Mark N. Tompkins - Jun 21, 2021 Form 4 Insider Report for Aeluma, Inc. (ALMU)

Role: Former Director, 10%+ Owner
Signature: /s/ Mark N. Tompkins
Stock symbol: ALMU
Transactions as of: Jun 21, 2021
Transactions value $: $0
Form type: 4
Date filed: 6/23/2021, 09:51 PM
Previous filing: Jun 2, 2021
Next filing: Jun 29, 2021

Transactions Table

Type	Sym	Class	Transaction	Value $	Shares	Change %	* Price $	Shares After	Date	Ownership	Footnotes
transaction	ALMU	Common stock, par value $0.0001 per share	Other	$0	-25K	-0.53%	$0.00	4.73M	Jun 21, 2021	Direct	F1
transaction	ALMU	Common stock, par value $0.0001 per share	Other	$0	-2.45M	-51.85%	$0.00	2.28M	Jun 22, 2021	Direct	F2

* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id	Content
F1	The reporting person transferred an aggregate of 25,000 shares of the Issuer's common stock as consideration for services rendered to an affiliate of the reporting person by the recipients.
F2	Pursuant to the terms of an Agreement and Plan of Merger and Reorganization, dated as of June 22, 2021, by and among the Issuer, Aeluma Operating Co. ("Acquisition Sub"), and Biond Photonics, Inc. (d.b.a. "Aeluma") ("Biond"), on June 22, 2021, Biond merged with and into Acquisition Sub, with Acquisition Sub continuing as the surviving entity (the "Merger") and as the Issuer's wholly-owned subsidiary. As a condition to the Merger, pursuant to the terms of a stock cancellation agreement, the reporting person voluntarily surrendered and canceled 2,450,000 shares of the Issuer's common stock prior to the consummation of the Merger. The reporting person resigned as a director of the Issuer upon consummation of the Merger.

Content

The reporting person transferred an aggregate of 25,000 shares of the Issuer's common stock as consideration for services rendered to an affiliate of the reporting person by the recipients.

Pursuant to the terms of an Agreement and Plan of Merger and Reorganization, dated as of June 22, 2021, by and among the Issuer, Aeluma Operating Co. ("Acquisition Sub"), and Biond Photonics, Inc. (d.b.a. "Aeluma") ("Biond"), on June 22, 2021, Biond merged with and into Acquisition Sub, with Acquisition Sub continuing as the surviving entity (the "Merger") and as the Issuer's wholly-owned subsidiary. As a condition to the Merger, pursuant to the terms of a stock cancellation agreement, the reporting person voluntarily surrendered and canceled 2,450,000 shares of the Issuer's common stock prior to the consummation of the Merger. The reporting person resigned as a director of the Issuer upon consummation of the Merger.