Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| Aeluma, Inc.ALMU · Entity 6202 | Director | August 26, 2026 | August 28, 2026 |
| Akoustis Technologies, Inc.AKTS · Entity 88229 | Director | November 06, 2023 | November 08, 2023 |
| Palomino Laboratories Inc.NONE · Entity 9910 | Director | April 20, 2026 | April 20, 2026 |
| SmartKem, Inc.SMTK · Entity 8554 | Director | September 03, 2025 | September 12, 2025 |
Disclosed balances
About these balances
Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.
Aeluma, Inc.
Report date August 26, 2026 · Filed August 28, 2026 · Amendment
Amendment: balances below belong to this corrected disclosure, not necessarily a complete replacement of earlier positions.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 345,209 |
Last balance in matching sequence
After 2026-08-27 transaction · row 2
Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
2 source rowsRow 1 · 2026-08-26 · Sale · Disposed 12,500 · Balance 357,709 F1: Sales effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on November 20, 2025. F2: The price reported in Column 4 represents a weighted average sales price. These shares were sold in multiple transactions at prices ranging from $13.57 to $14.40, inclusive. Row 2 · 2026-08-27 · Sale · Disposed 12,500 · Balance 345,209 F1: Sales effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on November 20, 2025. F3: The price reported in Column 4 represents a weighted average sales price. These shares were sold in multiple transactions at prices ranging from $13.59 to $14.35, inclusive. |
Filing footnotes · ownership attribution and instrument terms
F1: Sales effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on November 20, 2025.
F2: The price reported in Column 4 represents a weighted average sales price. These shares were sold in multiple transactions at prices ranging from $13.57 to $14.40, inclusive.
F3: The price reported in Column 4 represents a weighted average sales price. These shares were sold in multiple transactions at prices ranging from $13.59 to $14.35, inclusive.
Akoustis Technologies, Inc.
Report date November 06, 2023 · Filed November 08, 2023
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 325,959 |
Reported balance
After 2023-11-06 transaction · row 1
1 source rowRow 1 · 2023-11-06 · Grant · Acquired 38,250 · Balance 325,959 |
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $0.59 · Expires 2030-11-06 | Direct | 76,500 |
Reported balance
After 2023-11-06 transaction · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · 2023-11-06 · Grant · Acquired 76,500 · Balance 76,500 |
Palomino Laboratories Inc.
Report date April 20, 2026 · Filed April 20, 2026
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 1,762,500 |
Reported balance
After 2026-04-20 transaction · row 1
1 source rowRow 1 · 2026-04-20 · Purchase · Acquired 12,500 · Balance 1,762,500 |
SmartKem, Inc.
Report date September 03, 2025 · Filed September 12, 2025
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $1.16 · Expires 2035-09-03 | Direct | 22,466 |
Reported balance
After 2025-09-03 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2025-09-03 · Grant · Acquired 22,466 · Balance 22,466 F1: The option vests as follows: 25% on the date of grant with the remaining shares to vest in equal monthly installments over a period of 36 months commencing on September 3, 2025 and on the 3rd date of each month thereafter. |
Filing footnotes · ownership attribution and instrument terms
F1: The option vests as follows: 25% on the date of grant with the remaining shares to vest in equal monthly installments over a period of 36 months commencing on September 3, 2025 and on the 3rd date of each month thereafter.
Transaction history
JSON APIPurchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”
The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.
