Основная статистика
| CIK | 1828805 |
SEC Filings
All companies that sell securities in the United States must register with the Securities and Exchange Commission (SEC) and file reports on a regular basis.
These reports include company annual reports (10K, 10Q), news updates (8K), investor presentations (found in 8Ks), insider trades (form 4), ownership reports (13D, and 13G), and reports related to the specific securities sold, such as registration statements and prospectus. This page shows recent SEC filings related to Aeluma, Inc.
SEC Filings (Chronological Order)
На этой странице представлен полный хронологический список документов SEC, за исключением документов о собственности, которые мы предоставляем в других местах.
| August 8, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 8, 2025 Aeluma, Inc. (Exact name of registrant as specified in its charter) Delaware 001-42570 85-2807351 (State or other jurisdiction of incorporation) (Commission File Number |
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| August 8, 2025 |
AELUMA, INC. EXECUTIVE EMPLOYMENT AGREEMENT Exhibit 10.1 AELUMA, INC. EXECUTIVE EMPLOYMENT AGREEMENT THIS EXECUTIVE EMPLOYMENT AGREEMENT (the “Agreement”) is made by and between Aeluma, Inc., a Delaware corporation (the “Company”) and Christopher Stewart (the “Executive”), who are collectively referred to herein as the “Parties” and each as a “Party.” WHEREAS, the Company desires to employ Executive as its Chief Financial Officer, and Execu |
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| August 8, 2025 |
Aeluma Appoints Industry Veteran Christopher Stewart as Chief Financial Officer Exhibit 99.1 Aeluma Appoints Industry Veteran Christopher Stewart as Chief Financial Officer GOLETA, CA / ACCESS Newswire / August 4, 2025 / Aeluma, Inc. (NASDAQ:ALMU), a semiconductor company specializing in high-performance, scalable technologies for mobile, AI, defense and aerospace, robotics, automotive, AR/VR, and quantum computing, today announced the appointment of technology industry veter |
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| August 6, 2025 |
AS FILED WITH THE SECURITIES AND EXCHANGE COMMISSION ON AUGUST 6, 2025 AS FILED WITH THE SECURITIES AND EXCHANGE COMMISSION ON AUGUST 6, 2025 REGISTRATION NO. |
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| July 31, 2025 |
AS FILED WITH THE SECURITIES AND EXCHANGE COMMISSION ON JULY 31, 2025 AS FILED WITH THE SECURITIES AND EXCHANGE COMMISSION ON JULY 31, 2025 REGISTRATION NO. |
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| July 31, 2025 |
CALCULATION OF FILING FEE TABLES Aeluma, Inc. Table 1: Newly Registered and Carry Forward Securities Ex-Filing Fees CALCULATION OF FILING FEE TABLES S-3 Aeluma, Inc. Table 1: Newly Registered and Carry Forward Securities Line Item Type Security Type Security Class Title Notes Fee Calculation Rule Amount Registered Proposed Maximum Offering Price Per Unit Maximum Aggregate Offering Price Fee Rate Amount of Registration Fee Newly Registered Securities Fees to be Paid Equity Common Stock (1) 457(o) |
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| July 31, 2025 |
Aeluma , Inc. Dated as of [●], 20[●] Senior Debt Securities TABLE OF CONTENTS Exhibit 4.6 Aeluma , Inc. Issuer AND [TRUSTEE] Trustee INDENTURE Dated as of [●], 20[●] Senior Debt Securities TABLE OF CONTENTS Page ARTICLE 1 DEFINITIONS 1 Section 1.01 Definitions of Terms 1 ARTICLE 2 ISSUE, DESCRIPTION, TERMS, EXECUTION, REGISTRATION AND EXCHANGE OF SECURITIES 5 Section 2.01 Designation and Terms of Securities 5 Section 2.02 Form of Securities and Trustee’s Certificate 7 Secti |
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| July 31, 2025 |
Aeluma , Inc. Dated as of [●], 20[●] Subordinated Debt Securities TABLE OF CONTENTS Exhibit 4.7 Aeluma , Inc. Issuer AND [TRUSTEE] Trustee INDENTURE Dated as of [●], 20[●] Subordinated Debt Securities TABLE OF CONTENTS ARTICLE 1 DEFINITIONS 1 Section 1.01 Definitions of Terms. 1 ARTICLE 2 ISSUE, DESCRIPTION, TERMS, EXECUTION, REGISTRATION AND EXCHANGE OF SECURITIES 4 Section 2.01 Designation and Terms of Securities. 4 Section 2.02 Form of Securities and Trustee’s Certificate. 6 S |
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| May 14, 2025 |
Aeluma, Inc. 11,010,002 shares of Common Stock Filed Pursuant to Rule 424(b)(3) Registration No. 333-259179 Prospectus Supplement No. 3 Dated May 12, 2025 (To Prospectus Dated October 7, 2024) Aeluma, Inc. 11,010,002 shares of Common Stock This Prospectus Supplement No. 3 (the “Prospectus Supplement”) updates and supplements the prospectus of Aeluma, Inc., a Delaware corporation (the “Company,” “we,” “us,” or “our”) dated October 7, 2024, as a |
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| May 14, 2025 |
Filed Pursuant to Rule 424(b)(3) Registration No. 333-273149 Prospectus Supplement No. 3 Dated May 12, 2025 (To Prospectus Dated October 9, 2024) Aeluma, Inc. 2,017,498 shares of Common Stock 85,653 shares of Common Stock underlying Placement Agent Warrants This Prospectus Supplement No. 1 (the “Prospectus Supplement”) updates and supplements the prospectus of Aeluma, Inc., a Delaware corporation |
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| May 14, 2025 |
Filed Pursuant to Rule 424(b)(3) Registration No. 333-285469 Prospectus Supplement No. 1 Dated March 26, 2025 (To Prospectus Dated October 9, 2024) Aeluma, Inc. 3,298,572 Shares of Common Stock 114,285 Underwriter Warrants 114,285 Shares of Common Stock underlying the Underwriter Warrants This Prospectus Supplement No. 1 (the “Prospectus Supplement”) updates and supplements the prospectus of Aelum |
