ALMU

SEC source: 0001213900-25-098954 · ownership.xml · nonDerivative · entry 4

Tompkins Mark N. · CIK 0001455971 · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 2,499,343

SEC source: 0001213900-25-098954 · ownership.xml · nonDerivative · entry 3

Tompkins Mark N. · CIK 0001455971 · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 2,499,643

F3 · price: The price reported in Column 4 represents a weighted average sales price of $16.97. These shares were sold in multiple transactions at prices ranging from $16.53 to $17.49, inclusive.

SEC source: 0001213900-25-098954 · ownership.xml · nonDerivative · entry 2

Tompkins Mark N. · CIK 0001455971 · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 2,534,674

F2 · price: The price reported in Column 4 represents a weighted average sales price of $17.16. These shares were sold in multiple transactions at prices ranging from $17.06 to $17.25, inclusive.

SEC source: 0001213900-25-098954 · ownership.xml · nonDerivative · entry 1

Tompkins Mark N. · CIK 0001455971 · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 2,539,087

F1 · price: The price reported in Column 4 represents a weighted average sales price of $16.60. These shares were sold in multiple transactions at prices ranging from $16.06 to $17.05, inclusive.

SEC source: 0001213900-25-097904 · ownership.xml · nonDerivative · entry 7

Tompkins Mark N. · CIK 0001455971 · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 2,569,674

SEC source: 0001213900-25-097904 · ownership.xml · nonDerivative · entry 6

Tompkins Mark N. · CIK 0001455971 · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 2,570,674

F6 · price: The price reported in Column 4 represents a weighted average sales price of $16.54. These shares were sold in multiple transactions at prices ranging from $16.25 to $17.11, inclusive.

SEC source: 0001213900-25-097904 · ownership.xml · nonDerivative · entry 5

Tompkins Mark N. · CIK 0001455971 · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 2,606,582

F5 · price: The price reported in Column 4 represents a weighted average sales price of $18.14. These shares were sold in multiple transactions at prices ranging from $17.99 to $18.27, inclusive.

SEC source: 0001213900-25-097904 · ownership.xml · nonDerivative · entry 4

Tompkins Mark N. · CIK 0001455971 · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 2,607,282

F4 · price: The price reported in Column 4 represents a weighted average sales price of $17.46. These shares were sold in multiple transactions at prices ranging from $16.90 to $17.86, inclusive.

SEC source: 0001213900-25-097904 · ownership.xml · nonDerivative · entry 3

Tompkins Mark N. · CIK 0001455971 · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 2,641,582

F3 · price: The price reported in Column 4 represents a weighted average sales price of $19.16. These shares were sold in multiple transactions at prices ranging from $19.15 to $19.17, inclusive.

SEC source: 0001213900-25-097904 · ownership.xml · nonDerivative · entry 2

Tompkins Mark N. · CIK 0001455971 · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 2,641,982

F2 · price: The price reported in Column 4 represents a weighted average sales price of $18.66. These shares were sold in multiple transactions at prices ranging from $18.15 to $19.13, inclusive.

SEC source: 0001213900-25-097904 · ownership.xml · nonDerivative · entry 1

Tompkins Mark N. · CIK 0001455971 · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 2,649,889

F1 · price: The price reported in Column 4 represents a weighted average sales price of $17.46. These shares were sold in multiple transactions at prices ranging from $17.10 to $17.96, inclusive.

SEC source: 0001213900-25-096784 · ownership.xml · nonDerivative · entry 5

Tompkins Mark N. · CIK 0001455971 · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 2,676,582

F4 · price: The price reported in Column 4 represents a weighted average sales price of $18.70. These shares were sold in multiple transactions at prices ranging from $18.25 to $19.00, inclusive.

SEC source: 0001213900-25-096784 · ownership.xml · nonDerivative · entry 4

Tompkins Mark N. · CIK 0001455971 · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 2,740,186

F3 · price: The price reported in Column 4 represents a weighted average sales price of $17.94. These shares were sold in multiple transactions at prices ranging from $17.65 to $18.20, inclusive.

SEC source: 0001213900-25-096784 · ownership.xml · nonDerivative · entry 3

Tompkins Mark N. · CIK 0001455971 · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 2,753,144

F2 · price: The price reported in Column 4 represents a weighted average sales price of $17.30. These shares were sold in multiple transactions at prices ranging from $16.65 to $17.64, inclusive.