| Transaction date | Company | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| August 27, 2026 Filed Aug 28, 2026 17:54 UTC Amendment | Aeluma, Inc. ALMU · Entity 6202 | SaleCommon Stock | 12,500 | $13.82 | $172,697.50 |
DisclosureSEC source: 0001700533-26-000013 · form4a-08282026_090849.xml · nonDerivative · entry 2 Denbaars Steven · CIK 0001700533 · Director 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 345,209 F1 · kind: Sales effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on November 20, 2025. F3 · price: The price reported in Column 4 represents a weighted average sales price. These shares were sold in multiple transactions at prices ranging from $13.59 to $14.35, inclusive. Read SEC document |
| August 27, 2026 Filed Aug 28, 2026 16:42 UTC | Aeluma, Inc. ALMU · Entity 6202 | SaleCommon Stock | 12,500 | $13.82 | $172,697.50 |
DisclosureSEC source: 0001700533-26-000011 · form4-08282026_080851.xml · nonDerivative · entry 2 Denbaars Steven · CIK 0001700533 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 345,209 F2 · price: The price reported in Column 4 represents a weighted average sales price. These shares were sold in multiple transactions at prices ranging from $13.59 to $14.35, inclusive. Read SEC document |
| August 26, 2026 Filed Aug 28, 2026 17:54 UTC Amendment | Aeluma, Inc. ALMU · Entity 6202 | SaleCommon Stock | 12,500 | $13.84 | $173,043.75 |
DisclosureSEC source: 0001700533-26-000013 · form4a-08282026_090849.xml · nonDerivative · entry 1 Denbaars Steven · CIK 0001700533 · Director 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 357,709 F1 · kind: Sales effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on November 20, 2025. F2 · price: The price reported in Column 4 represents a weighted average sales price. These shares were sold in multiple transactions at prices ranging from $13.57 to $14.40, inclusive. Read SEC document |
| August 26, 2026 Filed Aug 28, 2026 16:42 UTC | Aeluma, Inc. ALMU · Entity 6202 | SaleCommon Stock | 12,500 | $13.84 | $173,043.75 |
DisclosureSEC source: 0001700533-26-000011 · form4-08282026_080851.xml · nonDerivative · entry 1 Denbaars Steven · CIK 0001700533 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 357,709 F1 · price: The price reported in Column 4 represents a weighted average sales price. These shares were sold in multiple transactions at prices ranging from $13.57 to $14.40, inclusive. Read SEC document |
| May 20, 2026 Filed May 21, 2026 23:20 UTC | Aeluma, Inc. ALMU · Entity 6202 | SaleCommon Stock | 942 | $21.30 | $20,063.75 |
DisclosureSEC source: 0001700533-26-000008 · form4-05212026_110538.xml · nonDerivative · entry 4 Denbaars Steven · CIK 0001700533 · Director 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 370,209 F1 · kind: Sales effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on November 20, 2025. F6 · price: The price reported in Column 4 represents a weighted average sales price. These shares were sold in multiple transactions at prices ranging from $20.907 to $21.63, inclusive. Read SEC document |
| May 20, 2026 Filed May 21, 2026 23:20 UTC | Aeluma, Inc. ALMU · Entity 6202 | SaleCommon Stock | 11,558 | $20.40 | $235,733.50 |
DisclosureSEC source: 0001700533-26-000008 · form4-05212026_110538.xml · nonDerivative · entry 3 Denbaars Steven · CIK 0001700533 · Director 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 371,151 F1 · kind: Sales effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on November 20, 2025. F5 · price: The price reported in Column 4 represents a weighted average sales price. These shares were sold in multiple transactions at prices ranging from $19.89 to $20.8895, inclusive. Read SEC document |
| May 19, 2026 Filed May 21, 2026 23:20 UTC | Aeluma, Inc. ALMU · Entity 6202 | SaleCommon Stock | 5,085 | $20.61 | $104,807.44 |
DisclosureSEC source: 0001700533-26-000008 · form4-05212026_110538.xml · nonDerivative · entry 2 Denbaars Steven · CIK 0001700533 · Director 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 382,709 F1 · kind: Sales effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on November 20, 2025. F4 · price: The price reported in Column 4 represents a weighted average sales price. These shares were sold in multiple transactions at prices ranging from $20.0244 to $20.9963, inclusive. Read SEC document |
| May 19, 2026 Filed May 21, 2026 23:20 UTC | Aeluma, Inc. ALMU · Entity 6202 | SaleCommon Stock | 7,415 | $19.56 | $145,025.54 |