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| May 9, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2025 or ☐ TRANSITION REPORT PURSUANT TO PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-42570 AELUMA, |
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| May 7, 2025 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 7, 2025 Aeluma, Inc. (Exact name of registrant as specified in its charter) Delaware 001-42570 85-2807351 (State or other jurisdiction of incorporation) (Commission File Number) ( |
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| May 7, 2025 |
Exhibit 99.1 Aeluma Provides Third Quarter of Fiscal Year 2025 Results Reports Record Third Quarter with Revenue Growth of 265% Momentum Builds with NASDAQ Uplisting, Strong Capital Position, and Growing Demand Across AI and Defense GOLETA, CA – May 7, 2025 – Aeluma, Inc. (NASDAQ:ALMU), a semiconductor company specializing in high-performance, scalable technologies for mobile, automotive, AI, defe |
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| March 28, 2025 |
Exhibit 1.1 Aeluma, Inc. 2,285,714 Shares of Common Stock Underwriting Agreement March 26, 2025 Craig-Hallum Capital Group LLC 222 South Ninth Street, Suite 350 Minneapolis, Minnesota 55402 Ladies and Gentlemen: Aeluma, Inc., a Delaware corporation (the “Company”), proposes to issue and sell to Craig-Hallum Capital Group LLC, in its capacity as underwriter (the “Underwriter”), an aggregate of 2,28 |
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| March 28, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): March 28, 2025 (March 26, 2025) Aeluma, Inc. (Exact name of registrant as specified in its charter) Delaware 001-42570 85-2807351 (State or other jurisdiction of incorporation) (Commi |
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| March 28, 2025 |
Exhibit 99.1 Aeluma Announces Nasdaq Uplisting and Pricing of $12 Million Public Offering Aeluma common stock expected to begin trading on Nasdaq under the symbol “ALMU” GOLETA, CA – Mar. 27, 2025 – Aeluma, Inc. (OTCQB:ALMU) (“Aeluma” or “the Company”), a semiconductor company specializing in high performance, scalable technologies for mobile, automotive, AI, defense & aerospace, communication, an |
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| March 28, 2025 |
Exhibit 4.1 UNDERWRITER WARRANT THE REGISTERED HOLDER OF THIS WARRANT BY ITS ACCEPTANCE HEREOF, AGREES THAT THIS WARRANT SHALL NOT BE SOLD, TRANSFERRED, ASSIGNED, PLEDGED, OR HYPOTHECATED, OR BE THE SUBJECT OF ANY HEDGING, SHORT SALE, DERIVATIVE, PUT, OR CALL TRANSACTION THAT WOULD RESULT IN THE EFFECTIVE ECONOMIC DISPOSITION OF THE SECURITIES FOR A PERIOD OF ONE HUNDRED EIGHTY (180 DAYS) IMMEDIAT |
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| March 28, 2025 |
Exhibit 99.2 Aeluma Announces Closing of Oversubscribed Public Offering with $13.8 Million Gross Proceeds and Uplisting to Nasdaq Under Ticker “ALMU” Full Exercise of Over-Allotment Option GOLETA, CA – March 28, 2025 – Aeluma, Inc. (OTCQB:ALMU) (“Aeluma” or “the Company”), a semiconductor company specializing in high performance, scalable technologies for mobile, automotive, AI, defense & aerospac |
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| March 27, 2025 |
PROSPECTUS Filed Pursuant to Rule 424(b)(4) Registration No. 333-285469 AELUMA, INC. 3,298,572 Shares of Common Stock 114,285 Underwriter Warrants 114,285 Shares of Common Stock underlying the Underwriter Warrants This is a firm commitment underwritten public offering by Aeluma, Inc., a Delaware corporation (the “Company”) of 2,285,714 shares of common stock, $0.0001 per share (the “Common Stock”) |
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| March 26, 2025 |
EX-FILING FEES 4 ea023567501ex-feeaeluma.htm FILING FEE TABLE Exhibit 107 Filing Fee Table S-1 (Form Type) Aeluma, Inc. (Exact Name of Registrant as Specified in its Charter) Table 1: Newly Registered Securities Security Type Security C lass Title Fee Calculation or Carry Forward Rule Amount Registered Proposed Maximum Offering Price Per Unit ($) Proposed Maximum Aggregate Offer |
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| March 26, 2025 |
As filed with the Securities and Exchange Commission on March 26, 2025. As filed with the Securities and Exchange Commission on March 26, 2025. Registration No. 333– UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM S-1 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 AELUMA, INC. (Exact name of registrant as specified in its charter) Delaware 3674 85-2807351 (State or other jurisdiction of incorporation or organization) (Primary |
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| March 26, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-A FOR REGISTRATION OF CERTAIN CLASSES OF SECURITIES PURSUANT TO SECTION 12(b) OR 12(g) OF THE SECURITIES EXCHANGE ACT OF 1934 Aeluma, Inc. (Exact name of registrant as specified in its charter) Delaware 85-2807351 (State or other jurisdiction of incorporation or organization) (I.R.S. Employer Identification No.) 27 Cast |
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| March 25, 2025 |
As filed with the Securities and Exchange Commission on March 24, 2025 As filed with the Securities and Exchange Commission on March 24, 2025 Registration No. |
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| March 25, 2025 |