SEC source: 0001213900-25-096784 · ownership.xml · nonDerivative · entry 2

Tompkins Mark N. · CIK 0001455971 · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 2,771,333

SEC source: 0001213900-25-096784 · ownership.xml · nonDerivative · entry 1

Tompkins Mark N. · CIK 0001455971 · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 2,771,453

F1 · price: The price reported in Column 4 represents a weighted average sales price of $17.10. These shares were sold in multiple transactions at prices ranging from $16.49 to $17.48, inclusive.

SEC source: 0001213900-25-094948 · ownership.xml · nonDerivative · entry 6

Tompkins Mark N. · CIK 0001455971 · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 2,806,333

F5 · price: The price reported in Column 4 represents a weighted average sales price of $16.97. These shares were sold in multiple transactions at prices ranging from $16.77 to $17.20, inclusive.

SEC source: 0001213900-25-094948 · ownership.xml · nonDerivative · entry 5

Tompkins Mark N. · CIK 0001455971 · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 2,847,700

F4 · price: The price reported in Column 4 represents a weighted average sales price of $16.39. These shares were sold in multiple transactions at prices ranging from $15.77 to $16.76, inclusive.

SEC source: 0001213900-25-094948 · ownership.xml · nonDerivative · entry 4

Tompkins Mark N. · CIK 0001455971 · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 2,856,833

SEC source: 0001213900-25-094948 · ownership.xml · nonDerivative · entry 3

Tompkins Mark N. · CIK 0001455971 · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 2,857,033

F3 · price: The price reported in Column 4 represents a weighted average sales price of $16.18. These shares were sold in multiple transactions at prices ranging from $15.86 to $16.75, inclusive.

SEC source: 0001213900-25-096783 · ownership.xml · nonDerivative · entry 1

Tompkins Mark N. · CIK 0001455971 · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 2,857,033

F1 · shares: On October 2, 2025, the Reporting Person filed a Form 4 (the "Original Report") which incorrectly stated the total shares sold in the reported transaction in Table I - Column 4 of the Original Report.. The Reporting Person is filing this Form 4/A to amend and correct the discrepancy.

F2 · price: The price reported in Column 4 represents a weighted average sales price of $16.18. These shares were sold in multiple transactions at prices ranging from $15.86 to $16.75, inclusive.

SEC source: 0001213900-25-094948 · ownership.xml · nonDerivative · entry 2

Tompkins Mark N. · CIK 0001455971 · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 2,890,833

F2 · price: The price reported in Column 4 represents a weighted average sales price of $18.36. These shares were sold in multiple transactions at prices ranging from $18.02 to $18.64, inclusive.

SEC source: 0001213900-25-094948 · ownership.xml · nonDerivative · entry 1

Tompkins Mark N. · CIK 0001455971 · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 2,892,451

F1 · price: The price reported in Column 4 represents a weighted average sales price of $17.52. These shares were sold in multiple transactions at prices ranging from $17.00 to $17.98, inclusive.

SEC source: 0001516062-26-000003 · form4-03022026_090328.xml · derivative · entry 2

Byron Michael · CIK 0001516062 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 3,653

Underlying: Common Stock · 3,653 shares

Expires 2035-09-01

F2 · derivative.exercise_date: Fully vested.

SEC source: 0001213900-25-076943 · ownership.xml · nonDerivative · entry 2

Klamkin Jonathan · CIK 0001869626 · Director · Chief Executive Officer · 10% owner

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 1,479,398

F3 · shares: The shares were sold pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on May 14, 2025.

F4 · price: These shares were sold in multiple transactions at prices ranging from $18.84520 to $18.85230. The price reported above reflects the weighted average sale price. The Reporting Person will provide to the issuer, any security holder of the issuer, or the SEC staff, upon request, full information regarding the number of shares sold at each separate price.

SEC source: 0001213900-25-086275 · ownership.xml · nonDerivative · entry 2

Klamkin Jonathan · CIK 0001869626 · Director · Chief Executive Officer · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,479,398

F3 · shares: This amendment is being filed solely to remove and correct the reference to a Rule 10b5-1 trading plan and uncheck the box on the cover page relating to same. The shares were sold pursuant to a "non-10b5-1 trading arrangement," as defined in Item 408(c) of Regulation S-K of the Exchange Act and has been terminated.

F4 · price: These shares were sold in multiple transactions at prices ranging from $18.84520 to $18.85230. The price reported above reflects the weighted average sale price. The Reporting Person will provide to the issuer, any security holder of the issuer, or the SEC staff, upon request, full information regarding the number of shares sold at each separate price.