DisclosureSEC source: 0001700533-26-000008 · form4-05212026_110538.xml · nonDerivative · entry 1 Denbaars Steven · CIK 0001700533 · Director 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 387,794 F1 · kind: Sales effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on November 20, 2025. F2 · shares: Restricted stock units scheduled to vest with respect to approximately 1/12 of the shares on December 31, 2025, 1/4 of the shares on March 31, June 30, and September 30, 2026, and 1/6 of the shares on November 30, 2026. F3 · price: The price reported in Column 4 represents a weighted average sales price. These shares were sold in multiple transactions at prices ranging from $19.02 to $20.01, inclusive. Read SEC document |
| April 20, 2026 Filed Apr 20, 2026 21:00 UTC | Palomino Laboratories Inc. NONE · Entity 9910 | PurchaseCommon Stock | 12,500 | $4.00 | $50,000.00 |
DisclosureSEC source: 0001493152-26-018116 · ownership.xml · nonDerivative · entry 1 Denbaars Steven · CIK 0001700533 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 1,762,500 Read SEC document |
| February 26, 2026 Filed Feb 27, 2026 21:22 UTC | Aeluma, Inc. ALMU · Entity 6202 | SaleCommon Stock | 12,500 | $15.85 | $198,093.75 |
DisclosureSEC source: 0001700533-26-000003 · form4-02272026_090259.xml · nonDerivative · entry 2 Denbaars Steven · CIK 0001700533 · Director 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 385,088 F1 · kind: Sales effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on November 20, 2025. F3 · price: The price reported in Column 4 represents a weighted average sales price. These shares were sold in multiple transactions at prices ranging from $15.475 to $16.41, inclusive. Read SEC document |
| February 25, 2026 Filed Feb 27, 2026 21:22 UTC | Aeluma, Inc. ALMU · Entity 6202 | SaleCommon Stock | 12,500 | $17.58 | $219,766.25 |
DisclosureSEC source: 0001700533-26-000003 · form4-02272026_090259.xml · nonDerivative · entry 1 Denbaars Steven · CIK 0001700533 · Director 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 397,588 F1 · kind: Sales effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on November 20, 2025. F2 · price: The price reported in Column 4 represents a weighted average sales price. These shares were sold in multiple transactions at prices ranging from $17.11 to $17.97, inclusive. Read SEC document |
| December 03, 2025 Filed Mar 2, 2026 21:54 UTC | Aeluma, Inc. ALMU · Entity 6202 | GrantCommon Stock | 10,121 | $0.00 | $0.00 |
DisclosureSEC source: 0001700533-26-000005 · form4-03022026_090342.xml · nonDerivative · entry 1 Denbaars Steven · CIK 0001700533 · Director 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 395,209 F1 · shares: Restricted stock units scheduled to vest with respect to approximately 1/12 of the shares on December 31, 2025, 1/4 of the shares on March 31, June 30, and September 30, 2026, and 1/6 of the shares on November 30, 2026. Read SEC document |
| September 29, 2025 Filed Oct 9, 2025 20:21 UTC | Palomino Laboratories Inc. NONE · Entity 9910 | SaleWarrants · Derivative | 125,000 | $1.20 Strike: $1.50 | $150,000.00 |
DisclosureSEC source: 0001493152-25-017607 · ownership.xml · derivative · entry 2 Denbaars Steven · CIK 0001700533 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 125,000 Underlying: Common Stock · 125,000 shares Expires not disclosed F1 · kind: Per the terms of an Agreement and Plan of Merger, dated September 29, 2025, Palomino Acquisition Co., a subsidiary of Issuer, merged into Rhino Subsidiary Inc. (f/k/a Palomino Laboratories Inc., "Pre-Merger Palomino"). Mr. DenBaars, as a shareholder of Pre-Merger Palomino, received 1,500,000 shares of common stock, par value $0.0001 per share, of Issuer ("Common Stock") in exchange for his Pre-Merger Palomino shares. On September 29, 2025, Issuer closed a private placement offering and, during which, Mr. DenBaars converted his SAFEs into 125,000 Units at a price of $1.20 per Unit. Each Unit consists of one share of the Common Stock and one warrant to purchase one share of Common Stock at an exercise price of $1.50. The warrants expire on the first anniversary of the date the Common Stock is admitted for trading or listed on an Approved Market (as defined in warrant agreement). F1 · derivative.expiration_date: Per the terms of an Agreement and Plan of Merger, dated September 29, 2025, Palomino Acquisition Co., a subsidiary of Issuer, merged into Rhino Subsidiary Inc. (f/k/a Palomino Laboratories Inc., "Pre-Merger Palomino"). Mr. DenBaars, as a shareholder of Pre-Merger Palomino, received 1,500,000 shares of common stock, par value $0.0001 per share, of Issuer ("Common Stock") in exchange for his Pre-Merger Palomino shares. On September 29, 2025, Issuer closed a private placement offering and, during which, Mr. DenBaars converted his SAFEs into 125,000 Units at a price of $1.20 per Unit. Each Unit consists of one share of the Common Stock and one warrant to purchase one share of Common Stock at an exercise price of $1.50. The warrants expire on the first anniversary of the date the Common Stock is admitted for trading or listed on an Approved Market (as defined in warrant agreement). Read SEC document |