AELUMA, INC. March 25, 2025 Via EDGAR Division of Corporation Finance Office of Manufacturing U.S. Securities and Exchange Commission 100 F Street, NE Washington, D.C., 20549 Re: Aeluma, Inc. Registration Statement on Form S-1, as amended (File No. 333-285469) Request for Acceleration of Effectiveness Ladies and Gentlemen: In accordance with Rule 461 of the General Rules and Regulations under the |
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| March 25, 2025 |
Exhibit 107 Filing Fee Table S-1 (Form Type) Aeluma, Inc. (Exact Name of Registrant as Specified in its Charter) Table 1: Newly Registered Securities Security Type Security Class Title Fee Calculation or Carry Forward Rule Amount Registered(1) Proposed Maximum Offering Price Per Unit ($) Proposed Maximum Aggregate Offering Price(1) Fee Rate Amount of Registration Fee Fees to |
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| March 25, 2025 |
March 25, 2025 VIA EDGAR Division of Corporate Finance United States Securities and Exchange Commission 100 F. |
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| March 25, 2025 |
As filed with the Securities and Exchange Commission on March 25, 2025 As filed with the Securities and Exchange Commission on March 25, 2025 Registration No. |
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| March 25, 2025 |
Form of Underwriting Agreement Exhibit 1.1 Aeluma, Inc. [●] Shares of Common Stock Underwriting Agreement [●], 2025 Craig-Hallum Capital Group LLC 222 South Ninth Street, Suite 350 Minneapolis, Minnesota 55402 Ladies and Gentlemen: Aeluma, Inc., a Delaware corporation (the “Company”), proposes to issue and sell to Craig-Hallum Capital Group LLC, in its capacity as underwriter (the “Underwriter”), an aggregate of [●] shares of c |
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| March 24, 2025 |
March 24, 2025 Via EDGAR Division of Corporation Finance Office of Manufacturing U. |
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| March 24, 2025 |
AELUMA, INC. March 24, 2025 Via EDGAR Division of Corporation Finance Office of Manufacturing U.S. Securities and Exchange Commission 100 F Street, NE Washington, D.C., 20549 Re: Aeluma, Inc. Initially Filed February 28, 2025 File No. 333-285469 Withdrawal of Acceleration Request Ladies and Gentlemen: Reference is made to our letter, filed as correspondence with the U.S. Securities and Exchange Co |
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| March 21, 2025 |
March 21, 2025 VIA EDGAR Division of Corporate Finance United States Securities and Exchange Commission 100 F. |
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| March 21, 2025 |
March 21, 2025 VIA EDGAR Division of Corporate Finance United States Securities and Exchange Commission 100 F. |
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| March 21, 2025 |
CORRESP 1 filename1.htm AELUMA, INC. March 21, 2025 Via EDGAR Division of Corporation Finance Office of Manufacturing U.S. Securities and Exchange Commission 100 F Street, NE Washington, D.C., 20549 Re: Aeluma, Inc. Registration Statement on Form S-1, as amended (File No. 333-285469) Request for Acceleration of Effectiveness Ladies and Gentlemen: In accordance with Rule 461 of the General Rules an |
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| March 20, 2025 |
Form of Underwriting Agreement Exhibit 1.1 Aeluma, Inc. [●] Shares of Common Stock Underwriting Agreement [●], 2025 Craig-Hallum Capital Group LLC 222 South Ninth Street, Suite 350 Minneapolis, Minnesota 55402 Ladies and Gentlemen: Aeluma, Inc., a Delaware corporation (the “Company”), proposes to issue and sell to Craig-Hallum Capital Group LLC, in its capacity as underwriter (the “Underwriter”), an aggregate of [●] shares of c |
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| March 20, 2025 |
As filed with the Securities and Exchange Commission on March 19, 2025 As filed with the Securities and Exchange Commission on March 19, 2025 Registration No. |
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| March 20, 2025 |
Exhibit 107 Filing Fee Table S-1 (Form Type) Aeluma, Inc. (Exact Name of Registrant as Specified in its Charter) Table 1: Newly Registered Securities Security Type Security Class Title Fee Calculation or Carry Forward Rule Amount Registered(1) Proposed Maximum Offering Price Per Unit ($) Proposed Maximum Aggregate Offering Price(1) Fee Rate Amount of Registration Fee Fees to |
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| March 20, 2025 |
Exhibit 4.4 Form of Underwriter Warrant Agreement THE REGISTERED HOLDER OF THIS WARRANT BY ITS ACCEPTANCE HEREOF, AGREES THAT THIS WARRANT SHALL NOT BE SOLD, TRANSFERRED, ASSIGNED, PLEDGED, OR HYPOTHECATED, OR BE THE SUBJECT OF ANY HEDGING, SHORT SALE, DERIVATIVE, PUT, OR CALL TRANSACTION THAT WOULD RESULT IN THE EFFECTIVE ECONOMIC DISPOSITION OF THE SECURITIES FOR A PERIOD OF ONE HUNDRED EIGHTY ( |
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| March 19, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): March 19, 2025 Aeluma, Inc. (Exact name of registrant as specified in its charter) Delaware 000-56218 85-2807351 (State or other jurisdiction of incorporation) (Commission File Number |
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| February 28, 2025 |
Exhibit 107 Filing Fee Table S-1 (Form Type) Aeluma, Inc. (Exact Name of Registrant as Specified in its Charter) Table 1: Newly Registered Securities Security Type Security Class Title Fee Calculation or Carry Forward Rule Amount Registered Proposed Maximum Offering Price Per Unit ($) Proposed Maximum Aggregate Offering Price Fee Rate Amount of Registration Fee Fees to Be Pa |
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| February 28, 2025 |
