Form 4: Aeluma Director Sells $1.29M in Pre-Planned Stock Sales

Aeluma, Inc. Director and 10% owner Mark N. Tompkins sold a total of 77,500 shares of common stock for approximately $1.29 million in pre-planned transactions.

Summary

• Mark N. Tompkins, a Director and 10% owner of Aeluma, Inc. (ALMU), reported sales of common stock.
• A total of 77,500 shares were sold across four separate transactions on October 17, 2025, and October 20, 2025.
• The sales were executed pursuant to a Rule 10b5-1(c) plan, indicating pre-scheduled transactions.
• The shares were sold at weighted average prices ranging from $16.39 to $18.45 per share.
• The total value of the shares sold is approximately $1,291,825.36.
• Following these transactions, Mark N. Tompkins beneficially owns 2,319,988 shares of Aeluma, Inc. common stock.

Sentiment

Score: 5

Explanation: The filing reports pre-planned insider sales by a director and 10% owner. While insider selling can sometimes be viewed negatively, the transactions were made pursuant to a Rule 10b5-1 plan, indicating they were scheduled in advance and not necessarily based on new, non-public information.

Negatives

• A Director and 10% owner sold a significant number of shares, which can sometimes be perceived negatively by the market, although these were pre-planned.

Future Outlook

This Form 4 filing reports past insider transactions and does not contain any forward-looking statements or guidance regarding the company's future performance or outlook.

Industry Context

This filing pertains to an individual insider transaction and does not provide broader industry context or trends.

Stakeholder Impact

• Shareholders may observe a director and 10% owner reducing their stake, which could lead to minor shifts in investor sentiment, though the pre-planned nature mitigates immediate concerns.

Key Dates

Recommendation

The reported transactions are sales of common stock by a director and 10% owner, Mark N. Tompkins, totaling 77,500 shares for approximately $1.29 million. These sales were conducted under a Rule 10b5-1 plan, which suggests they were pre-scheduled and not necessarily a reaction to recent company performance or future outlook. While significant insider selling can sometimes signal concerns, the pre-planned nature mitigates immediate negative implications. Investors should monitor future insider activity and company performance, but this filing alone does not warrant a change from a 'hold' position.

Keywords

Aeluma, ALMU, insider trading, Form 4, stock sale, director, 10% owner, Mark N. Tompkins, beneficial ownership, Rule 10b5-1