Tompkins Mark N.'s Form 4/A amendment
AmendedAeluma, Inc. (ALMU) · filed Oct 6, 2025
- Accession no.
- 0001213900-25-096783
- Filed
- Oct 6, 2025
- Trade date
- Sep 30, 2025
- Filing delay
- 6 days
- Rule 10b5-1 plan
- Not checked
- Original filed
- Oct 2, 2025
This filing lists 1 non-derivative transaction. It carries over 5 transactions from the original filing that it did not restate. Open-market sales total $1.84M. It was filed 6 days after the trade.
This amendment restates part of 0001213900-25-094948 (filed Oct 2, 2025). The transactions it did not restate still count and are listed below.
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 |
|---|---|
| Tompkins Mark N.CIK 0001455971 | 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 |
|---|---|---|---|---|---|---|---|---|
| Sep 30, 2025 | Common Stock | SSaleDisposed | −33,800 | $16.18F2 | −$546,884 | 2,857,033 | Direct |
Carried over from the original filing
This amendment restates only part of the original filing. The original's other transactions still stand, and the trade tables on Livermore count them under this amendment.
From 0001213900-25-094948 (filed Oct 2, 2025).
Non-derivative securities (Table I)
| Trade date | Security | Transaction | Shares | Price | Value | Shares after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Sep 29, 2025 | Common Stock | SSaleDisposed | −23,382 | $17.52F1 | −$409,652.64 | 2,892,451 | Direct | |
| Sep 29, 2025 | Common Stock | SSaleDisposed | −1,618 | $18.36F2 | −$29,706.48 | 2,890,833 | Direct | |
| Sep 30, 2025 | Common Stock | SSaleDisposed | −200 | $17.54 | −$3,508 | 2,856,833 | Direct | |
| Oct 1, 2025 | Common Stock | SSaleDisposed | −9,133 | $16.39F4 | −$149,689.87 | 2,847,700 | Direct | |
| Oct 1, 2025 | Common Stock | SSaleDisposed | −41,367 | $16.97F5 | −$701,997.99 | 2,806,333 | Direct |
Footnotes on the original
The footnotes that the prices of these transactions refer to on the original filing.
- F1
The price reported in Column 4 represents a weighted average sales price of $17.52. These shares were sold in multiple transactions at prices ranging from $17.00 to $17.98, inclusive.
Referenced by the price of 1 transaction in Table I.
- F2
The price reported in Column 4 represents a weighted average sales price of $18.36. These shares were sold in multiple transactions at prices ranging from $18.02 to $18.64, inclusive.
Referenced by the price of 1 transaction in Table I.
- F4
The price reported in Column 4 represents a weighted average sales price of $16.39. These shares were sold in multiple transactions at prices ranging from $15.77 to $16.76, inclusive.
Referenced by the price of 1 transaction in Table I.
- F5
The price reported in Column 4 represents a weighted average sales price of $16.97. These shares were sold in multiple transactions at prices ranging from $16.77 to $17.20, inclusive.
Referenced by the price of 1 transaction in Table I.
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
On October 2, 2025, the Reporting Person filed a Form 4 (the "Original Report") which incorrectly stated the total shares sold in the reported transaction in Table I - Column 4 of the Original Report.. The Reporting Person is filing this Form 4/A to amend and correct the discrepancy.
- F2
The price reported in Column 4 represents a weighted average sales price of $16.18. These shares were sold in multiple transactions at prices ranging from $15.86 to $16.75, inclusive.
Referenced by the price of 1 transaction in Table I.
Remarks
The reporting person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in the footnotes above.