| September 29, 2025 Filed Oct 9, 2025 20:21 UTC | Palomino Laboratories Inc. NONE · Entity 9910 | OtherCommon Stock | 1,625,000 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001493152-25-017607 · ownership.xml · nonDerivative · entry 1 Denbaars Steven · CIK 0001700533 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 1,750,000 F1 · kind: Per the terms of an Agreement and Plan of Merger, dated September 29, 2025, Palomino Acquisition Co., a subsidiary of Issuer, merged into Rhino Subsidiary Inc. (f/k/a Palomino Laboratories Inc., "Pre-Merger Palomino"). Mr. DenBaars, as a shareholder of Pre-Merger Palomino, received 1,500,000 shares of common stock, par value $0.0001 per share, of Issuer ("Common Stock") in exchange for his Pre-Merger Palomino shares. On September 29, 2025, Issuer closed a private placement offering and, during which, Mr. DenBaars converted his SAFEs into 125,000 Units at a price of $1.20 per Unit. Each Unit consists of one share of the Common Stock and one warrant to purchase one share of Common Stock at an exercise price of $1.50. The warrants expire on the first anniversary of the date the Common Stock is admitted for trading or listed on an Approved Market (as defined in warrant agreement). F1 · price: Per the terms of an Agreement and Plan of Merger, dated September 29, 2025, Palomino Acquisition Co., a subsidiary of Issuer, merged into Rhino Subsidiary Inc. (f/k/a Palomino Laboratories Inc., "Pre-Merger Palomino"). Mr. DenBaars, as a shareholder of Pre-Merger Palomino, received 1,500,000 shares of common stock, par value $0.0001 per share, of Issuer ("Common Stock") in exchange for his Pre-Merger Palomino shares. On September 29, 2025, Issuer closed a private placement offering and, during which, Mr. DenBaars converted his SAFEs into 125,000 Units at a price of $1.20 per Unit. Each Unit consists of one share of the Common Stock and one warrant to purchase one share of Common Stock at an exercise price of $1.50. The warrants expire on the first anniversary of the date the Common Stock is admitted for trading or listed on an Approved Market (as defined in warrant agreement). Read SEC document |
| September 03, 2025 Filed Sep 12, 2025 20:01 UTC | SmartKem, Inc. SMTK · Entity 8554 | GrantStock Option (right to buy) · Derivative | 22,466 | $0.00 Strike: $1.16 | $0.00 |
DisclosureSEC source: 0001104659-25-089527 · tm2525173-6_4seq3.xml · derivative · entry 1 Denbaars Steven · CIK 0001700533 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 22,466 Underlying: Common Stock · 22,466 shares Expires 2035-09-03 F1 · derivative.exercise_date: The option vests as follows: 25% on the date of grant with the remaining shares to vest in equal monthly installments over a period of 36 months commencing on September 3, 2025 and on the 3rd date of each month thereafter. Read SEC document |
| May 28, 2025 Filed May 29, 2025 01:00 UTC | SmartKem, Inc. SMTK · Entity 8554 | GrantStock Option (right to Buy) · Derivative | 23,915 | $0.00 Strike: $2.51 | $0.00 |
DisclosureSEC source: 0001641172-25-012762 · ownership.xml · derivative · entry 1 Denbaars Steven · CIK 0001700533 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 23,915 Underlying: Common Stock · 23,915 shares Expires 2035-04-15 F1 · date: The stock option grant was approved by the Compensation Committee of SmartKem, Inc.'s (the "Company") board of directors on April 15, 2025, subject to stockholder approval of an Amendment to the SmartKem, Inc. 2021 Equity Incentive Plan (the "Amendment"). The Company's stockholders approved the Amendment on May 28, 2025. F2 · derivative.exercise_date: The option vests as follows: 25% on the date of grant with the remaining shares to vest in equal monthly installments over a period of 36 months commencing on May 15, 2025 and on the 15th date of each month thereafter. Read SEC document |
| January 10, 2025 Filed May 23, 2025 17:24 UTC | Aeluma, Inc. ALMU · Entity 6202 | GrantStock Option · Derivative | 84,663 | $7.80 Strike: $7.80 | $660,371.40 |
DisclosureSEC 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 Read SEC document |
| June 14, 2024 Filed Jun 17, 2024 21:02 UTC | SmartKem, Inc. SMTK · Entity 8554 | GrantEmployee stock option (Right to Buy) · Derivative | 20,000 | $0.00 Strike: $6.50 | $0.00 |