As filed with the Securities and Exchange Commission on February 28, 2025 As filed with the Securities and Exchange Commission on February 28, 2025 Registration No. |
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| February 26, 2025 |
Exhibit 99.1 Aeluma Appoints Former NVIDIA Finance Leader Mike Byron to Board of Directors Addition of semiconductor finance and operations veteran poises Aeluma to scale its technology to meet AI and quantum computing demands GOLETA, CA – February 24, 2025 – Aeluma, Inc. (OTCQB:ALMU), a semiconductor company specializing in high performance, scalable technologies for mobile, automotive, AI, defen |
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| February 26, 2025 |
Form of Non-qualified Option to purchase Common Stock (7) Exhibit 10.3 NON-QUALIFIED STOCK OPTION TO PURCHASE COMMON STOCK OF AELUMA, Inc. DATE OF GRANT (“Grant Date”): EXPIRATION DATE: Aeluma, Inc. (the “Company”), hereby grants (the “Optionee”), a director of the Company, an opportunity to purchase shares of the Company’s Common Stock, par value of $0.0001 per share (“Common Stock”), on the terms and subject to the conditions hereinafter in connection |
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| February 26, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): February 24, 2025 Aeluma, Inc. (Exact name of registrant as specified in its charter) Delaware 000-56218 85-2807351 (State or other jurisdiction of incorporation) (Commission File Num |
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| February 26, 2025 |
Director Agreement dated February 24, 2025 Exhibit 10.1 DIRECTOR AGREEMENT THIS AGREEMENT (The “Agreement”) is effective as of the 24 day of February, 2025 (the “Effective Date”), and is by and between AELUMA, INC., a Delaware corporation (hereinafter referred to as the “Company”), and Michael Byron (hereinafter referred to as the “Director”). BACKGROUND The Company’s Board of Directors (the “Board”) and the Director desire to memorialize |
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| February 26, 2025 |
Indemnification Agreement dated February 24, 2025 Exhibit 10.2 AELUMA, INC. INDEMNIFICATION AGREEMENT This Indemnification Agreement (this “Agreement”) is dated as of February 24, and is between Aeluma, Inc., a Delaware corporation (the “Company”), and Michael Byron (“Indemnitee”). RECITALS A. Indemnitee’s service to the Company substantially benefits the Company. B. Individuals are reluctant to serve as directors or officers of corporations or i |
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| February 12, 2025 |
Filed Pursuant to Rule 424(b)(3) Registration No. 333-273149 Prospectus Supplement No. 2 Dated February 11, 2025 (To Prospectus Dated October 9, 2024) Aeluma, Inc. 2,017,498 shares of Common Stock 85,653 shares of Common Stock underlying Placement Agent Warrants This Prospectus Supplement No. 2 (the “Prospectus Supplement”) updates and supplements the prospectus of Aeluma, Inc., a Delaware corpora |
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| February 12, 2025 |
Aeluma, Inc. 11,010,002 shares of Common Stock Filed Pursuant to Rule 424(b)(3) Registration No. 333-259179 Prospectus Supplement No. 2 Dated February 11, 2025 (To Prospectus Dated October 7, 2024) Aeluma, Inc. 11,010,002 shares of Common Stock This Prospectus Supplement No. 2 (the “Prospectus Supplement”) updates and supplements the prospectus of Aeluma, Inc., a Delaware corporation (the “Company,” “we,” “us,” or “our”) dated October 7, 2024, |
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| February 11, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended December 31, 2024 or ☐ TRANSITION REPORT PURSUANT TO PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 000-56218 AELUM |
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| February 10, 2025 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): February 10, 2025 Aeluma, Inc. (Exact name of registrant as specified in its charter) Delaware 000-56218 85-2807351 (State or other jurisdiction of incorporation) (Commission File Num |
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| February 10, 2025 |
Exhibit 99.1 Aeluma Provides Second Quarter of Fiscal Year 2025 Results and Raises Revenue Guidance Reports Record Second Quarter with Revenue Growth over 500% Raises Revenue Outlook for Fiscal Year 2025 by 10% GOLETA, CA – February 10, 2025 – Aeluma, Inc. (OTCQB:ALMU), a semiconductor company specializing in high performance, scalable technologies for mobile, automotive, AI, defense & aerospace, |
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| January 10, 2025 |
Submission of Matters to a Vote of Security Holders UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): January 10, 2025 Aeluma, Inc. (Exact name of registrant as specified in its charter) Delaware 000-56218 85-2807351 (State or other jurisdiction of incorporation) (Commission File Numb |
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| December 9, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Schedule 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ☒ Filed by a party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☒ Defin |
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| December 4, 2024 |
Exhibit 99.1 |
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| December 4, 2024 |
Financial Statements and Exhibits, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported):December 4, 2024 Aeluma, Inc. (Exact name of registrant as specified in its charter) Delaware 000-56218 85-2807351 (State or other jurisdiction of incorporation) (Commission File Numbe |