SEC source: 0001213900-25-076943 · ownership.xml · derivative · entry 3

Klamkin Jonathan · CIK 0001869626 · Director · Chief Executive Officer · 10% owner

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 326,253

Underlying: Common Stock · 6,253 shares

Expires 2035-07-01

F2 · kind: The RSUs and the Stock Options were granted to the Reporting Person as a bonus and vested immediately (the "Bonus"). The Bonus was approved by the Issuer's Board of Directors.

SEC source: 0001213900-25-076943 · ownership.xml · nonDerivative · entry 1

Klamkin Jonathan · CIK 0001869626 · Director · Chief Executive Officer · 10% owner

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 1,629,398

F2 · kind: The RSUs and the Stock Options were granted to the Reporting Person as a bonus and vested immediately (the "Bonus"). The Bonus was approved by the Issuer's Board of Directors.

F1 · shares: Represents shares issuable on settlement of restricted stock units ("RSUs") granted to the Reporting Person. Each RSU represents the contingent right to receive one share of Common Stock of the Issuer upon vesting of the RSU.

SEC source: 0001213900-25-086275 · ownership.xml · derivative · entry 3

Klamkin Jonathan · CIK 0001869626 · Director · Chief Executive Officer · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 326,253

Underlying: Common Stock · 6,253 shares

Expires 2035-07-01

F2 · kind: The RSUs and the Stock Options were granted to the Reporting Person as a bonus and vested immediately (the "Bonus"). The Bonus was approved by the Issuer's Board of Directors.

SEC source: 0001213900-25-086275 · ownership.xml · nonDerivative · entry 1

Klamkin Jonathan · CIK 0001869626 · Director · Chief Executive Officer · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,629,398

F2 · kind: The RSUs and the Stock Options were granted to the Reporting Person as a bonus and vested immediately (the "Bonus"). The Bonus was approved by the Issuer's Board of Directors.

F1 · shares: Represents shares issuable on settlement of restricted stock units ("RSUs") granted to the Reporting Person. Each RSU represents the contingent right to receive one share of Common Stock of the Issuer upon vesting of the RSU.

SEC source: 0001213900-25-026517 · ownership.xml · derivative · entry 2

Tompkins Mark N. · CIK 0001455971 · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 200,000 shares

Expires 2025-03-27

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: On August 5 and August 27, 2024, the Reporting Person purchased from the Issuer, in a private placement exempt from registration under the Securities Act, $500,000 and $200,000, respectively, principal amount ($700,000 in the aggregate) of the Issuer's 0% convertible promissory notes with a maturity date of June 30, 2026. The form of the notes was filed with the Securities and Exchange Commission by the Issuer on August 6, 2024, as an exhibit to a Current Report on Form 8-K: https://www.sec.gov/Archives/edgar/data/1828805/000121390024065747/ea021072201ex10-2_aeluma.htm. The notes were convertible into shares of the Issuer's common stock only upon the occurrence of certain specified future events and at a price that was to be determined at the time of conversion(2)

F2 · derivative.exercise_price: The conversion events included: (a) upon an equity financing resulting in gross proceeds to the Issuer of at least $5,000,000, the notes would convert at a price per share equal to 85% of the per share price paid by the investors in the financing; and (b) upon the Issuer's stock being accepted for listing on a national securities exchange or market, the notes would convert at a price per share equal to 85% of the volume weighted average price of the common stock for the five trading days immediately prior to the listing; provided that the conversion price would not be lower than a specified floor price nor higher than $3.50 per share. On March 27, 2025, as a result of the Issuer's public offering of shares of common stock at $5.25 per share for gross proceeds exceeding $5,000,000 and the listing of the common stock on the Nasdaq Capital Market, the notes converted in full at $3.50 per share into 200,000 shares of common stock.

