Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| Akoustis Technologies, Inc.AKTS · Entity 88229 | 10% owner | December 27, 2017 | December 29, 2017 |
| Amesite Inc.NONE · Entity 149985 | 10% owner | September 06, 2018 | September 06, 2018 |
| Augmedix, Inc.NONE · Entity 86996 | Former Director and 10% Owner | October 05, 2020 | October 07, 2020 |
| Compass Therapeutics, Inc.NONE · Entity 5614 | Director · 10% owner | July 29, 2018 | July 30, 2018 |
| Margaree Acquisition Corp.NONE · Entity 29500 | Director · 10% owner | July 17, 2026 | July 20, 2026 |
| Orielle Acquisition Corp.NONE · Entity 75992 | Director · 10% owner | August 26, 2025 | August 28, 2025 |
| Primus Acquisition Inc.NONE · Entity 68795 | Director · 10% owner | January 26, 2026 | January 27, 2026 |
| Range Acquisition Corp.NONE · Entity 72416 | Director · 10% owner | December 01, 2025 | December 02, 2025 |
| Var Acquisition Corp.NONE · Entity 74862 | Director · 10% owner | September 30, 2025 | September 30, 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.
Akoustis Technologies, Inc.
Report date December 27, 2017 · Filed December 29, 2017
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 2,174,160 |
Ending reported balance
After 2017-12-28 transaction · row 6
6 source rows · reconciled sequenceRow 1 · 2017-12-27 · Sale · Disposed 5,000 · Balance 2,199,741 Row 2 · 2017-12-27 · Sale · Disposed 5,000 · Balance 2,194,741 Row 3 · 2017-12-27 · Sale · Disposed 5,000 · Balance 2,189,741 Row 4 · 2017-12-27 · Sale · Disposed 581 · Balance 2,189,160 Row 5 · 2017-12-28 · Sale · Disposed 5,000 · Balance 2,184,160 Row 6 · 2017-12-28 · Sale · Disposed 10,000 · Balance 2,174,160 |
Amesite Inc.
Report date September 06, 2018 · Filed September 06, 2018
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common Stock, par value $0.0001 per shareSEC Table I · non-derivative | Direct | 2,900,668 |
Reported balance
After 2018-09-06 transaction · row 1
1 source rowRow 1 · 2018-09-06 · Sale · Disposed 50,000 · Balance 2,900,668 |
Augmedix, Inc.
Report date October 05, 2020 · Filed October 07, 2020
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common stock, par value $0.0001 per shareSEC Table I · non-derivative | Direct | 1,990,000 |
Ending reported balance
After 2020-10-05 transaction · row 2
2 source rows · reconciled sequenceRow 1 · 2020-10-05 · Other · Disposed 16,667 · Balance 4,733,333 F1: The reporting person transferred an aggregate of 16,667 shares of the Issuer's common stock as consideration for services rendered to an affiliate of the reporting person by the recipients. Row 2 · 2020-10-05 · Other · Disposed 2,743,333 · Balance 1,990,000 F2: Pursuant to the terms of an Agreement and Plan of Merger and Reorganization, dated as of October 5, 2020, by and among the Issuer, August Acquisition Corp. ("Acquisition Sub"), and Augmedix Operating Company (f/k/a Augmedix, Inc.) ("Augmedix"), on October 5, 2020, Acquisition Sub merged with and into Augmedix, with Augmedix 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 2,743,333 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. |
Filing footnotes · ownership attribution and instrument terms
F1: The reporting person transferred an aggregate of 16,667 shares of the Issuer's common stock as consideration for services rendered to an affiliate of the reporting person by the recipients.
F2: Pursuant to the terms of an Agreement and Plan of Merger and Reorganization, dated as of October 5, 2020, by and among the Issuer, August Acquisition Corp. ("Acquisition Sub"), and Augmedix Operating Company (f/k/a Augmedix, Inc.) ("Augmedix"), on October 5, 2020, Acquisition Sub merged with and into Augmedix, with Augmedix 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 2,743,333 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.
Compass Therapeutics, Inc.
Report date July 29, 2018 · Filed July 30, 2018
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common Stock, par value $0.0001SEC Table I · non-derivative | Direct | 4,750,000 |
Reported balance
Holding disclosure · report date 2018-07-29 · row 1
Holding and transaction disclosures are not merged.
1 source rowRow 1 · Balance 4,750,000 |
Margaree Acquisition Corp.
Report date July 17, 2026 · Filed July 20, 2026
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 7,500,000 |
Reported balance
Holding disclosure · report date 2026-07-17 · row 1
Holding and transaction disclosures are not merged.
1 source rowRow 1 · Balance 7,500,000 |
Orielle Acquisition Corp.
Report date August 26, 2025 · Filed August 28, 2025
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 4,700,000 |
Reported balance
After 2025-08-26 transaction · row 1
1 source rowRow 1 · 2025-08-26 · Sale · Disposed 50,000 · Balance 4,700,000 |
Primus Acquisition Inc.
Report date January 26, 2026 · Filed January 27, 2026
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 7,500,000 |
Reported balance
Holding disclosure · report date 2026-01-26 · row 1
Holding and transaction disclosures are not merged.
1 source rowRow 1 · Balance 7,500,000 |
Range Acquisition Corp.
Report date December 01, 2025 · Filed December 02, 2025
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 7,500,000 |
Reported balance
Holding disclosure · report date 2025-12-01 · row 1
Holding and transaction disclosures are not merged.
1 source rowRow 1 · Balance 7,500,000 |
Var Acquisition Corp.