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| November 12, 2024 |
Aeluma, Inc. 11,010,002 shares of Common Stock Filed Pursuant to Rule 424(b)(3) Registration No. 333-259179 Prospectus Supplement No. 1 Dated November 12, 2024 (To Prospectus Dated October 7, 2024) Aeluma, Inc. 11,010,002 shares of Common Stock This Prospectus Supplement No. 1 (the “Prospectus Supplement”) updates and supplements the prospectus of Aeluma, Inc., a Delaware corporation (the “Company,” “we,” “us,” or “our”) dated October 7, 2024, |
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| November 12, 2024 |
Filed Pursuant to Rule 424(b)(3) Registration No. 333-273149 Prospectus Supplement No. 1 Dated November 12, 2024 (To Prospectus Dated October 9, 2024) Aeluma, Inc. 2,017,498 shares of Common Stock 85,653 shares of Common Stock underlying Placement Agent Warrants This Prospectus Supplement No. 1 (the “Prospectus Supplement”) updates and supplements the prospectus of Aeluma, Inc., a Delaware corpora |
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| November 8, 2024 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 8, 2024 Aeluma, Inc. (Exact name of registrant as specified in its charter) Delaware 000-56218 85-2807351 (State or other jurisdiction of incorporation) (Commission File Numb |
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| November 8, 2024 |
Aeluma Provides First Quarter of Fiscal Year 2025 Results Exhibit 99.1 Aeluma Provides First Quarter of Fiscal Year 2025 Results GOLETA, CA – November 8, 2024 – Aeluma, Inc. (OTCQB:ALMU), a semiconductor company specializing in high performance, scalable technologies for mobile, automotive, AI, defense & aerospace, communication and quantum computing, today provided a corporate update and announced financial results for the first quarter of fiscal 2025, |
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| November 8, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2024 or ☐ TRANSITION REPORT PURSUANT TO PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 000-56218 AELU |
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| October 30, 2024 |
Financial Statements and Exhibits, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): October 30, 2024 Aeluma, Inc. (Exact name of registrant as specified in its charter) Delaware 000-56218 85-2807351 (State or other jurisdiction of incorporation) (Commission File Numb |
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| October 30, 2024 |
Exhibit 99.1 Forward Looking Statements This presentation contains summary information about Aeluma, Inc . (“Aeluma”) as of the date hereof . The information in this presentation is of general background and contains an overview and summary of certain data selected by the management of Aeluma . It does not purport to be complete . This presentation is not a prospectus, disclosure document or offer |
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| October 10, 2024 |
As filed with the Securities and Exchange Commission on October 9, 2024 As filed with the Securities and Exchange Commission on October 9, 2024 Registration No. |
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| October 10, 2024 |
Independent Director Agreement with Craig Ensley, effective as of December 14, 2023 Exhibit 10.19 DIRECTOR AGREEMENT THIS AGREEMENT (The “Agreement”) is effective as of the 14 day of December, 2023 (the “Effective Date”), and is by and between AELUMA, INC., a Delaware corporation (hereinafter referred to as the “Company”), and Craig Ensley (hereinafter referred to as the “Director”). BACKGROUND The Company’s Board of Directors (the “Board”) and the Director desire to memorialize |
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| October 7, 2024 |
As filed with the Securities and Exchange Commission on October 7, 2024 As filed with the Securities and Exchange Commission on October 7, 2024 Registration No. |
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| October 7, 2024 |
Exhibit 10.19 DIRECTOR AGREEMENT THIS AGREEMENT (The “Agreement”) is effective as of the 14 day of December, 2023 (the “Effective Date”), and is by and between AELUMA, INC., a Delaware corporation (hereinafter referred to as the “Company”), and Craig Ensley (hereinafter referred to as the “Director”). BACKGROUND The Company’s Board of Directors (the “Board”) and the Director desire to memorialize |
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| September 27, 2024 |
Exhibit 97.1 AELUMA, INC.. Policy for RECOVERY OF ERRONEOUSLY AWARDED Incentive Compensation Adopted September 27, 2024 1. INTRODUCTION Aeluma, Inc.. (the “Company”) is adopting this policy (this “Policy”) to provide for the Company’s recovery of certain Incentive Compensation (as defined below) erroneously awarded to Affected Officers (as defined below) under certain circumstances. This Policy is |
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| September 27, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-K (Mark One) ☒ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended June 30, 2024 or ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 000-56218 AELUMA, INC. (Exac |
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| September 25, 2024 |
Exhibit 99.1 Aeluma Provides Fourth Quarter and Fiscal Year 2024 Results Issues Guidance For More Than 335% Year-Over-Year Revenue Growth in Fiscal Year 2025 GOLETA, CA – September 24, 2024 – Aeluma, Inc. (OTCQB:ALMU), a semiconductor company specializing in high performance, scalable technologies for mobile, automotive, AI, defense & aerospace, communication and quantum computing, today provided |
