SCHEDULE 13G: AWM Investment Company Discloses 5.3% Stake in Aeluma, Inc.

AWM Investment Company, Inc. has reported a beneficial ownership of 5.3% of Aeluma, Inc.'s common stock, totaling 825,000 shares, held across several of its managed funds.

Summary

• AWM Investment Company, Inc. (AWM), a Delaware Corporation, has filed a Schedule 13G indicating beneficial ownership of 825,000 shares of Aeluma, Inc. Common Stock.
• This ownership represents 5.3% of Aeluma, Inc.'s outstanding common stock.
• AWM acts as the investment adviser to four funds that collectively hold these shares: Special Situations Fund III QP, L.P. (322,575 shares), Special Situations Cayman Fund, L.P. (89,925 shares), Special Situations Technology Fund, L.P. (69,300 shares), and Special Situations Technology Fund II, L.P. (343,200 shares).
• AWM holds sole voting and dispositive power over these shares.
• The filing certifies that the securities were acquired and are held in the ordinary course of business and not for the purpose of changing or influencing the control of Aeluma, Inc.

Sentiment

Score: 5

Explanation: The document is a standard regulatory filing (Schedule 13G) disclosing a passive ownership stake. It does not contain information that would inherently suggest positive or negative sentiment regarding the issuer's performance or outlook, but rather indicates institutional interest.

Future Outlook

NA

Management Comments

• Adam Stettner, Managing Partner of AWM Investment Company, Inc., certified that 'to the best of my knowledge and belief, the securities referred to above were acquired and are held in the ordinary course of business and were not acquired and are not held for the purpose of or with the effect of changing or influencing the control of the issuer of the securities and were not acquired and are not held in connection with or as a participant in any transaction having that purpose or effect, other than activities solely in connection with a nomination under 240.14a-11.'

Industry Context

This filing indicates a significant passive investment by an institutional investment adviser in Aeluma, Inc. Such disclosures are routine for investors crossing certain ownership thresholds and provide transparency into institutional holdings within the market.

Stakeholder Impact

• Shareholders: The disclosure of a significant institutional investor holding a 5.3% stake may be viewed positively, indicating confidence from a professional investment firm and potentially contributing to share price stability or liquidity.

Key Dates

Keywords

AWM Investment Company, Aeluma Inc, Schedule 13G, beneficial ownership, common stock, investment adviser, institutional ownership, equity investment