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

Reporting relationship: 10%+ Owner
Issuer ticker: ALMU
Reported as of: 22 Jun 2021
Net transaction value: -$3,962
SEC form: 4
Accepted by SEC: 02 Jan 2026, 17:18:20 UTC
Source filing: View source filing
Reporting owner signature: /s/ Lee McCarthy

Key filing fact

Lee McCarthy filed Form 4 for Aeluma, Inc. (ALMU) on 02 Jan 2026.

Key facts

This page summarizes Lee McCarthy's Form 4 filing for Aeluma, Inc. (ALMU).
1 reported transaction and 0 derivative rows are listed below.
Accepted by SEC: 02 Jan 2026, 17:18.

Change

No earlier filing in this sequence is available for direct comparison.
Current net transaction value: -$3,962.

Research use

This tells you what this filing adds before you inspect full transaction and derivative tables.
You can trace every row back to the original SEC filing document.

Evidence

Filed on Form 4

Ownership activity is grounded in SEC Form 4 disclosures.

View source filing

Reporting Owners (1)

CIK 0001869684 Primary reporting owner

McCarthy Lee

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

Reported non-derivative transactions

Shares, units, or other non-derivative securities reported in this filing.

ALMU transaction

Common Stock

Sale

Transaction value: $3,962
Shares: -649,570
Change %: -40%
Price: $0.006100
Shares after: 977,425
Date: 17 Feb 2023
Ownership: Direct
Footnotes: F1

^* marks a reported price that did not pass the local price check.

Additional SEC filing notes

Filing notes and footnotes

Section 16 status

Lee McCarthy is no longer subject to Section 16 filing requirements. Form 4 or Form 5 obligations may still apply in specific circumstances.

Explanation of responses 1 footnote

Footnote 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.