

The insider sold shares on the open market. Sales may be discretionary or executed automatically under a pre-arranged Rule 10b5-1 trading plan, and a Form 4 does not always make clear which applies.

Transactions reported on this filing
Code Nature Shares Price Value
G Gift 20,000 — —
G Gift 20,000 — —
S Open-market sale 900 $22.19 $20.0K
S Open-market sale 1,400 $23.32 $32.6K
S Open-market sale 7,900 $24.39 $192.6K
S Open-market sale 1,600 $25.12 $40.2K
S Open-market sale 8,200 $26.25 $215.2K
Filing: Form 4 (Insider Transaction) Insider: Klamkin Jonathan (Director, Chief Executive Officer) Shares: 20,000 Est. Value: $500.7K
View on SEC EDGAR → Open Filing Document →
Form 4 Open-market sale Insider Selling 2026-05-21

ALMU insider Denbaars Steven (Director) sold 25,000 shares (~$505.6K)

Denbaars Steven, listed as Director at Aeluma, Inc., reported an open-market sale of 25,000 ALMU shares in a Form 4 filing. This is a confirmed insider sale, not just a proposed sale notice.

The insider sold shares on the open market. Sales may be discretionary or executed automatically under a pre-arranged Rule 10b5-1 trading plan, and a Form 4 does not always make clear which applies.

Transactions reported on this filing
Code Nature Shares Price Value
S Open-market sale 7,415 $19.56 $145.0K
S Open-market sale 5,085 $20.61 $104.8K
S Open-market sale 11,558 $20.40 $235.7K
S Open-market sale 942 $21.30 $20.1K
Filing: Form 4 (Insider Transaction) Insider: Denbaars Steven (Director) Shares: 25,000 Est. Value: $505.6K
View on SEC EDGAR → Open Filing Document →
Proposed Insider Sales 5 · Form 144

A Form 144 is a notice of intent to sell restricted or control securities. It is not a record that anything was sold. Aeluma, Inc. has 5 such notices in this period.

The distinction matters because a Form 144 is frequently reported as though it were a completed insider sale. The filer may sell all of the shares covered, some of them, or none at all, and there is no obligation to update the notice either way. A sale that is actually executed by an officer or director shows up separately on a Form 4, which is the filing to check before treating a proposed sale as a real one.

Form 144 Proposed Insider Sale 2026-10-13

ALMU Form 144 filed for proposed insider sale by Klamkin Drelle Gelasca Family Trust dated 08/28/2025 (100,000 shares) ~$1.14M

Klamkin Drelle Gelasca Family Trust dated 08/28/2025 filed a Form 144 with the SEC indicating intent to sell ALMU (Aeluma, Inc.) shares. Form 144 reflects a proposed sale, not a completed transaction. The actual execution, if any, would typically appear later in a Form 4.

Filing: Form 144 (Proposed Sale Notice) Insider: Klamkin Drelle Gelasca Family Trust dated 08/28/2025 Shares: 100,000 Est. Value: $1.14M
View on SEC EDGAR → Open Filing Document →
Form 144 Proposed Insider Sale 2026-09-21

ALMU Form 144 filed for proposed insider sale by Klamkin Drelle Gelasca Family Trust dated 08/28/2025 (100,000 shares) ~$1.27M

Klamkin Drelle Gelasca Family Trust dated 08/28/2025 filed a Form 144 with the SEC indicating intent to sell ALMU (Aeluma, Inc.) shares. Form 144 reflects a proposed sale, not a completed transaction. The actual execution, if any, would typically appear later in a Form 4.

Filing: Form 144 (Proposed Sale Notice) Insider: Klamkin Drelle Gelasca Family Trust dated 08/28/2025 Shares: 100,000 Est. Value: $1.27M
View on SEC EDGAR → Open Filing Document →
Form 144 Proposed Insider Sale 2026-08-26

ALMU Form 144 filed for proposed insider sale by Steven DenBaars (25,000 shares) ~$347.0K

Steven DenBaars filed a Form 144 with the SEC indicating intent to sell ALMU (Aeluma, Inc.) shares. Form 144 reflects a proposed sale, not a completed transaction. The actual execution, if any, would typically appear later in a Form 4.

Filing: Form 144 (Proposed Sale Notice) Insider: Steven DenBaars Shares: 25,000 Est. Value: $347.0K
View on SEC EDGAR → Open Filing Document →
Form 144 Proposed Insider Sale 2026-07-01

ALMU Form 144 filed for proposed insider sale by JONATHAN KLAMKIN (40,000 shares) ~$883.2K

JONATHAN KLAMKIN filed a Form 144 with the SEC indicating intent to sell ALMU (Aeluma, Inc.) shares. Form 144 reflects a proposed sale, not a completed transaction. The actual execution, if any, would typically appear later in a Form 4.