DisclosureSEC source: 0001493152-24-024146 · ownership.xml · derivative · entry 1 Denbaars Steven · CIK 0001700533 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 20,000 Underlying: Common Stock · 20,000 shares Expires 2034-06-14 F1 · derivative.exercise_date: The options vested as to 25% upon date of grant with the remaining shares to vest in equal monthly installments over a period of 36 months commencing on July 14, 2024. Read SEC document |
| March 01, 2024 Filed May 23, 2025 17:26 UTC | Aeluma, Inc. ALMU · Entity 6202 | SaleStock Option · Derivative | 43,279 | $2.99 Strike: $2.99 | $129,404.21 |
DisclosureSEC 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 Read SEC document |
| January 31, 2024 Filed Feb 2, 2024 22:04 UTC | SmartKem, Inc. SMTK · Entity 8554 | GrantCommon Stock | 100 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-24-010139 · tm244327-9_4seq1.xml · nonDerivative · entry 1 Denbaars Steven · CIK 0001700533 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 815 F1 · shares: Reflects a grant of a stock award issued pursuant to the Issuer's 2021 Equity Incentive Plan, which vested in full upon grant. F1 · price: Reflects a grant of a stock award issued pursuant to the Issuer's 2021 Equity Incentive Plan, which vested in full upon grant. F2 · balance_after: Shares reported reflect a 1-for-35 reverse share split effective September 21, 2023. Read SEC document |
| November 06, 2023 Filed Nov 8, 2023 17:04 UTC | Akoustis Technologies, Inc. AKTS · Entity 88229 | GrantStock Option (Right to Buy) · Derivative | 76,500 | $0.00 Strike: $0.59 | $0.00 |
DisclosureSEC source: 0001562180-23-007598 · primarydocument.xml · derivative · entry 2 Denbaars Steven · CIK 0001700533 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 76,500 Underlying: Common Stock · 76,500 shares Expires 2030-11-06 Read SEC document |
| November 06, 2023 Filed Nov 8, 2023 17:04 UTC | Akoustis Technologies, Inc. AKTS · Entity 88229 | GrantCommon Stock | 38,250 | $0.00 | $0.00 |
DisclosureSEC source: 0001562180-23-007598 · primarydocument.xml · nonDerivative · entry 1 Denbaars Steven · CIK 0001700533 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 325,959 Read SEC document |
| August 18, 2023 Filed Aug 22, 2023 19:11 UTC | Akoustis Technologies, Inc. AKTS · Entity 88229 | SaleCommon Stock | 7,000 | $1.83 | $12,810.00 |
DisclosureSEC source: 0001562180-23-006525 · primarydocument.xml · nonDerivative · entry 1 Denbaars Steven · CIK 0001700533 · Director 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 287,709 F1 · kind: These transactions were effected pursuant to a Rule 10b5-1 trading plan entered into on March 10, 2023. F2 · price: The price reported in column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $1.76 to $1.87, inclusive. The reporting person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote Read SEC document |
| January 24, 2023 Filed Jan 25, 2023 16:01 UTC | Akoustis Technologies, Inc. AKTS · Entity 88229 | GrantCommon Stock | 18,182 | $2.75 | $50,000.50 |
DisclosureSEC source: 0001562180-23-000577 · primarydocument.xml · nonDerivative · entry 1 Denbaars Steven · CIK 0001700533 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 294,709 Read SEC document |
| December 06, 2022 Filed Dec 8, 2022 17:42 UTC | Akoustis Technologies, Inc. AKTS · Entity 88229 | SaleCommon Stock | 7,000 | $3.57 | $24,990.00 |
DisclosureSEC source: 0001562180-22-008171 · primarydocument.xml · nonDerivative · entry 1 Denbaars Steven · CIK 0001700533 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 276,527 F1 · kind: These transactions were effected pursuant to a Rule 10b5-1 trading plan. F2 · price: The price reported in column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $3.54 to $3.66, inclusive. The reporting person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote Read SEC document |
| November 10, 2022 Filed Nov 14, 2022 17:07 UTC | Akoustis Technologies, Inc. AKTS · Entity 88229 | GrantCommon Stock | 39,982 | $0.00 | $0.00 |
DisclosureSEC source: 0001562180-22-007646 · primarydocument.xml · nonDerivative · entry 1 Denbaars Steven · CIK 0001700533 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 283,527 Read SEC document |
| September 06, 2022 Filed Sep 8, 2022 17:17 UTC | Akoustis Technologies, Inc. AKTS · Entity 88229 | SaleCommon Stock | 7,000 | $3.90 | $27,300.00 |