Report date September 30, 2025 · Filed September 30, 2025
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 7,500,000 |
Reported balance
Holding disclosure · report date 2025-09-30 · row 1
Holding and transaction disclosures are not merged.
1 source rowRow 1 · Balance 7,500,000 |
Past disclosures · reporting ended (11)
No longer tracked through insider filings. These historical balances do not imply present ownership or a zero position.
Aeluma, Inc.
Report date February 04, 2026 · Filed February 06, 2026
Section 16 reporting ended · disclosed 2026-02-06. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 1,790,488 |
Ending reported balance
After 2026-02-04 transaction · row 2
2 source rows · reconciled sequenceRow 1 · 2026-02-04 · Sale · Disposed 28,544 · Balance 1,796,444 F1: The price reported in Column 4 represents a weighted average sales price. These shares were sold in multiple transactions at prices ranging from $13.94 to $14.91, inclusive. Row 2 · 2026-02-04 · Sale · Disposed 5,956 · Balance 1,790,488 F2: The price reported in Column 4 represents a weighted average sales price. These shares were sold in multiple transactions at prices ranging from $14.94 to $15.50, inclusive. |
Filing footnotes · ownership attribution and instrument terms
F1: The price reported in Column 4 represents a weighted average sales price. These shares were sold in multiple transactions at prices ranging from $13.94 to $14.91, inclusive.
F2: The price reported in Column 4 represents a weighted average sales price. These shares were sold in multiple transactions at prices ranging from $14.94 to $15.50, inclusive.
Amesite Inc.
Report date May 28, 2021 · Filed June 03, 2021
Section 16 reporting ended · disclosed 2021-06-03. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common Stock, par value $0.0001 per shareSEC Table I · non-derivative | Direct | 2,043,103 |
Ending reported balance
After 2021-06-01 transaction · row 2
2 source rows · reconciled sequenceRow 1 · 2021-05-28 · Sale · Disposed 17,494 · Balance 2,078,925 F1: The price reported in column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $2.41 to $2.59 inclusive. The Reporting Person undertakes to provide Amesite Inc. (the "Company"), any security holder of the Company, 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. Row 2 · 2021-06-01 · Sale · Disposed 35,822 · Balance 2,043,103 F2: The price reported in column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $2.35 to $2.415, inclusive. The Reporting Person undertakes to provide the Company, any security holder of the Company, 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. |
Filing footnotes · ownership attribution and instrument terms
F1: The price reported in column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $2.41 to $2.59 inclusive. The Reporting Person undertakes to provide Amesite Inc. (the "Company"), any security holder of the Company, 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.
F2: The price reported in column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $2.35 to $2.415, inclusive. The Reporting Person undertakes to provide the Company, any security holder of the Company, 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.
DEEP FISSION, INC.
Report date September 05, 2025 · Filed September 08, 2025
Section 16 reporting ended · disclosed 2025-09-08. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 1,891,667 |
Reported balance
After 2025-09-05 transaction · row 1
1 source rowRow 1 · 2025-09-05 · Other · Disposed 2,833,333 · Balance 1,891,667 F1: As a condition under the terms of an Agreement and Plan of Merger and Reorganization, dated as of September 5, 2025, and pursuant to the terms of a stock cancellation agreement, the reporting person voluntarily surrendered and cancelled for no consideration 2,833,333 shares of Issuer's common stock prior to the consummation of the Merger on September 5, 2025. The reporting person resigned as a director of the Issuer upon consummation of the Merger. |
Filing footnotes · ownership attribution and instrument terms
F1: As a condition under the terms of an Agreement and Plan of Merger and Reorganization, dated as of September 5, 2025, and pursuant to the terms of a stock cancellation agreement, the reporting person voluntarily surrendered and cancelled for no consideration 2,833,333 shares of Issuer's common stock prior to the consummation of the Merger on September 5, 2025. The reporting person resigned as a director of the Issuer upon consummation of the Merger.
Deep Isolation Nuclear, Inc.
Report date July 23, 2025 · Filed July 26, 2025
Section 16 reporting ended · disclosed 2025-07-26. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 1,891,667 |
Reported balance
After 2025-07-23 transaction · row 1
1 source rowRow 1 · 2025-07-23 · Other · Disposed 2,833,333 · Balance 1,891,667 F1: As a condition under the terms of an Agreement and Plan of Merger and Reorganization, dated as of July 23, 2025, and pursuant to the terms of a stock cancellation agreement, the reporting person voluntarily surrendered and cancelled for no consideration 2,833,333 shares of Issuer's common stock prior to the consummation of the Merger on July 23, 2025. The reporting person resigned as a director of the Issuer upon consummation of the Merger. |
Filing footnotes · ownership attribution and instrument terms
F1: As a condition under the terms of an Agreement and Plan of Merger and Reorganization, dated as of July 23, 2025, and pursuant to the terms of a stock cancellation agreement, the reporting person voluntarily surrendered and cancelled for no consideration 2,833,333 shares of Issuer's common stock prior to the consummation of the Merger on July 23, 2025. The reporting person resigned as a director of the Issuer upon consummation of the Merger.
EXICURE, INC.
Report date September 26, 2017 · Filed September 28, 2017
Section 16 reporting ended · disclosed 2017-09-28. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 1,825,667 |
Reported balance
After 2017-09-26 transaction · row 1
1 source rowRow 1 · 2017-09-26 · Purchase · Acquired 166,667 · Balance 1,825,667 |
| Common StockSEC Table I · non-derivative | IndirectBy Montrose Capital Partners Limited | 108,160 |
Reported balance
Holding disclosure · report date 2017-09-26 · row 2
Holding and transaction disclosures are not merged.
