SCHEDULE: Mark N. Tompkins Boosts Aeluma Stake to 15.99%

Mark N. Tompkins has reported an increased beneficial ownership of 15.99% in Aeluma, Inc.'s common stock, holding 2,856,833 shares.

Summary

• Mark N. Tompkins beneficially owns 2,856,833 shares of Aeluma, Inc. Common Stock.
• This represents 15.99% of the company's outstanding common stock.
• The percentage is calculated based on 17,857,863 shares issued and outstanding as of November 10, 2025, as reported by Aeluma, Inc. in its Form 10-Q filed on November 12, 2025.
• Mr. Tompkins holds sole voting power and sole dispositive power over all 2,856,833 shares.
• The filing certifies that the securities were not acquired or held for the purpose of changing or influencing control of the issuer, with an exception for activities solely related to a nomination under Rule 14a-11.

Sentiment

Score: 7

Explanation: The disclosure of a substantial 15.99% beneficial ownership by Mark N. Tompkins in Aeluma, Inc. is generally a positive signal, indicating a significant investor's confidence. However, the size of the stake also implies potential for influence, which could be viewed with mixed sentiment depending on the investor's intentions.

Positives

• A significant individual investor, Mark N. Tompkins, holds a substantial 15.99% stake in Aeluma, Inc., indicating strong conviction.
• The investor has sole voting and dispositive power over 2,856,833 shares, suggesting direct control over this block of shares.

Risks

• Concentrated ownership by a single individual (15.99%) could potentially lead to significant influence over corporate decisions, which might not always align with all shareholders' interests.
• While the filing states the shares are not held for control purposes, the certification includes an exception for activities solely in connection with a nomination under Rule 14a-11, which could imply potential future involvement in board nominations.

Future Outlook

NA

Industry Context

NA

Corporate Governance

Stakeholder Impact

• Shareholders: The significant stake held by Mark N. Tompkins could be viewed as a vote of confidence, potentially stabilizing the stock. However, it also introduces the possibility of a large individual shareholder exerting influence over company decisions, which could be positive or negative depending on their agenda.
• Management/Board: Management and the board will need to consider the implications of a large individual shareholder, especially given the potential for involvement in board nominations.

Next Steps

• Aeluma, Inc. shareholders will monitor any further Schedule 13D/G filings from Mark N. Tompkins for changes in ownership or intent.
• Investors may analyze the implications of a significant individual shareholder on corporate governance and strategic direction.

Key Dates

Recommendation

This Schedule 13G filing indicates a substantial 15.99% beneficial ownership by Mark N. Tompkins in Aeluma, Inc. While a large individual stake can be interpreted as a vote of confidence, the filing itself does not provide financial performance data, strategic updates, or other operational details necessary for a definitive "buy" or "sell" recommendation. The certification regarding no intent to influence control, with the exception for Rule 14a-11 nominations, suggests a potentially engaged, but not overtly activist, shareholder. Therefore, a "hold" recommendation is appropriate as investors should await further financial disclosures or strategic announcements from Aeluma, Inc. to assess the full implications of this ownership structure.

Keywords

Aeluma Inc, Mark N. Tompkins, beneficial ownership, Schedule 13G, common stock, equity stake, institutional investor, SEC filing, 00776X109