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| September 25, 2024 |
Results of Operations and Financial Condition, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): September 25, 2024 Aeluma, Inc. (Exact name of registrant as specified in its charter) Delaware 000-56218 85-2807351 (State or other jurisdiction of incorporation) (Commission File Nu |
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| August 30, 2024 |
Entry into a Material Definitive Agreement, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K/A CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 29, 2024 Aeluma, Inc. (Exact name of registrant as specified in its charter) Delaware 000-56218 85-2807351 (State or other jurisdiction of incorporation) (Commission File Num |
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| August 6, 2024 |
Form of Note (incorporated by reference to the Current Report on Form 8-K filed on August 30, 2024) Exhibit 10.2 THIS CONVERTIBLE PROMISSORY NOTE HAS NOT BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933, AS AMENDED. NO SALE OR DISPOSITION MAY BE EFFECTED EXCEPT IN COMPLIANCE WITH RULE 144 UNDER SAID ACT OR AN EFFECTIVE REGISTRATION STATEMENT RELATED THERETO OR AN OPINION OF COUNSEL FOR THE HOLDER SATISFACTORY TO THE COMPANY THAT SUCH REGISTRATION IS NOT REQUIRED UNDER THE ACT. CONVERTIBLE PROMIS |
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| August 6, 2024 |
Exhibit 10.1 Note Purchase Agreement This Note Purchase Agreement (this “Agreement”), dated as of , 2024, is entered into by and between Aeluma, Inc., a Delaware company (“Company”), and each purchaser identified on the signature pages hereto (each an “Investor” and, together, the “Investors”). A. Company and each Investor are executing and delivering this Agreement in reliance upon an exemption f |
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| August 6, 2024 |
Entry into a Material Definitive Agreement, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 6, 2024 Aeluma, Inc. (Exact name of registrant as specified in its charter) Delaware 000-56218 85-2807351 (State or other jurisdiction of incorporation) (Commission File Number |
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| May 16, 2024 |
Aeluma, Inc. 11,010,002 shares of Common Stock Filed Pursuant to Rule 424(b)(3) Registration No. 333-259179 Prospectus Supplement No. 3 Dated May 16, 2024 (To Prospectus Dated October 6, 2023) Aeluma, Inc. 11,010,002 shares of Common Stock This Prospectus Supplement No. 3 (the “Prospectus Supplement”) updates and supplements the prospectus of Aeluma, Inc., a Delaware corporation (the “Company,” “we,” “us,” or “our”) dated October 6, 2023, as a |
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| May 16, 2024 |
Filed Pursuant to Rule 424(b)(3) Registration No. 333-273149 Prospectus Supplement No. 3 Dated May 16, 2024 (To Prospectus Dated October 2, 2023) Aeluma, Inc. 2,017,498 shares of Common Stock 85,653 shares of Common Stock underlying Placement Agent Warrants This Prospectus Supplement No. 3 (the “Prospectus Supplement”) updates and supplements the prospectus of Aeluma, Inc., a Delaware corporation |
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| May 10, 2024 |
Aeluma Provides Third Quarter 2024 Results Increasing Revenue Driven by Funding Awards and Contracts Exhibit 99.1 Aeluma Provides Third Quarter 2024 Results Increasing Revenue Driven by Funding Awards and Contracts GOLETA, CA – May 10, 2024 – Aeluma, Inc. (OTCQB:ALMU), a semiconductor company specializing in scalable, cost-effective technologies for LiDAR (light detection and ranging), communication, and sensing, today provided a corporate update and announced financial results for the third quar |
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| May 10, 2024 |
Results of Operations and Financial Condition, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 10, 2024 Aeluma, Inc. (Exact name of registrant as specified in its charter) Delaware 000-56218 85-2807351 (State or other jurisdiction of incorporation) (Commission File Number) |
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| May 10, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2024 or ☐ TRANSITION REPORT PURSUANT TO PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 000-56218 AELUMA, |
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| February 13, 2024 |
Aeluma, Inc. 11,010,002 shares of Common Stock Filed Pursuant to Rule 424(b)(3) Registration No. 333-259179 Prospectus Supplement No. 2 Dated February 13, 2024 (To Prospectus Dated October 6, 2023) Aeluma, Inc. 11,010,002 shares of Common Stock This Prospectus Supplement No. 2 (the “Prospectus Supplement”) updates and supplements the prospectus of Aeluma, Inc., a Delaware corporation (the “Company,” “we,” “us,” or “our”) dated October 6, 2023, |
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| February 13, 2024 |
Filed Pursuant to Rule 424(b)(3) Registration No. 333-273149 Prospectus Supplement No. 2 Dated February 13, 2024 (To Prospectus Dated October 2, 2023) Aeluma, Inc. 2,017,498 shares of Common Stock 85,653 shares of Common Stock underlying Placement Agent Warrants This Prospectus Supplement No. 2 (the “Prospectus Supplement”) updates and supplements the prospectus of Aeluma, Inc., a Delaware corpora |
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| February 12, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended December 31, 2023 or ☐ TRANSITION REPORT PURSUANT TO PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 000-56218 AELUM |