DisclosureSEC source: 0001562180-22-006561 · primarydocument.xml · nonDerivative · entry 1 Denbaars Steven · CIK 0001700533 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 243,545 F1 · kind: These transactions were effected pursuant to a Rule 10b5-1 trading plan. F2 · price: The price reported in column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $3.83 to $4.03, inclusive. The reporting person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote Read SEC document |
| July 08, 2022 Filed Jul 12, 2022 13:17 UTC | SmartKem, Inc. SMTK · Entity 8554 | GrantStock option (right to buy) · Derivative | 18,000 | $0.00 Strike: $2.00 | $0.00 |
DisclosureSEC source: 0001104659-22-079027 · tm2220038-5_4seq1.xml · derivative · entry 1 Denbaars Steven · CIK 0001700533 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 18,000 Underlying: Common Stock · 18,000 shares Expires 2032-07-08 F1 · derivative.exercise_date: The option award was made in accordance with the terms of the Issuer's 2021 Equity Incentive Plan. The option vests as to 25% of the shares on July 8, 2023 with the remaining shares to vest in equal monthly installments over a period of 36 months commencing on August 1, 2023. Read SEC document |
| June 06, 2022 Filed Jun 7, 2022 17:41 UTC | Akoustis Technologies, Inc. AKTS · Entity 88229 | SaleCommon Stock | 7,000 | $4.48 | $31,360.00 |
DisclosureSEC source: 0001562180-22-004886 · primarydocument.xml · nonDerivative · entry 1 Denbaars Steven · CIK 0001700533 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 250,545 F1 · kind: These transactions were effected pursuant to a Rule 10b5-1 trading plan. F2 · price: The price reported in column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $4.23 to $4.63, inclusive. The reporting person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote Read SEC document |
| February 14, 2022 Filed Feb 15, 2022 08:38 UTC | Akoustis Technologies, Inc. AKTS · Entity 88229 | Exercise / conversionStock Option (Right to Buy) · Derivative | 8,013 | $0.00 Strike: $6.24 | $0.00 |
DisclosureSEC source: 0001562180-22-001465 · primarydocument.xml · derivative · entry 2 Denbaars Steven · CIK 0001700533 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 24,719 Underlying: Common Stock · 8,013 shares Expires 2024-11-16 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. Read SEC document |
| February 14, 2022 Filed Feb 15, 2022 08:38 UTC | Akoustis Technologies, Inc. AKTS · Entity 88229 | Exercise / conversionCommon Stock | 8,013 | $6.24 | $50,001.12 |
DisclosureSEC source: 0001562180-22-001465 · primarydocument.xml · nonDerivative · entry 1 Denbaars Steven · CIK 0001700533 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 257,545 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. Read SEC document |
| January 11, 2022 Filed Jan 13, 2022 17:07 UTC | Akoustis Technologies, Inc. AKTS · Entity 88229 | SaleCommon Stock | 7,000 | $5.91 | $41,370.00 |
DisclosureSEC source: 0001562180-22-000457 · primarydocument.xml · nonDerivative · entry 1 Denbaars Steven · CIK 0001700533 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 249,532 F1 · kind: These transactions were effected pursuant to a Rule 10b5-1 trading plan. F2 · price: The price reported in column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $5.71 to $6.07, inclusive. The reporting person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. Read SEC document |
| December 22, 2021 Filed May 23, 2025 17:26 UTC | Aeluma, Inc. ALMU · Entity 6202 | PurchaseCommon Stock | 33,333 | $3.00 | $99,999.00 |
DisclosureSEC 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 Read SEC document |
| October 28, 2021 Filed Nov 1, 2021 06:51 UTC | Akoustis Technologies, Inc. AKTS · Entity 88229 | GrantCommon Stock | 16,703 | $0.00 | $0.00 |
DisclosureSEC source: 0001562180-21-006704 · primarydocument.xml · nonDerivative · entry 1 Denbaars Steven · CIK 0001700533 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 256,532 Read SEC document |
| October 11, 2021 Filed Oct 13, 2021 17:02 UTC | Akoustis Technologies, Inc. AKTS · Entity 88229 | SaleCommon Stock | 7,000 | $8.08 | $56,560.00 |
DisclosureSEC source: 0001562180-21-006444 · primarydocument.xml · nonDerivative · entry 1 Denbaars Steven · CIK 0001700533 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 239,829 F1 · kind: These transactions were effected pursuant to a Rule 10b5-1 trading plan. F2 · price: The price reported in column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $7.86 to $8.24, inclusive. The reporting person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. Read SEC document |
| July 12, 2021 Filed Jul 13, 2021 17:48 UTC | Akoustis Technologies, Inc. AKTS · Entity 88229 | SaleCommon Stock | 7,000 | $9.93 | $69,510.00 |