1 source rowRow 2 · Balance 108,160 F1: The reporting person is a principal of Montrose Capital Partners Limited ("Montrose Capital") and has sole voting and investment control over the securities of the issuer owned by Montrose Capital. |
Filing footnotes · ownership attribution and instrument terms
F1: The reporting person is a principal of Montrose Capital Partners Limited ("Montrose Capital") and has sole voting and investment control over the securities of the issuer owned by Montrose Capital.
Guerrilla RF, Inc.
Report date November 12, 2021 · Filed November 16, 2021
Section 16 reporting ended · disclosed 2021-10-26. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common stock, par value $0.0001 per shareSEC Table I · non-derivative | Direct | 2,700,000 |
Reported balance
After 2021-11-12 transaction · row 1
1 source rowRow 1 · 2021-11-12 · Purchase · Disposed 250,000 · Balance 2,700,000 F1: These shares were purchased by the reporting person form the Issuer in a private placement offering. |
Filing footnotes · ownership attribution and instrument terms
F1: These shares were purchased by the reporting person form the Issuer in a private placement offering.
Lomond Therapeutics Holdings, Inc.
Report date November 01, 2024 · Filed November 05, 2024
Section 16 reporting ended · disclosed 2024-11-05. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 1,200,000 |
Reported balance
After 2024-11-01 transaction · row 1
1 source rowRow 1 · 2024-11-01 · Other · Disposed 3,550,000 · Balance 1,200,000 F1: As a condition under the terms of an Agreement and Plan of Merger and Reorganization, dated as of November 1, 2024, and pursuant to the terms of a stock cancellation agreement, the reporting person voluntarily surrendered and cancelled for no consideration 3,550,000 shares of Issuer's common stock prior to the consummation of the Merger on November 1, 2024. The reporting person resigned as a director of the Issuer upon consummation of the Merger. |
Filing footnotes · ownership attribution and instrument terms
F1: As a condition under the terms of an Agreement and Plan of Merger and Reorganization, dated as of November 1, 2024, and pursuant to the terms of a stock cancellation agreement, the reporting person voluntarily surrendered and cancelled for no consideration 3,550,000 shares of Issuer's common stock prior to the consummation of the Merger on November 1, 2024. The reporting person resigned as a director of the Issuer upon consummation of the Merger.
Matternet, Inc.
Report date May 22, 2026 · Filed May 28, 2026
Section 16 reporting ended · disclosed 2026-05-28. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 2,375,000 |
Reported balance
After 2026-05-22 transaction · row 1
1 source rowRow 1 · 2026-05-22 · Other · Disposed 5,125,000 · Balance 2,375,000 F1: As a condition under the terms of an Agreement and Plan of Merger and Reorganization, dated May 22, 2026 (the merger contemplated under such agreement, "Merger"), and pursuant to the terms of a stock cancellation agreement, the reporting person voluntarily surrendered and cancelled, for no consideration, 5,125,000 shares of the Issuer's common stock prior to the consummation of the Merger on May 22, 2026. The reporting person resigned as a director of the Issuer upon consummation of the Merger. |
Filing footnotes · ownership attribution and instrument terms
F1: As a condition under the terms of an Agreement and Plan of Merger and Reorganization, dated May 22, 2026 (the merger contemplated under such agreement, "Merger"), and pursuant to the terms of a stock cancellation agreement, the reporting person voluntarily surrendered and cancelled, for no consideration, 5,125,000 shares of the Issuer's common stock prior to the consummation of the Merger on May 22, 2026. The reporting person resigned as a director of the Issuer upon consummation of the Merger.
Serve Robotics Inc. /DE/
Report date July 31, 2023 · Filed August 03, 2023
Section 16 reporting ended · disclosed 2023-08-03. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 1,687,500 |
Ending reported balance
After 2023-07-31 transaction · row 2
2 source rows · reconciled sequenceRow 1 · 2023-07-31 · Conversion · Acquired 312,500 · Balance 5,062,500 F1: Upon closing of the reverse triangular merger of the Issuer's subsidiary (the "Merger") with Serve Robotics Inc. ("Legacy Serve"), $1,000,000 principal amount of Legacy Serve's 10% Senior Subordinated Secured Convertible Notes, purchased by the reporting person under a Securities Purchase Agreement, dated April 21, 2023 (the "Bridge SPA"), with Legacy Serve, converted by their terms into shares of common stock of the Issuer at a conversion price of $3.20 per share. Row 2 · 2023-07-31 · Other · Disposed 3,375,000 · Balance 1,687,500 F2: As a condition under the terms of an Agreement and Plan of Merger and Reorganization, dated as of July 31, 2023, and pursuant to the terms of a stock cancellation agreement, the reporting person voluntarily surrendered and cancelled for no consideration 3,375,000 shares of 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. |
| Warrants (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $3.20 · Expires 2026-07-31 | Direct | 156,250 |
Reported balance
After 2023-07-31 transaction · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · 2023-07-31 · Grant · Acquired 156,250 · Balance 156,250 F3: Immediately exercisable. Received upon closing of the Merger in accordance with the terms of the Bridge SPA. Pursuant to the terms of the Bridge SPA, each holder of a Legacy Serve 10% Senior Subordinated Secured Convertible Note was entitled to receive warrants to purchase 50% of the number of shares of common stock into which the 10% Senior Subordinated Secured Convertible Note converted. |
Filing footnotes · ownership attribution and instrument terms
F1: Upon closing of the reverse triangular merger of the Issuer's subsidiary (the "Merger") with Serve Robotics Inc. ("Legacy Serve"), $1,000,000 principal amount of Legacy Serve's 10% Senior Subordinated Secured Convertible Notes, purchased by the reporting person under a Securities Purchase Agreement, dated April 21, 2023 (the "Bridge SPA"), with Legacy Serve, converted by their terms into shares of common stock of the Issuer at a conversion price of $3.20 per share.
