Klamkin Jonathan's Form 4/A amendment
AmendedAeluma, Inc. (ALMU) · filed Sep 9, 2025
- Accession no.
- 0001213900-25-086275
- Filed
- Sep 9, 2025
- Trade date
- Jul 1-Aug 14, 2025
- Filing delay
- 70 days
- Rule 10b5-1 plan
- Not checked
- Original filed
- Aug 14, 2025
This filing lists 2 non-derivative transactions and 1 derivative transaction. Open-market sales total $2.83M. It was filed 70 days after the trade.
This amendment replaces 0001213900-25-076943 (filed Aug 14, 2025).
Reporting owners
A Form 4 can have several reporting owners, such as a person and a fund they control. Trade tables show the first one.
| Owner | Relationship to the company |
|---|---|
| Klamkin JonathanCIK 0001869626 | Director, Officer (Chief Executive Officer), 10% Owner |
Non-derivative securities (Table I)
Acquisitions and disposals of common stock and similar shares, one row per line on the filing.
| Trade date | Security | Transaction | Shares | Price | Value | Shares after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Jul 1, 2025 | Common Stock | JOtherAcquired | +2,403 | $16.37 | +$39,337.11 | 1,629,398 | Direct | |
| Aug 14, 2025 | Common Stock | SSaleDisposed | −150,000 | $18.85F4 | −$2,827,500 | 1,479,398 | Direct |
Derivative securities (Table II)
Options, warrants, restricted stock units and similar. Shares are the underlying shares; price and value are for the derivative itself, and the holding after is in derivative units.
| Trade date | Security | Transaction | Underlying shares | Unit price | Value | Held after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Jul 1, 2025 | Common Stock | JOtherAcquired | +6,253 | $16.37 | +$102,361.61 | 326,253 | Direct |
Footnotes and remarks
Livermore keeps the footnotes that transaction prices refer to, all footnotes of amendments (Form 4/A) and the filing's remarks. Other footnotes, such as how indirect holdings are held or the details of a trading plan, are only in the original on SEC EDGAR.
- F1
Represents shares issuable on settlement of restricted stock units ("RSUs") granted to the Reporting Person. Each RSU represents the contingent right to receive one share of Common Stock of the Issuer upon vesting of the RSU.
- F2
The RSUs and the Stock Options were granted to the Reporting Person as a bonus and vested immediately (the "Bonus"). The Bonus was approved by the Issuer's Board of Directors.
- F3
This amendment is being filed solely to remove and correct the reference to a Rule 10b5-1 trading plan and uncheck the box on the cover page relating to same. The shares were sold pursuant to a "non-10b5-1 trading arrangement," as defined in Item 408(c) of Regulation S-K of the Exchange Act and has been terminated.
- F4
These shares were sold in multiple transactions at prices ranging from $18.84520 to $18.85230. The price reported above reflects the weighted average sale price. The Reporting Person will provide to the issuer, any security holder of the issuer, or the SEC staff, upon request, full information regarding the number of shares sold at each separate price.
Referenced by the price of 1 transaction in Table I.