F1 · kind: On August 5 and August 27, 2024, the Reporting Person purchased from the Issuer, in a private placement exempt from registration under the Securities Act, $500,000 and $200,000, respectively, principal amount ($700,000 in the aggregate) of the Issuer's 0% convertible promissory notes with a maturity date of June 30, 2026. The form of the notes was filed with the Securities and Exchange Commission by the Issuer on August 6, 2024, as an exhibit to a Current Report on Form 8-K: https://www.sec.gov/Archives/edgar/data/1828805/000121390024065747/ea021072201ex10-2_aeluma.htm. The notes were convertible into shares of the Issuer's common stock only upon the occurrence of certain specified future events and at a price that was to be determined at the time of conversion(2)

F2 · kind: The conversion events included: (a) upon an equity financing resulting in gross proceeds to the Issuer of at least $5,000,000, the notes would convert at a price per share equal to 85% of the per share price paid by the investors in the financing; and (b) upon the Issuer's stock being accepted for listing on a national securities exchange or market, the notes would convert at a price per share equal to 85% of the volume weighted average price of the common stock for the five trading days immediately prior to the listing; provided that the conversion price would not be lower than a specified floor price nor higher than $3.50 per share. On March 27, 2025, as a result of the Issuer's public offering of shares of common stock at $5.25 per share for gross proceeds exceeding $5,000,000 and the listing of the common stock on the Nasdaq Capital Market, the notes converted in full at $3.50 per share into 200,000 shares of common stock.

F1 · price: On August 5 and August 27, 2024, the Reporting Person purchased from the Issuer, in a private placement exempt from registration under the Securities Act, $500,000 and $200,000, respectively, principal amount ($700,000 in the aggregate) of the Issuer's 0% convertible promissory notes with a maturity date of June 30, 2026. The form of the notes was filed with the Securities and Exchange Commission by the Issuer on August 6, 2024, as an exhibit to a Current Report on Form 8-K: https://www.sec.gov/Archives/edgar/data/1828805/000121390024065747/ea021072201ex10-2_aeluma.htm. The notes were convertible into shares of the Issuer's common stock only upon the occurrence of certain specified future events and at a price that was to be determined at the time of conversion(2)

F2 · price: The conversion events included: (a) upon an equity financing resulting in gross proceeds to the Issuer of at least $5,000,000, the notes would convert at a price per share equal to 85% of the per share price paid by the investors in the financing; and (b) upon the Issuer's stock being accepted for listing on a national securities exchange or market, the notes would convert at a price per share equal to 85% of the volume weighted average price of the common stock for the five trading days immediately prior to the listing; provided that the conversion price would not be lower than a specified floor price nor higher than $3.50 per share. On March 27, 2025, as a result of the Issuer's public offering of shares of common stock at $5.25 per share for gross proceeds exceeding $5,000,000 and the listing of the common stock on the Nasdaq Capital Market, the notes converted in full at $3.50 per share into 200,000 shares of common stock.

SEC source: 0001213900-25-026517 · ownership.xml · nonDerivative · entry 1

Tompkins Mark N. · CIK 0001455971 · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 2,915,833

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · kind: On August 5 and August 27, 2024, the Reporting Person purchased from the Issuer, in a private placement exempt from registration under the Securities Act, $500,000 and $200,000, respectively, principal amount ($700,000 in the aggregate) of the Issuer's 0% convertible promissory notes with a maturity date of June 30, 2026. The form of the notes was filed with the Securities and Exchange Commission by the Issuer on August 6, 2024, as an exhibit to a Current Report on Form 8-K: https://www.sec.gov/Archives/edgar/data/1828805/000121390024065747/ea021072201ex10-2_aeluma.htm. The notes were convertible into shares of the Issuer's common stock only upon the occurrence of certain specified future events and at a price that was to be determined at the time of conversion(2)

F2 · kind: The conversion events included: (a) upon an equity financing resulting in gross proceeds to the Issuer of at least $5,000,000, the notes would convert at a price per share equal to 85% of the per share price paid by the investors in the financing; and (b) upon the Issuer's stock being accepted for listing on a national securities exchange or market, the notes would convert at a price per share equal to 85% of the volume weighted average price of the common stock for the five trading days immediately prior to the listing; provided that the conversion price would not be lower than a specified floor price nor higher than $3.50 per share. On March 27, 2025, as a result of the Issuer's public offering of shares of common stock at $5.25 per share for gross proceeds exceeding $5,000,000 and the listing of the common stock on the Nasdaq Capital Market, the notes converted in full at $3.50 per share into 200,000 shares of common stock.