Filing: Form 144 (Proposed Sale Notice) Insider: JONATHAN KLAMKIN Shares: 40,000 Est. Value: $883.2K
View on SEC EDGAR → Open Filing Document →
Form 144 Proposed Insider Sale 2026-05-19

ALMU Form 144 filed for proposed insider sale by Steven DenBaars (25,000 shares) ~$519.0K

Steven DenBaars filed a Form 144 with the SEC indicating intent to sell ALMU (Aeluma, Inc.) shares. Form 144 reflects a proposed sale, not a completed transaction. The actual execution, if any, would typically appear later in a Form 4.

Filing: Form 144 (Proposed Sale Notice) Insider: Steven DenBaars Shares: 25,000 Est. Value: $519.0K
View on SEC EDGAR → Open Filing Document →
Material Events 4 · Form 8-K

An 8-K reports a material event in the window between scheduled reports. There are 4 in this period for Aeluma, Inc. Each 8-K names the item number it is filed under, and that number is the fastest way to tell a routine disclosure from a consequential one.

Item 2.02 is an earnings release, Item 5.02 is a change of directors or officers, and Item 1.01 or 2.01 covers a material agreement or a completed acquisition. Item 7.01 and Item 8.01 are the general-purpose disclosure items and carry no fixed meaning on their own.

Form 8-K Material Company Update 2026-09-30

ALMU filed 8-K — material company event

Aeluma, Inc. filed an 8-K with the SEC reporting a material event. Summary unavailable — view the original SEC filing for the full text.

Filing: 8-K (Material Event)
View on SEC EDGAR → Open Filing Document →
Form 8-K Material Company Update 2026-09-16

ALMU filed 8-K — material company event

Aeluma, Inc. filed an 8-K with the SEC reporting a material event. Summary unavailable — view the original SEC filing for the full text.

Filing: 8-K (Material Event)
View on SEC EDGAR → Open Filing Document →
Form 8-K Material Company Update 2026-07-30

ALMU filed 8-K — material company event

Aeluma, Inc. filed an 8-K with the SEC reporting a material event. Summary unavailable — view the original SEC filing for the full text.

Filing: 8-K (Material Event)
View on SEC EDGAR → Open Filing Document →
Form 8-K Material Company Update 2026-05-19

ALMU filed 8-K — material company event

Aeluma, Inc. filed an 8-K with the SEC reporting a material event. Summary unavailable — view the original SEC filing for the full text.

Filing: 8-K (Material Event)
View on SEC EDGAR → Open Filing Document →
Periodic Reports 1 · Forms 10-K and 10-Q

The periodic reports are where the audited and reviewed financial statements live. This period contains 1 annual report (10-K) for Aeluma, Inc.

The two are not equivalent in weight. A 10-K is audited by an external firm and includes the full risk factor disclosure, business description and management discussion; a 10-Q is unaudited, reviewed rather than examined, and much shorter. When a figure in a quarterly report is later revised, the annual report is usually where the correction appears.

An amended report — 10-K/A or 10-Q/A — restates or corrects something in the original filing, and is worth reading against the version it replaces.

Form 10-K Annual Report 2026-09-16

ALMU filed Annual Report (10-K)

Aeluma, Inc. filed its annual report with the SEC. This report includes audited financial statements, business overview, risk factors, and management discussion.

Filing: 10-K (Annual Report)
View on SEC EDGAR → Open Filing Document →

How we classify Aeluma, Inc.'s filings

Straight from EDGAR

Each displayed record links to an original source document. StrongBuyAnalytics provides navigation and brief excerpts or summaries, not the filing itself. Parsing may omit context or contain errors, so read the original document in full.

Transaction codes, not guesswork

The nature shown on each insider filing comes from the transaction code the filer entered on the form itself — P for an open-market purchase, A for a compensation award, F for shares withheld to pay tax, M for an option exercise. Where one filing contains several codes, the transaction table lists them line by line.

Why the distinction matters

Insider activity is routinely summarised as buying or selling, which flattens together decisions that mean very different things. Shares withheld for tax on a vesting grant are an automatic administrative step; shares bought on the open market are someone committing their own money at the current price.

What this page does not tell you

A filing records what happened, not why. Form 4 does not always disclose whether a sale was executed under a pre-arranged Rule 10b5-1 plan, and no single filing is a basis for a decision on ALMU. Read these alongside the fundamentals rather than in isolation.

Frequently Asked Questions — ALMU SEC Filings

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Publisher, sources & limitations — September 15, 2026. StrongBuyAnalytics provides navigation and brief excerpts or summaries for educational use. Original filings remain at SEC EDGAR or other displayed source links; StrongBuyAnalytics does not author them. Filing dates are source dates, not publication dates for this page. Coverage can be delayed, incomplete, amended, or unavailable because of SEC/source availability, parsing, caching, or outages. Verify every material statement in the original filing.
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