F2: As a condition under the terms of an Agreement and Plan of Merger and Reorganization, dated as of July 31, 2023, and pursuant to the terms of a stock cancellation agreement, the reporting person voluntarily surrendered and cancelled for no consideration 3,375,000 shares of 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.
F3: Immediately exercisable. Received upon closing of the Merger in accordance with the terms of the Bridge SPA. Pursuant to the terms of the Bridge SPA, each holder of a Legacy Serve 10% Senior Subordinated Secured Convertible Note was entitled to receive warrants to purchase 50% of the number of shares of common stock into which the 10% Senior Subordinated Secured Convertible Note converted.
SmartKem, Inc.
Report date February 23, 2021 · Filed February 26, 2021
Section 16 reporting ended · disclosed 2021-02-26. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common Stock, par value $0.0001SEC Table I · non-derivative | Direct | 2,300,000 |
Reported balance
After 2021-02-23 transaction · row 1
1 source rowRow 1 · 2021-02-23 · Other · Disposed 2,450,000 · Balance 2,300,000 F1: Pursuant to the terms of a Share Exchange Agreement, dated as of February 23, 2021, by and among the Issuer, SmartKem, Inc. (f/k/a SmartKem Limited) ("SmartKem"), and the former shareholders of SmartKem, on February 23, 2021, all of the equity interests in SmartKem, except certain "deferred shares," were exchanged for shares of Issuer's common stock, with SmartKem continuing as the Issuer's wholly owned subsidiary (the "Exchange"). As a condition to the Exchange, 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 Exchange. The reporting person resigned as a director and officer of the Issuer upon consummation of the Exchange. |
Filing footnotes · ownership attribution and instrument terms
F1: Pursuant to the terms of a Share Exchange Agreement, dated as of February 23, 2021, by and among the Issuer, SmartKem, Inc. (f/k/a SmartKem Limited) ("SmartKem"), and the former shareholders of SmartKem, on February 23, 2021, all of the equity interests in SmartKem, except certain "deferred shares," were exchanged for shares of Issuer's common stock, with SmartKem continuing as the Issuer's wholly owned subsidiary (the "Exchange"). As a condition to the Exchange, 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 Exchange. The reporting person resigned as a director and officer of the Issuer upon consummation of the Exchange.
Transphorm, Inc.
Report date February 12, 2020 · Filed February 14, 2020
Section 16 reporting ended · disclosed 2020-02-14. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common Stock, par value $0.0001SEC Table I · non-derivative | Direct | 1,525,000 |
Ending reported balance
After 2020-02-12 transaction · row 2
2 source rows · reconciled sequenceRow 1 · 2020-02-12 · Other · Disposed 657,699 · Balance 1,500,000 F1: Pursuant to the terms and conditions of that certain Agreement and Plan of Merger and Reorganization, dated as of February 12, 2020, by and among Transphorm, Inc., f/k/a Peninsula Acquisition Corporation (the "Issuer"), Peninsula Acquisition Sub, Inc. ("Acquisition Sub"), and Transphorm Technology, Inc., f/k/a Transphorm, Inc. ("Transphorm"), on February 12, 2020, Acquisition Sub merged with and into Transphorm, with Transphorm continuing as the surviving entity (the "Merger") and as the Issuer's wholly-owned subsidiary. Pursuant to the terms of a stock forfeiture letter, the reporting person forfeited and canceled 657,699 shares of the Issuer's common stock immediately prior to the consummation of the Merger. Row 2 · 2020-02-12 · Purchase · Acquired 25,000 · Balance 1,525,000 F2: These shares were purchased in the initial closing of the Issuer's private placement offering held on February 12, 2020. |
Filing footnotes · ownership attribution and instrument terms
F1: Pursuant to the terms and conditions of that certain Agreement and Plan of Merger and Reorganization, dated as of February 12, 2020, by and among Transphorm, Inc., f/k/a Peninsula Acquisition Corporation (the "Issuer"), Peninsula Acquisition Sub, Inc. ("Acquisition Sub"), and Transphorm Technology, Inc., f/k/a Transphorm, Inc. ("Transphorm"), on February 12, 2020, Acquisition Sub merged with and into Transphorm, with Transphorm continuing as the surviving entity (the "Merger") and as the Issuer's wholly-owned subsidiary. Pursuant to the terms of a stock forfeiture letter, the reporting person forfeited and canceled 657,699 shares of the Issuer's common stock immediately prior to the consummation of the Merger.
F2: These shares were purchased in the initial closing of the Issuer's private placement offering held on February 12, 2020.