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| February 12, 2024 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): February 12, 2024 Aeluma, Inc. (Exact name of registrant as specified in its charter) Delaware 000-56218 85-2807351 (State or other jurisdiction of incorporation) (Commission File Num |
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| February 12, 2024 |
Aeluma Provides Second Quarter 2024 Results Exhibit 99.1 Aeluma Provides Second Quarter 2024 Results GOLETA, CA – February 12, 2024 – Aeluma, Inc. (OTCQB:ALMU), a semiconductor company specializing in scalable, cost-effective technologies for LiDAR (light detection and ranging), communication, and sensing, today provided a corporate update and announced financial results for the second quarter of fiscal 2024, ended December 31, 2023. Recent |
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| January 30, 2024 |
Exhibit 99.2 High Performance Se mico n duct ors t h at S cale © Aeluma, Inc. All Rights Reserved. www.aeluma.com Sensing R e i m agin e d TM The Aeluma Semiconductor Manufacturing Approach High - Performance Semiconductors with Large - Diameter Substrates Aeluma’s breakthrough technology produces high - performance semiconductor chips on large - diameter substrates with mass - market microelectro |
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| January 30, 2024 |
Financial Statements and Exhibits, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): January 30, 2024 Aeluma, Inc. (Exact name of registrant as specified in its charter) Delaware 000-56218 85-2807351 (State or other jurisdiction of incorporation) (Commission File Numb |
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| January 30, 2024 |
Exhibit 99.1 Sen s i ng Rei ma g i n e d TM L a rge - W a fer Het erog e neously In t egr a t e d InG a As Pho t ode t ec tor Sensors Matthew Dummer , Jonathan Klamkin, Bei Shi, Bowen Song, Simone S. Brunelli, Michael McGivney, Douglas Oakley, Daniel Renner P a per 1 2 88 0 - 18 J an u a r y 30, 2 0 24 © Aelu m a , Inc. All R i g ht s R e serve d . Outline © Aelu m a , Inc. All R i g ht s R e serv |
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| January 30, 2024 |
Exhibit 99.5 Sensing Reimagined TM Heterogeneous Integration Platform Aeluma’s proprietary heterogeneous integration platform integrates high - performance compound semiconductors (ex. GaAs, InP, GaSb) on large - diameter substrates including up to 12 - inch Silicon. This technology has the potential to scale, reduce cost, and increase yield, all of which are critical for emerging and mass - marke |
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| January 30, 2024 |
Exhibit 99.4 Sensing Reimagined TM Shortwave Infrared Detector Arrays Performance, Formats and Features • Low dark current photodetector arrays manufactured with large - diameter substrate platform • Pixel and array size customizable • Typical array sizes: 128 X 32, 256 X 128, 640 X 512 • Reliability performance exceeds generic Telcordia GR - 468 optoelectronics standard • Delivered as PDA chips o |
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| January 30, 2024 |
Exhibit 99.3 Sensing R e i m agin e d TM Large Area InGaAs Detectors Bare D ie High s ensitivity, low d a rk c urrent a n d high s p ee d de te ct o rs f or SWIR and XSWIR • Typical Photosensitive Diameter (D): 0.25 to 5.0mm • Typi c al O p e ra t i ng Wavel e n g t h ( ): 0. 9 5 t o 1.55 m) • D e vi c e : P IN, AP D or S P AD • Forma t : Ba re d i e or mount e d i n TO pa c k age D Y X Outcom |
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| December 19, 2023 |
Financial Statements and Exhibits, Submission of Matters to a Vote of Security Holders, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): December 19, 2023 (December 14, 2023) Aeluma, Inc. (Exact name of registrant as specified in its charter) Delaware 000-56218 85-2807351 (State or other jurisdiction of incorporation) |
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| December 19, 2023 |
Aeluma Appoints Seasoned Semiconductor Industry Executive Craig Ensley to its Board of Directors Exhibit 99.1 Aeluma Appoints Seasoned Semiconductor Industry Executive Craig Ensley to its Board of Directors GOLETA, CA – December 20, 2023 – Aeluma, Inc. (OTCQB:ALMU), a semiconductor company specializing in scalable, cost-effective technologies for LiDAR (light detection and ranging), communication, and sensing, announced today that Craig Ensley was elected as a new member of its board of direc |
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| November 21, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Schedule 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ☒ Filed by a party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☒ Defin |
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| November 15, 2023 |
Filed Pursuant to Rule 424(b)(3) Registration No. 333-273149 Prospectus Supplement No. 1 Dated November 15, 2023 (To Prospectus Dated October 2, 2023) Aeluma, Inc. 2,017,498 shares of Common Stock 85,653 shares of Common Stock underlying Placement Agent Warrants This Prospectus Supplement No. 1 (the “Prospectus Supplement”) updates and supplements the prospectus of Aeluma, Inc., a Delaware corpora |
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| November 15, 2023 |
