Welcome to our dedicated page for Aeluma SEC filings (Ticker: ALMU), a comprehensive resource for investors and traders seeking official regulatory documents including 10-K annual reports, 10-Q quarterly earnings, 8-K material events, and insider trading forms.
Aeluma, Inc. filings document the reporting record of a Nasdaq-listed emerging growth semiconductor company developing scalable photonic and electronic technologies. Its periodic and current reports cover financial results, quarterly reporting, Regulation FD materials, investor presentations and public-company disclosure controls.
The company’s SEC filings also describe capital-structure activity involving common stock, shelf registration, underwriting agreements and sales-agreement arrangements for registered equity issuance. Governance disclosures include annual meeting voting results, director elections and shareholder approvals, while other current reports address material definitive agreements and Rule 10b5-1 trading-plan disclosures.
Aeluma, Inc. director Steven Denbaars reported open-market sales of 25,000 shares of Common Stock. The sales occurred on May 19–20, 2026 at weighted average prices ranging from about $19.56 to $21.30 per share, executed under a pre-arranged Rule 10b5-1 trading plan adopted on November 20, 2025. Following these transactions, he directly holds 370,209 shares of Aeluma common stock.
ALMU reported insider sales via Form 144. The filing shows Steven DenBaars reported sales of 12,500 shares on 02/25/2026 and 12,500 shares on 02/26/2026. The filing lists 18,305,335 shares outstanding as of 05/19/2026.
The transactions are reported on a Form 144 submission and identify the securities as Common Stock. The reported broker/dealer appears as Merrill Lynch.
Aeluma, Inc. furnished an updated investor presentation outlining its semiconductor photonics strategy and business position. The company highlights its Indium Gallium Arsenide (InGaAs) and large‑diameter wafer technology aimed at shortwave infrared sensing, AI infrastructure, datacom, defense, and quantum markets.
The deck notes recurring R&D revenue of $4 FY25, cash of about $37 as of 3/31/26, around 36 issued and pending patents, and more than 20 customer engagements, including sampling, NRE work and initial sales. Aeluma reports a 27-person team, capital‑light manufacturing that relies on partners, ISO 9001:2015 certification, and about 12k sq. ft. of facilities in Goleta, California with materials production and test capabilities.
The presentation frames large market opportunities in mobile and consumer SWIR sensors and AI data-center optical interconnects, citing substantial hyperscaler data-center capital spending and an industry shortage of indium phosphide substrates and fab capacity.
Aeluma, Inc. reports an amended Schedule 13G/A showing reduced ownership. Mark N. Tompkins now reports 885,000 shares of Common Stock, representing 4.83% of the class based on May 8, 2026 outstanding shares. The amendment states this is an exit filing because the reporting person ceased to be a beneficial owner of more than 5%. The filing notes the reported percentage is calculated from 18,305,335 shares outstanding as of May 8, 2026 and that the reported amount includes the reporting person’s beneficial ownership as of March 31, 2026.
Aeluma, Inc. reported higher revenue but a larger loss for the nine months ended March 31, 2026. Revenue rose to $3.9 million from $3.3 million, driven mainly by government contracts, while operating expenses more than doubled to $9.7 million as the company expanded headcount, materials purchases, and stock-based compensation.
Net loss widened to $5.1 million from $2.2 million, partly offset by other income of $668 thousand from interest on cash and investments. Cash, cash equivalents, and a certificate of deposit totaled $37.8 million as of March 31, 2026, up from $15.7 million, largely due to two underwritten equity offerings that raised net proceeds of $12.6 million and $23.4 million.
The company entered several new government contracts and had remaining performance obligations of $8.9 million, with revenue highly concentrated in U.S. government customers. Aeluma also put in place a $50 million at-the-market equity program that had not been utilized by quarter end. Management disclosed that disclosure controls and procedures remained ineffective due to limited finance staffing, although remediation efforts are underway.
Aeluma, Inc. reported third quarter fiscal 2026 results showing modest revenue and ongoing investment-driven losses. Revenue for the three months ended March 31, 2026 was $1,222 thousand, while the company recorded a GAAP net loss of $1,800 thousand, or $(0.10) per basic and diluted share. For the nine-month period, revenue reached $3,879 thousand with a net loss of $5,146 thousand.
On a non-GAAP basis, which excludes items such as stock-based compensation and certain non-cash charges, Aeluma reported a third quarter net loss of $701 thousand and adjusted EBITDA of $(911) thousand. The company ended March 31, 2026 with $37,780 thousand in cash and cash equivalents, supporting its manufacturing and commercialization priorities.
Aeluma narrowed full fiscal 2026 revenue guidance to $4.2 million to $4.6 million, from a prior range of $4.0 million to $6.0 million, citing delays in contract execution related to government shutdowns and other factors. Management highlighted six new development engagements totaling $5 million and emphasized growing interest tied to AI data center and photonics demand.
Aeluma, Inc. Chief Executive Officer Jonathan Klamkin reported multiple insider transactions in the company’s common stock. On May 1, 2026, he completed open-market sales totaling 20,000 shares at prices ranging from $23.62 to $26.02 per share, executed under a Rule 10b5-1 trading plan adopted on December 3, 2025.
The filing also shows ten bona fide gifts of common stock totaling 3,133,990 shares between December 19, 2025 and May 1, 2026, including a December 2025 transfer of 1,476,995 shares to a family trust for estate-planning purposes, where Klamkin and his spouse serve as sole trustees. Following these transactions, he continues to hold Aeluma shares directly and through the family trust as reported.
Aeluma, Inc. Chief Executive Officer Jonathan Klamkin sold 20,000 shares of common stock in an open-market transaction on April 1, 2026. The shares were sold at a weighted average price of $13.0975 per share, with individual sale prices ranging from $12.82 to $13.325 per share.
The sale was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on December 3, 2025. Following these transactions, Klamkin directly holds 1,409,398 shares of Aeluma common stock.
Aeluma, Inc. reports a 5.6% stake held by boisei investments llc (via George Perry) totaling 1,000,000 shares of Common Stock. The filing states 1,000,000 shares are beneficially owned with sole voting and dispositive power. The issuer reported 18,002,949 shares outstanding as of March 17, 2026.
The obligation to file was triggered on March 30, 2026 when beneficial ownership was 994,466 shares; the reported amount reflects ownership as of March 31, 2026. George Perry signs as President of boisei investments llc, which is owned through boisei labs llc.
Aeluma, Inc. entered into a Sales Agreement that allows it to issue and sell up to $50.0 million of its common stock from time to time through a group of sales agents. Any shares will be offered under an effective Form S-3 shelf registration statement.
Sales, if made, will occur as ordinary brokers’ transactions on the Nasdaq Capital Market at market prices or as otherwise agreed with the agents. Neither Aeluma nor the agents are obligated to sell or purchase shares, and either party can terminate the agreement with five business days’ written notice.