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 |
|---|---|---|---|---|---|---|
| May 22, 2026 Filed May 28, 2026 00:54 UTC | Matternet, Inc. NONE · Entity 26314 | OtherCommon Stock | 5,125,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001213900-26-061679 · ownership.xml · nonDerivative · entry 1 Tompkins Mark N. · CIK 0001455971 · See Remarks 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 2,375,000 F1 · kind: As a condition under the terms of an Agreement and Plan of Merger and Reorganization, dated May 22, 2026 (the merger contemplated under such agreement, "Merger"), and pursuant to the terms of a stock cancellation agreement, the reporting person voluntarily surrendered and cancelled, for no consideration, 5,125,000 shares of the Issuer's common stock prior to the consummation of the Merger on May 22, 2026. The reporting person resigned as a director of the Issuer upon consummation of the Merger. F1 · price: As a condition under the terms of an Agreement and Plan of Merger and Reorganization, dated May 22, 2026 (the merger contemplated under such agreement, "Merger"), and pursuant to the terms of a stock cancellation agreement, the reporting person voluntarily surrendered and cancelled, for no consideration, 5,125,000 shares of the Issuer's common stock prior to the consummation of the Merger on May 22, 2026. The reporting person resigned as a director of the Issuer upon consummation of the Merger. Read SEC document |
| February 04, 2026 Filed Feb 6, 2026 02:30 UTC | Aeluma, Inc. ALMU · Entity 6202 | SaleCommon Stock | 5,956 | $15.12 | $90,054.72 |
DisclosureSEC source: 0001213900-26-012958 · ownership.xml · nonDerivative · entry 2 Tompkins Mark N. · CIK 0001455971 · Former 10% Owner 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 1,790,488 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 $14.94 to $15.50, inclusive. Read SEC document |
| February 04, 2026 Filed Feb 6, 2026 02:30 UTC | Aeluma, Inc. ALMU · Entity 6202 | SaleCommon Stock | 28,544 | $14.63 | $417,598.72 |
DisclosureSEC source: 0001213900-26-012958 · ownership.xml · nonDerivative · entry 1 Tompkins Mark N. · CIK 0001455971 · Former 10% Owner 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 1,796,444 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 $13.94 to $14.91, inclusive. Read SEC document |
| February 02, 2026 Filed Feb 3, 2026 02:00 UTC | Aeluma, Inc. ALMU · Entity 6202 | SaleCommon Stock | 37,500 | $15.74 | $590,250.00 |
DisclosureSEC source: 0001213900-26-010999 · ownership.xml · nonDerivative · entry 5 Tompkins Mark N. · CIK 0001455971 · 10% owner 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 1,824,988 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 $15.34 to $16.03, inclusive. Read SEC document |
| January 30, 2026 Filed Feb 3, 2026 02:00 UTC | Aeluma, Inc. ALMU · Entity 6202 | SaleCommon Stock | 908 | $16.79 | $15,245.32 |
DisclosureSEC source: 0001213900-26-010999 · ownership.xml · nonDerivative · entry 4 Tompkins Mark N. · CIK 0001455971 · 10% owner 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 1,862,488 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 $16.45 to $17.33, inclusive. Read SEC document |
| January 30, 2026 Filed Feb 3, 2026 02:00 UTC | Aeluma, Inc. ALMU · Entity 6202 | SaleCommon Stock | 24,092 | $15.88 | $382,580.96 |
DisclosureSEC source: 0001213900-26-010999 · ownership.xml · nonDerivative · entry 3 Tompkins Mark N. · CIK 0001455971 · 10% owner 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 1,863,396 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 $15.45 to $16.44, inclusive. Read SEC document |
| January 29, 2026 Filed Feb 3, 2026 02:00 UTC | Aeluma, Inc. ALMU · Entity 6202 | SaleCommon Stock | 5,203 | $17.16 | $89,283.48 |
DisclosureSEC source: 0001213900-26-010999 · ownership.xml · nonDerivative · entry 2 Tompkins Mark N. · CIK 0001455971 · 10% owner 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 1,887,488 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 $17.08 to $17.22, inclusive. Read SEC document |
| January 29, 2026 Filed Feb 3, 2026 02:00 UTC | Aeluma, Inc. ALMU · Entity 6202 | SaleCommon Stock | 27,297 | $16.75 | $457,224.75 |
DisclosureSEC source: 0001213900-26-010999 · ownership.xml · nonDerivative · entry 1 Tompkins Mark N. · CIK 0001455971 · 10% owner 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 1,892,691 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 $16.08 to $17.07, inclusive. Read SEC document |
| January 22, 2026 Filed Jan 23, 2026 01:10 UTC | Aeluma, Inc. ALMU · Entity 6202 | SaleCommon Stock | 962 | $18.81 | $18,095.22 |
DisclosureSEC source: 0001213900-26-006847 · ownership.xml · nonDerivative · entry 8 Tompkins Mark N. · CIK 0001455971 · 10% owner 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 1,919,988 F7 · price: The price reported in Column 4 represents a weighted average sales price. These shares were sold in multiple transactions at prices ranging from $18.67 to $19.02, inclusive. Read SEC document |
| January 22, 2026 Filed Jan 23, 2026 01:10 UTC | Aeluma, Inc. ALMU · Entity 6202 | SaleCommon Stock | 29,038 | $18.05 | $524,135.90 |
DisclosureSEC source: 0001213900-26-006847 · ownership.xml · nonDerivative · entry 7 Tompkins Mark N. · CIK 0001455971 · 10% owner 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 1,920,950 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 $17.65 to $18.50, inclusive. Read SEC document |
