Lee McCarthy - 22 Jun 2021 Form 4 Insider Report for Aeluma, Inc. (ALMU)

Role
10%+ Owner
Signature
/s/ Lee McCarthy
Issuer symbol
ALMU
Transactions as of
22 Jun 2021
Net transactions value
-$3,962
Form type
4
Filing time
02 Jan 2026, 17:18:20 UTC
SEC
View on sec.gov

Reporting Owners (1)

Name Relationship Address Signature Signature date CIK
McCarthy Lee 10%+ Owner 1421 21ST ST # 1043, SACRAMENTO, /s/ Lee McCarthy 02 Jan 2026 0001869684

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction ALMU Common Stock Sale $3,962 -649,570 -40% $0.006100 977,425 17 Feb 2023 Direct F1
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Lee McCarthy is no longer subject to Section 16 filing requirements. Form 4 or Form 5 obligations may continue.

Explanation of Responses:

Id Content
F1 Mr. McCarthy sold 649,570 "unvested" but beneficially owned shares under the terms of a Founder's Stock Repurchase Agreement dated February 17, 2023, between Mr. McCarthy and the Issuer that exercised its right to repurchase those shares under the terms of the Founder's Restricted Stock Purchase Agreement dated October 27, 2020, between Mr. McCarthy and the Issuer that was triggered by the voluntary resignation of Mr. McCarthy effective November 17, 2022, as COO of the Issuer after earlier resigning as interim CFO. Mr. McCarthy's ownership of the Issuer's issued and outstanding shares of the Issuer's common stock following the Issuer's repurchase of the 649,750 "unvested" shares was 8.03% as set forth in the Issuer's Form 10-K for its fiscal year ended June 30, 2023, that was filed with the SEC on September 25, 2023.