DisclosureSEC source: 0001562180-21-004919 · primarydocument.xml · nonDerivative · entry 1 Denbaars Steven · CIK 0001700533 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 246,829 F1 · kind: These transactions were effected pursuant to a Rule 10b5-1 trading plan. F2 · price: The price reported in column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $9.81 to $10.17, inclusive. The reporting person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. Read SEC document |
| June 22, 2021 Filed Jun 24, 2021 20:35 UTC | Aeluma, Inc. NONE · Entity 6202 | PurchaseCommon Stock | 100,000 | $2.00 | $200,000.00 |
DisclosureSEC source: 0001213900-21-033978 · ownership.xml · nonDerivative · entry 2 Denbaars Steven · CIK 0001700533 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 376,755 Read SEC document |
| June 22, 2021 Filed Jun 24, 2021 20:35 UTC | Aeluma, Inc. NONE · Entity 6202 | OtherCommon Stock | 276,755 | $0.00 | $0.00 |
DisclosureSEC source: 0001213900-21-033978 · ownership.xml · nonDerivative · entry 1 Denbaars Steven · CIK 0001700533 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 276,755 F1 · kind: In connection with a merger between the Issuer, Biond Photonics, Inc., a privately held California corporation ("Biond") and the Issuer's wholly-owned subsidiary, Aeluma Operating Co., ("Acquisition Sub"), pursuant to which Acquisition Sub was the surviving corporation and remained the Issuer's wholly owned subsidiary, that occurred on June 22, 2021, the reporting person exchanged all of their Biond shares for 276,755 shares of Parc Investment, Inc., now known as Aeluma, Inc. F1 · price: In connection with a merger between the Issuer, Biond Photonics, Inc., a privately held California corporation ("Biond") and the Issuer's wholly-owned subsidiary, Aeluma Operating Co., ("Acquisition Sub"), pursuant to which Acquisition Sub was the surviving corporation and remained the Issuer's wholly owned subsidiary, that occurred on June 22, 2021, the reporting person exchanged all of their Biond shares for 276,755 shares of Parc Investment, Inc., now known as Aeluma, Inc. Read SEC document |
| April 12, 2021 Filed Apr 14, 2021 17:06 UTC | Akoustis Technologies, Inc. AKTS · Entity 88229 | SaleCommon Stock | 7,000 | $12.00 | $84,000.00 |
DisclosureSEC source: 0001562180-21-002815 · primarydocument.xml · nonDerivative · entry 1 Denbaars Steven · CIK 0001700533 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 253,829 F1 · kind: These transactions were effected pursuant to a Rule 10b5-1 trading plan. F2 · price: The price reported in column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $11.85 to $12.25, inclusive. The reporting person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. Read SEC document |
| January 11, 2021 Filed Jan 12, 2021 17:03 UTC | Akoustis Technologies, Inc. AKTS · Entity 88229 | SaleCommon Stock | 7,000 | $13.40 | $93,800.00 |
DisclosureSEC source: 0001562180-21-000313 · primarydocument.xml · nonDerivative · entry 1 Denbaars Steven · CIK 0001700533 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 260,829 F1 · kind: These transactions were effected pursuant to a Rule 10b5-1 trading plan. F2 · price: The price reported in column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $13.20 to $13.71, inclusive. The reporting person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. Read SEC document |
| October 29, 2020 Filed Oct 30, 2020 16:01 UTC | Akoustis Technologies, Inc. AKTS · Entity 88229 | GrantCommon Stock | 18,865 | $0.00 | $0.00 |
DisclosureSEC source: 0001562180-20-006472 · primarydocument.xml · nonDerivative · entry 1 Denbaars Steven · CIK 0001700533 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 267,829 Read SEC document |
| October 12, 2020 Filed Oct 14, 2020 17:47 UTC | Akoustis Technologies, Inc. AKTS · Entity 88229 | SaleCommon Stock | 7,000 | $8.53 | $59,710.00 |
DisclosureSEC source: 0001562180-20-006366 · primarydocument.xml · nonDerivative · entry 1 Denbaars Steven · CIK 0001700533 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 248,964 F1 · kind: These transactions were effected pursuant to a Rule 10b5-1 trading plan. F2 · price: The price reported in column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $8.45 to $8.64, inclusive. The reporting person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. Read SEC document |
| September 08, 2020 Filed Sep 10, 2020 17:12 UTC | Akoustis Technologies, Inc. AKTS · Entity 88229 | GrantCommon Stock | 133 | $0.00 | $0.00 |