| January 21, 2026 Filed Jan 23, 2026 01:10 UTC | Aeluma, Inc. ALMU · Entity 6202 | SaleCommon Stock | 10 | $21.24 | $212.40 |
DisclosureSEC source: 0001213900-26-006847 · ownership.xml · nonDerivative · entry 6 Tompkins Mark N. · CIK 0001455971 · 10% owner 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 1,949,988 Read SEC document |
| January 21, 2026 Filed Jan 23, 2026 01:10 UTC | Aeluma, Inc. ALMU · Entity 6202 | SaleCommon Stock | 1,715 | $20.44 | $35,054.60 |
DisclosureSEC source: 0001213900-26-006847 · ownership.xml · nonDerivative · entry 5 Tompkins Mark N. · CIK 0001455971 · 10% owner 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 1,949,998 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 $20.00 to $20.99, inclusive. Read SEC document |
| January 21, 2026 Filed Jan 23, 2026 01:10 UTC | Aeluma, Inc. ALMU · Entity 6202 | SaleCommon Stock | 12,947 | $19.30 | $249,877.10 |
DisclosureSEC source: 0001213900-26-006847 · ownership.xml · nonDerivative · entry 4 Tompkins Mark N. · CIK 0001455971 · 10% owner 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 1,951,713 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 $18.99 to $19.97, inclusive. Read SEC document |
| January 21, 2026 Filed Jan 23, 2026 01:10 UTC | Aeluma, Inc. ALMU · Entity 6202 | SaleCommon Stock | 30,328 | $18.52 | $561,674.56 |
DisclosureSEC source: 0001213900-26-006847 · ownership.xml · nonDerivative · entry 3 Tompkins Mark N. · CIK 0001455971 · 10% owner 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 1,964,660 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 $18.00 to $18.98, inclusive. Read SEC document |
| January 20, 2026 Filed Jan 23, 2026 01:10 UTC | Aeluma, Inc. ALMU · Entity 6202 | SaleCommon Stock | 888 | $21.58 | $19,163.04 |
DisclosureSEC source: 0001213900-26-006847 · ownership.xml · nonDerivative · entry 2 Tompkins Mark N. · CIK 0001455971 · 10% owner 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 1,994,988 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 $21.45 to $21.68, inclusive. Read SEC document |
| January 20, 2026 Filed Jan 23, 2026 01:10 UTC | Aeluma, Inc. ALMU · Entity 6202 | SaleCommon Stock | 29,112 | $20.66 | $601,453.92 |
DisclosureSEC source: 0001213900-26-006847 · ownership.xml · nonDerivative · entry 1 Tompkins Mark N. · CIK 0001455971 · 10% owner 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 1,995,876 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 $20.41 to $21.40, inclusive. Read SEC document |
| December 26, 2025 Filed Dec 30, 2025 02:13 UTC | Aeluma, Inc. ALMU · Entity 6202 | SaleCommon Stock | 2,662 | $18.39 | $48,954.18 |
DisclosureSEC source: 0001213900-25-126234 · ownership.xml · nonDerivative · entry 5 Tompkins Mark N. · CIK 0001455971 · 10% owner 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 2,024,988 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 $18.28 to $18.68, inclusive. Read SEC document |
| December 26, 2025 Filed Dec 30, 2025 02:13 UTC | Aeluma, Inc. ALMU · Entity 6202 | SaleCommon Stock | 20,368 | $18.01 | $366,827.68 |
DisclosureSEC source: 0001213900-25-126234 · ownership.xml · nonDerivative · entry 4 Tompkins Mark N. · CIK 0001455971 · 10% owner 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 2,027,650 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 $17.28 to $18.26, inclusive. Read SEC document |
| December 26, 2025 Filed Dec 30, 2025 02:13 UTC | Aeluma, Inc. ALMU · Entity 6202 | SaleCommon Stock | 6,970 | $16.91 | $117,862.70 |
DisclosureSEC source: 0001213900-25-126234 · ownership.xml · nonDerivative · entry 3 Tompkins Mark N. · CIK 0001455971 · 10% owner 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 2,048,018 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 $16.26 to $17.25, inclusive. Read SEC document |
| December 24, 2025 Filed Dec 30, 2025 02:13 UTC | Aeluma, Inc. ALMU · Entity 6202 | SaleCommon Stock | 15,000 | $16.05 | $240,750.00 |
DisclosureSEC source: 0001213900-25-126234 · ownership.xml · nonDerivative · entry 2 Tompkins Mark N. · CIK 0001455971 · 10% owner 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 2,054,988 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 $15.93 to $16.26, inclusive. Read SEC document |
| December 23, 2025 Filed Dec 30, 2025 02:13 UTC | Aeluma, Inc. ALMU · Entity 6202 | SaleCommon Stock | 15,000 | $14.87 | $223,050.00 |
DisclosureSEC source: 0001213900-25-126234 · ownership.xml · nonDerivative · entry 1 Tompkins Mark N. · CIK 0001455971 · 10% owner 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 2,069,988 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 $14.72 to $15.15, inclusive. Read SEC document |
| December 22, 2025 Filed Dec 23, 2025 01:52 UTC | Aeluma, Inc. ALMU · Entity 6202 | SaleCommon Stock | 35,000 | $14.83 | $519,050.00 |
DisclosureSEC source: 0001213900-25-124798 · ownership.xml · nonDerivative · entry 3 Tompkins Mark N. · CIK 0001455971 · 10% owner 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 2,084,988 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 $14.66 to $15.09, inclusive. Read SEC document |