F1 · price: On August 5 and August 27, 2024, the Reporting Person purchased from the Issuer, in a private placement exempt from registration under the Securities Act, $500,000 and $200,000, respectively, principal amount ($700,000 in the aggregate) of the Issuer's 0% convertible promissory notes with a maturity date of June 30, 2026. The form of the notes was filed with the Securities and Exchange Commission by the Issuer on August 6, 2024, as an exhibit to a Current Report on Form 8-K: https://www.sec.gov/Archives/edgar/data/1828805/000121390024065747/ea021072201ex10-2_aeluma.htm. The notes were convertible into shares of the Issuer's common stock only upon the occurrence of certain specified future events and at a price that was to be determined at the time of conversion(2)

F2 · price: The conversion events included: (a) upon an equity financing resulting in gross proceeds to the Issuer of at least $5,000,000, the notes would convert at a price per share equal to 85% of the per share price paid by the investors in the financing; and (b) upon the Issuer's stock being accepted for listing on a national securities exchange or market, the notes would convert at a price per share equal to 85% of the volume weighted average price of the common stock for the five trading days immediately prior to the listing; provided that the conversion price would not be lower than a specified floor price nor higher than $3.50 per share. On March 27, 2025, as a result of the Issuer's public offering of shares of common stock at $5.25 per share for gross proceeds exceeding $5,000,000 and the listing of the common stock on the Nasdaq Capital Market, the notes converted in full at $3.50 per share into 200,000 shares of common stock.

SEC source: 0001213900-25-047224 · ownership.xml · derivative · entry 1

Paglia John Kenneth · CIK 0001627832 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 210,011

Underlying: Common Stock · 87,973 shares

Expires 2035-01-10

SEC source: 0001213900-25-047222 · ownership.xml · derivative · entry 1

ENSLEY CRAIG H · CIK 0001194398 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 129,889

Underlying: Common Stock · 85,885 shares

Expires 2035-01-10

SEC source: 0001213900-25-047225 · ownership.xml · derivative · entry 1

Denbaars Steven · CIK 0001700533 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 127,942

Underlying: Common Stock · 84,663 shares

Expires 2035-01-10

SEC source: 0001213900-25-047230 · ownership.xml · derivative · entry 5

Paglia John Kenneth · CIK 0001627832 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 182,038

Underlying: Common Stock · 13,538 shares

Expires 2034-03-01

SEC source: 0001213900-25-047229 · ownership.xml · derivative · entry 1

ENSLEY CRAIG H · CIK 0001194398 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 44,004

Underlying: Common Stock · 13,538 shares

Expires 2034-03-01

SEC source: 0001213900-25-047227 · ownership.xml · derivative · entry 2

Denbaars Steven · CIK 0001700533 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 43,279

Underlying: Common Stock · 43,279 shares

Expires 2034-03-01

SEC source: 0001213900-25-047231 · ownership.xml · derivative · entry 2

Klamkin Jonathan · CIK 0001869626 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,946,995

Underlying: Common Stock · 220,000 shares

Expires 2034-01-10

SEC source: 0001213900-26-000512 · ownership.xml · nonDerivative · entry 1

McCarthy Lee · CIK 0001869684 · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 977,425

F1 · shares: Mr. McCarthy sold 649,570 "unvested" but beneficially owned shares under the terms of a Founder's Stock Repurchase Agreement dated February 17, 2023, between Mr. McCarthy and the Issuer that exercised its right to repurchase those shares under the terms of the Founder's Restricted Stock Purchase Agreement dated October 27, 2020, between Mr. McCarthy and the Issuer that was triggered by the voluntary resignation of Mr. McCarthy effective November 17, 2022, as COO of the Issuer after earlier resigning as interim CFO. Mr. McCarthy's ownership of the Issuer's issued and outstanding shares of the Issuer's common stock following the Issuer's repurchase of the 649,750 "unvested" shares was 8.03% as set forth in the Issuer's Form 10-K for its fiscal year ended June 30, 2023, that was filed with the SEC on September 25, 2023.

SEC source: 0001213900-25-047230 · ownership.xml · derivative · entry 4

Paglia John Kenneth · CIK 0001627832 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 168,500

Underlying: Common Stock · 16,750 shares

Expires 2033-02-01

SEC source: 0001213900-23-002815 · ownership.xml · nonDerivative · entry 1

Tompkins Mark N. · CIK 0001455971 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,715,833

F1 · kind: These shares were purchased in the closing of the Issuer's private placement offering held on December 22, 2022.

F1 · price: These shares were purchased in the closing of the Issuer's private placement offering held on December 22, 2022.