DisclosureSEC source: 0001562180-20-005959 · primarydocument.xml · nonDerivative · entry 1 Denbaars Steven · CIK 0001700533 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 255,964 Read SEC document |
| June 01, 2020 Filed Jun 3, 2020 16:50 UTC | Akoustis Technologies, Inc. AKTS · Entity 88229 | SaleCommon Stock | 7,000 | $7.68 | $53,760.00 |
DisclosureSEC source: 0001562180-20-004170 · primarydocument.xml · nonDerivative · entry 1 Denbaars Steven · CIK 0001700533 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 255,831 F1 · kind: These transactions were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on March 4, 2020. F2 · price: The price reported in column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $7.41 to $7.87, inclusive. The reporting person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. Read SEC document |
| April 13, 2020 Filed Apr 15, 2020 17:09 UTC | Akoustis Technologies, Inc. AKTS · Entity 88229 | SaleCommon Stock | 7,000 | $7.59 | $53,130.00 |
DisclosureSEC source: 0001562180-20-003023 · primarydocument.xml · nonDerivative · entry 1 Denbaars Steven · CIK 0001700533 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 262,831 F1 · date: These transactions were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on March 4, 2020. F2 · price: The price reported in column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $7.26 to $7.95, inclusive. The reporting person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. Read SEC document |
| January 06, 2020 Filed Jan 6, 2020 21:52 UTC | Akoustis Technologies, Inc. AKTS · Entity 88229 | SaleCommon Stock | 7,000 | $8.11 | $56,770.00 |
DisclosureSEC source: 0001562180-20-000260 · primarydocument.xml · nonDerivative · entry 1 Denbaars Steven · CIK 0001700533 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 269,831 F1 · kind: These transactions were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on March 19, 2019. F2 · price: The price reported in column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $8.06 to $8.17, inclusive. The reporting person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. Read SEC document |
| November 04, 2019 Filed Nov 6, 2019 16:34 UTC | Akoustis Technologies, Inc. AKTS · Entity 88229 | GrantCommon Stock | 19,033 | $0.00 | $0.00 |
DisclosureSEC source: 0001562180-19-005377 · primarydocument.xml · nonDerivative · entry 1 Denbaars Steven · CIK 0001700533 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 276,831 Read SEC document |
| October 07, 2019 Filed Oct 8, 2019 17:23 UTC | Akoustis Technologies, Inc. AKTS · Entity 88229 | SaleCommon Stock | 7,000 | $7.72 | $54,040.00 |
DisclosureSEC source: 0001562180-19-005126 · primarydocument.xml · nonDerivative · entry 1 Denbaars Steven · CIK 0001700533 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 257,798 F1 · kind: These transactions were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on March 19, 2019. F2 · price: The price reported in column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $7.50 to $7.91, inclusive. The reporting person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. Read SEC document |
| July 08, 2019 Filed Jul 10, 2019 16:46 UTC | Akoustis Technologies, Inc. AKTS · Entity 88229 | SaleCommon Stock | 7,000 | $5.63 | $39,410.00 |
DisclosureSEC source: 0001562180-19-003914 · primarydocument.xml · nonDerivative · entry 1 Denbaars Steven · CIK 0001700533 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 264,798 F1 · shares: These transactions were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on March 19,2019. F2 · price: The price reported in column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $5.57 to $5.77, inclusive. The reporting person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. Read SEC document |
| April 29, 2019 Filed May 1, 2019 16:02 UTC | Akoustis Technologies, Inc. AKTS · Entity 88229 | SaleCommon Stock | 7,000 | $6.58 | $46,060.00 |
DisclosureSEC source: 0001562180-19-002465 · primarydocument.xml · nonDerivative · entry 1 Denbaars Steven · CIK 0001700533 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 271,798 F1 · shares: These transactions were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on March 19, 2019. F2 · price: The price reported in column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $6.50 to $6.78, inclusive. The reporting person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. F3 · balance_after: The balance reflects an adjustment to correct a computational error in column 5 of the reporting person's Form 4 filed November 2, 2018, which stated 262,432 but should have stated 278,798. Read SEC document |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.