| December 19, 2025 Filed Dec 23, 2025 01:52 UTC | Aeluma, Inc. ALMU · Entity 6202 | SaleCommon Stock | 30,000 | $14.70 | $441,000.00 |
DisclosureSEC source: 0001213900-25-124798 · ownership.xml · nonDerivative · entry 2 Tompkins Mark N. · CIK 0001455971 · 10% owner 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 2,119,988 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 $14.44 to $15.27, inclusive. Read SEC document |
| December 18, 2025 Filed Dec 23, 2025 01:52 UTC | Aeluma, Inc. ALMU · Entity 6202 | SaleCommon Stock | 20,000 | $14.37 | $287,400.00 |
DisclosureSEC source: 0001213900-25-124798 · ownership.xml · nonDerivative · entry 1 Tompkins Mark N. · CIK 0001455971 · 10% owner 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 2,149,988 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 $14.18 to $14.68, inclusive. Read SEC document |
| December 10, 2025 Filed Dec 12, 2025 02:00 UTC | Aeluma, Inc. ALMU · Entity 6202 | SaleCommon Stock | 20,000 | $17.49 | $349,800.00 |
DisclosureSEC source: 0001213900-25-120879 · ownership.xml · nonDerivative · entry 3 Tompkins Mark N. · CIK 0001455971 · 10% owner 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 2,169,988 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 $17.31 to $17.61, inclusive. Read SEC document |
| December 09, 2025 Filed Dec 12, 2025 02:00 UTC | Aeluma, Inc. ALMU · Entity 6202 | SaleCommon Stock | 19,139 | $17.06 | $326,511.34 |
DisclosureSEC source: 0001213900-25-120879 · ownership.xml · nonDerivative · entry 2 Tompkins Mark N. · CIK 0001455971 · 10% owner 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 2,189,988 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 $16.86 to $17.33, inclusive. Read SEC document |
| December 09, 2025 Filed Dec 12, 2025 02:00 UTC | Aeluma, Inc. ALMU · Entity 6202 | SaleCommon Stock | 10,861 | $16.39 | $178,011.79 |
DisclosureSEC source: 0001213900-25-120879 · ownership.xml · nonDerivative · entry 1 Tompkins Mark N. · CIK 0001455971 · 10% owner 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 2,209,127 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 $15.85 to $16.84, inclusive. Read SEC document |
| December 08, 2025 Filed Dec 9, 2025 11:10 UTC | Aeluma, Inc. ALMU · Entity 6202 | SaleCommon Stock | 988 | $16.87 | $16,667.56 |
DisclosureSEC source: 0001213900-25-119418 · ownership.xml · nonDerivative · entry 6 Tompkins Mark N. · CIK 0001455971 · 10% owner 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 2,219,988 Read SEC document |
| December 08, 2025 Filed Dec 9, 2025 11:10 UTC | Aeluma, Inc. ALMU · Entity 6202 | SaleCommon Stock | 39,012 | $16.04 | $625,752.48 |
DisclosureSEC source: 0001213900-25-119418 · ownership.xml · nonDerivative · entry 5 Tompkins Mark N. · CIK 0001455971 · 10% owner 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 2,220,976 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 $15.83 to $16.81, inclusive. Read SEC document |
| December 05, 2025 Filed Dec 9, 2025 11:10 UTC | Aeluma, Inc. ALMU · Entity 6202 | SaleCommon Stock | 1,610 | $16.49 | $26,548.90 |
DisclosureSEC source: 0001213900-25-119418 · ownership.xml · nonDerivative · entry 4 Tompkins Mark N. · CIK 0001455971 · 10% owner 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 2,259,988 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 $16.41 to $16.56, inclusive. Read SEC document |
| December 05, 2025 Filed Dec 9, 2025 11:10 UTC | Aeluma, Inc. ALMU · Entity 6202 | SaleCommon Stock | 28,390 | $16.12 | $457,646.80 |
DisclosureSEC source: 0001213900-25-119418 · ownership.xml · nonDerivative · entry 3 Tompkins Mark N. · CIK 0001455971 · 10% owner 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 2,261,598 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 $15.41 to $16.40, inclusive. Read SEC document |
| December 04, 2025 Filed Dec 9, 2025 11:10 UTC | Aeluma, Inc. ALMU · Entity 6202 | SaleCommon Stock | 18,500 | $16.37 | $302,845.00 |
DisclosureSEC source: 0001213900-25-119418 · ownership.xml · nonDerivative · entry 2 Tompkins Mark N. · CIK 0001455971 · 10% owner 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 2,289,988 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 $16.02 to $16.68, inclusive. Read SEC document |
| December 04, 2025 Filed Dec 9, 2025 11:10 UTC | Aeluma, Inc. ALMU · Entity 6202 | SaleCommon Stock | 11,500 | $15.49 | $178,135.00 |
DisclosureSEC source: 0001213900-25-119418 · ownership.xml · nonDerivative · entry 1 Tompkins Mark N. · CIK 0001455971 · 10% owner 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 2,308,488 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 $14.99 to $15.96, inclusive. Read SEC document |
| October 20, 2025 Filed Oct 21, 2025 20:56 UTC | Aeluma, Inc. ALMU · Entity 6202 | SaleCommon Stock | 37,500 | $16.39 | $614,625.00 |
DisclosureSEC source: 0001213900-25-100863 · ownership.xml · nonDerivative · entry 4 Tompkins Mark N. · CIK 0001455971 · 10% owner 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 2,319,988 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 $17.00 to $16.00, inclusive. Read SEC document |
| October 17, 2025 Filed Oct 21, 2025 20:56 UTC | Aeluma, Inc. ALMU · Entity 6202 | SaleCommon Stock | 743 | $18.45 | $13,708.35 |