SEC source: 0001213900-25-047231 · ownership.xml · derivative · entry 1

Klamkin Jonathan · CIK 0001869626 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,726,995

Underlying: Common Stock · 100,000 shares

Expires 2032-12-01

SEC source: 0001213900-25-047230 · ownership.xml · derivative · entry 3

Paglia John Kenneth · CIK 0001627832 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 151,750

Underlying: Common Stock · 16,750 shares

Expires 2032-02-10

SEC source: 0001213900-25-047227 · ownership.xml · nonDerivative · entry 1

Denbaars Steven · CIK 0001700533 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 410,088

SEC source: 0001213900-25-047230 · ownership.xml · derivative · entry 2

Paglia John Kenneth · CIK 0001627832 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 135,000

Underlying: Common Stock · 125,000 shares

Expires 2031-12-01

SEC source: 0001213900-25-047230 · ownership.xml · derivative · entry 1

Paglia John Kenneth · CIK 0001627832 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 10,000

Underlying: Common Stock · 10,000 shares

Expires 2031-07-02

SEC source: 0001213900-21-034883 · ownership.xml · nonDerivative · entry 2

Tompkins Mark N. · CIK 0001455971 · 10% owner · Former Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,632,500

F2 · kind: These shares were purchased in a second closing of the Issuer's private placement offering held on June 25, 2021.

F2 · price: These shares were purchased in a second closing of the Issuer's private placement offering held on June 25, 2021.

SEC source: 0001213900-21-033882 · ownership.xml · nonDerivative · entry 1

Jacobs Ian Seth · CIK 0001707297 · Former Director and Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 200,000

F1 · kind: Pursuant to the terms of an Agreement and Plan of Merger and Reorganization, dated as of June 22, 2021, by and among the Issuer, Aeluma Operating Co. ("Acquisition Sub"), and Biond Photonics, Inc. (d.b.a. "Aeluma") ("Biond"), on June 22, 2021, Biond merged with and into Acquisition Sub, with Acquisition Sub continuing as the surviving entity (the "Merger") and as the Issuer's wholly-owned subsidiary. As a condition to the Merger, pursuant to the terms of a stock cancellation agreement, the reporting person voluntarily surrendered and canceled 50,000 shares of the Issuer's common stock prior to the consummation of the Merger. The reporting person resigned as a director and officer of the Issuer upon consummation of the Merger.

F1 · price: Pursuant to the terms of an Agreement and Plan of Merger and Reorganization, dated as of June 22, 2021, by and among the Issuer, Aeluma Operating Co. ("Acquisition Sub"), and Biond Photonics, Inc. (d.b.a. "Aeluma") ("Biond"), on June 22, 2021, Biond merged with and into Acquisition Sub, with Acquisition Sub continuing as the surviving entity (the "Merger") and as the Issuer's wholly-owned subsidiary. As a condition to the Merger, pursuant to the terms of a stock cancellation agreement, the reporting person voluntarily surrendered and canceled 50,000 shares of the Issuer's common stock prior to the consummation of the Merger. The reporting person resigned as a director and officer of the Issuer upon consummation of the Merger.

SEC source: 0001213900-21-033881 · ownership.xml · nonDerivative · entry 2

Tompkins Mark N. · CIK 0001455971 · 10% owner · Former Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,275,000

F2 · kind: Pursuant to the terms of an Agreement and Plan of Merger and Reorganization, dated as of June 22, 2021, by and among the Issuer, Aeluma Operating Co. ("Acquisition Sub"), and Biond Photonics, Inc. (d.b.a. "Aeluma") ("Biond"), on June 22, 2021, Biond merged with and into Acquisition Sub, with Acquisition Sub continuing as the surviving entity (the "Merger") and as the Issuer's wholly-owned subsidiary. As a condition to the Merger, pursuant to the terms of a stock cancellation agreement, the reporting person voluntarily surrendered and canceled 2,450,000 shares of the Issuer's common stock prior to the consummation of the Merger. The reporting person resigned as a director of the Issuer upon consummation of the Merger.

F2 · price: Pursuant to the terms of an Agreement and Plan of Merger and Reorganization, dated as of June 22, 2021, by and among the Issuer, Aeluma Operating Co. ("Acquisition Sub"), and Biond Photonics, Inc. (d.b.a. "Aeluma") ("Biond"), on June 22, 2021, Biond merged with and into Acquisition Sub, with Acquisition Sub continuing as the surviving entity (the "Merger") and as the Issuer's wholly-owned subsidiary. As a condition to the Merger, pursuant to the terms of a stock cancellation agreement, the reporting person voluntarily surrendered and canceled 2,450,000 shares of the Issuer's common stock prior to the consummation of the Merger. The reporting person resigned as a director of the Issuer upon consummation of the Merger.