DisclosureSEC source: 0001213900-25-100863 · ownership.xml · nonDerivative · entry 3 Tompkins Mark N. · CIK 0001455971 · 10% owner 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 2,357,488 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 $18.34 to $18.55, inclusive. Read SEC document |
| October 17, 2025 Filed Oct 21, 2025 20:56 UTC | Aeluma, Inc. ALMU · Entity 6202 | SaleCommon Stock | 5,913 | $17.77 | $105,074.01 |
DisclosureSEC source: 0001213900-25-100863 · ownership.xml · nonDerivative · entry 2 Tompkins Mark N. · CIK 0001455971 · 10% owner 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 2,358,231 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 $17.32 to $18.31, inclusive. Read SEC document |
| October 17, 2025 Filed Oct 21, 2025 20:56 UTC | Aeluma, Inc. ALMU · Entity 6202 | SaleCommon Stock | 33,344 | $16.75 | $558,512.00 |
DisclosureSEC source: 0001213900-25-100863 · ownership.xml · nonDerivative · entry 1 Tompkins Mark N. · CIK 0001455971 · 10% owner 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 2,364,144 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 $16.32 to $17.31, inclusive. Read SEC document |
| October 16, 2025 Filed Oct 18, 2025 01:00 UTC | Aeluma, Inc. ALMU · Entity 6202 | SaleCommon Stock | 810 | $20.72 | $16,783.20 |
DisclosureSEC source: 0001213900-25-100092 · ownership.xml · nonDerivative · entry 5 Tompkins Mark N. · CIK 0001455971 · 10% owner 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 2,397,488 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 $20.65 to $20.76, inclusive. Read SEC document |
| October 16, 2025 Filed Oct 18, 2025 01:00 UTC | Aeluma, Inc. ALMU · Entity 6202 | SaleCommon Stock | 6,650 | $19.96 | $132,734.00 |
DisclosureSEC source: 0001213900-25-100092 · ownership.xml · nonDerivative · entry 4 Tompkins Mark N. · CIK 0001455971 · 10% owner 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 2,398,298 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 $19.64 to $20.57, inclusive. Read SEC document |
| October 16, 2025 Filed Oct 18, 2025 01:00 UTC | Aeluma, Inc. ALMU · Entity 6202 | SaleCommon Stock | 17,540 | $18.97 | $332,733.80 |
DisclosureSEC source: 0001213900-25-100092 · ownership.xml · nonDerivative · entry 3 Tompkins Mark N. · CIK 0001455971 · 10% owner 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 2,404,948 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 $18.63 to $19.63, inclusive. Read SEC document |
| October 15, 2025 Filed Oct 18, 2025 01:00 UTC | Aeluma, Inc. ALMU · Entity 6202 | SaleCommon Stock | 15,853 | $21.31 | $337,827.43 |
DisclosureSEC source: 0001213900-25-100092 · ownership.xml · nonDerivative · entry 2 Tompkins Mark N. · CIK 0001455971 · 10% owner 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 2,422,488 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 $20.71 to $21.52, inclusive. Read SEC document |
| October 15, 2025 Filed Oct 18, 2025 01:00 UTC | Aeluma, Inc. ALMU · Entity 6202 | SaleCommon Stock | 24,147 | $20.11 | $485,596.17 |
DisclosureSEC source: 0001213900-25-100092 · ownership.xml · nonDerivative · entry 1 Tompkins Mark N. · CIK 0001455971 · 10% owner 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 2,438,341 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 $19.71 to $20.57, inclusive. Read SEC document |
| October 14, 2025 Filed Oct 15, 2025 01:59 UTC | Aeluma, Inc. ALMU · Entity 6202 | SaleCommon Stock | 36,855 | $19.86 | $731,940.30 |
DisclosureSEC source: 0001213900-25-098954 · ownership.xml · nonDerivative · entry 5 Tompkins Mark N. · CIK 0001455971 · 10% owner 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 2,462,488 F4 · price: The price reported in Column 4 represents a weighted average sales price of $19.86. These shares were sold in multiple transactions at prices ranging from $19.65 to $20.32, inclusive. Read SEC document |
| October 13, 2025 Filed Oct 15, 2025 01:59 UTC | Aeluma, Inc. ALMU · Entity 6202 | SaleCommon Stock | 300 | $17.57 | $5,271.00 |
DisclosureSEC 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 Read SEC document |
| October 13, 2025 Filed Oct 15, 2025 01:59 UTC | Aeluma, Inc. ALMU · Entity 6202 | SaleCommon Stock | 35,031 | $16.97 | $594,476.07 |
DisclosureSEC 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. Read SEC document |
| October 10, 2025 Filed Oct 15, 2025 01:59 UTC | Aeluma, Inc. ALMU · Entity 6202 | SaleCommon Stock | 4,413 | $17.16 | $75,727.08 |
DisclosureSEC 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. Read SEC document |
| October 10, 2025 Filed Oct 15, 2025 01:59 UTC | Aeluma, Inc. ALMU · Entity 6202 | SaleCommon Stock | 30,587 | $16.60 | $507,744.20 |
DisclosureSEC 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. Read SEC document |
| October 09, 2025 Filed Oct 10, 2025 01:30 UTC | Aeluma, Inc. ALMU · Entity 6202 | SaleCommon Stock | 1,000 | $17.25 | $17,250.00 |
DisclosureSEC 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 Read SEC document |
| October 09, 2025 Filed Oct 10, 2025 01:30 UTC | Aeluma, Inc. ALMU · Entity 6202 | SaleCommon Stock | 35,908 | $16.54 | $593,918.32 |
DisclosureSEC 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. Read SEC document |
| October 08, 2025 Filed Oct 10, 2025 01:30 UTC | Aeluma, Inc. ALMU · Entity 6202 | SaleCommon Stock | 700 | $18.14 | $12,698.00 |
DisclosureSEC 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. 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.