Aeluma, Inc. 11,010,002 shares of Common Stock Filed Pursuant to Rule 424(b)(3) Registration No. 333-259179 Prospectus Supplement No. 1 Dated November 15, 2023 (To Prospectus Dated October 6, 2023) Aeluma, Inc. 11,010,002 shares of Common Stock This Prospectus Supplement No. 1 (the “Prospectus Supplement”) updates and supplements the prospectus of Aeluma, Inc., a Delaware corporation (the “Company,” “we,” “us,” or “our”) dated October 6, 2023, |
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| November 9, 2023 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 9, 2023 Aeluma, Inc. (Exact name of registrant as specified in its charter) Delaware 000-56218 85-2807351 (State or other jurisdiction of incorporation) (Commission File Numb |
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| November 9, 2023 |
Aeluma Provides First Quarter 2024 Results Exhibit 99.1 Aeluma Provides First Quarter 2024 Results GOLETA, CA – November 9, 2023 – Aeluma, Inc. (OTCQB:ALMU), a semiconductor company specializing in scalable, cost-effective technologies for LiDAR (light detection and ranging), communication, and sensing, today provided a corporate update and announced financial results for the first quarter of fiscal 2024, ended September 30, 2023. Recent C |
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| November 9, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2023 or ☐ TRANSITION REPORT PURSUANT TO PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 000-56218 AELU |
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| October 6, 2023 |
AELUMA, INC. 11,010,002 shares of Common Stock Filed Pursuant to Rule 424(b)(3) Registration No. 333-259179 PROSPECTUS AELUMA, INC. 11,010,002 shares of Common Stock This prospectus relates to the resale, from time to time, by the selling stockholders identified in this prospectus under the caption “Selling Stockholders,” of up to 11,010,002 shares of Common Stock of Aeluma, Inc., a Delaware corporation (the “Company”), $0.0001 par value per s |
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| October 4, 2023 |
As filed with the Securities and Exchange Commission on October 4, 2023 As filed with the Securities and Exchange Commission on October 4, 2023 Registration No. |
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| October 3, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): October 3, 2023 Aeluma, Inc. (Exact name of registrant as specified in its charter) Delaware 000-56218 85-2807351 (State or other jurisdiction of incorporation) (Commission File Numbe |
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| October 3, 2023 |
Exhibit 99.1 Investor Presentation October 2023 © Aeluma, Inc. All Rights Reserved. Sensing Reimagined TM Forward Looking Statements © Aeluma, Inc. All Rights Reserved. This presentation contains summary information about Aeluma, Inc . (“Aeluma”) as of the date hereof . The information in this presentation is of general background and contains an overview and summary of certain data selected by th |
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| October 2, 2023 |
Filed Pursuant to Rule 424(b)(3) Registration No. 333-273149 PROSPECTUS AELUMA, INC. 2,017,498 shares of Common Stock 85,653 shares of Common Stock underlying Placement Agent Warrants This prospectus relates to the resale, from time to time, by the selling stockholders identified in this prospectus under the caption “Selling Stockholders,” of up to 2,103,151 shares of Common Stock of Aeluma, Inc., |
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| September 26, 2023 |
As filed with the Securities and Exchange Commission on September 25, 2023 As filed with the Securities and Exchange Commission on September 25, 2023 Registration No. |
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| September 26, 2023 |
Aeluma, Inc. 27 Castilian Drive Goleta, California 93117 Aeluma, Inc. 27 Castilian Drive Goleta, California 93117 September 26, 2023 Via Edgar Mr. Thomas Jones Division of Corporation Finance Office of Manufacturing U.S. Securities and Exchange Commission 100 F Street, NE Washington, D.C., 20549 Re: Aeluma, Inc. Registration Statement on Form S-1, as amended (File No. 333-273149) Request for Acceleration of Effectiveness Dear Mr. Jones: In accordance wi |
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| September 25, 2023 |
Exhibit 14.1 AELUMA, INC. CODE OF BUSINESS CONDUCT AND ETHICS INTRODUCTION Purpose This Code of Business Conduct and Ethics (this “Code”) contains general guidelines for conducting the business of Aeluma, Inc., (the “Company”) consistent with high standards of business ethics. This Code applies to all of our directors, officers and other employees. We refer to all officers and other employees cove |
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| September 25, 2023 |
Exhibit 99.1 AELUMA, INC. AUDIT COMMITTEE CHARTER I. PURPOSES The Audit Committee (the “Committee”) is appointed by the Board of Directors (the “Board”) of Aeluma, Inc., (the “Company”) to assist the Board in its oversight of the accounting and financial reporting processes of the Company and the Company’s compliance with legal and regulatory requirements. To assist the Board in fulfilling its res |
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| September 25, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-K (Mark One) ☒ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended June 30, 2023 or ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period Commission file number 000-56218 Aeluma, Inc. (Exact name of |
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| September 25, 2023 |
Exhibit 4.3 DESCRIPTION OF SECURITIES The following description summarizes the most important terms of our capital stock. Because it is only a summary, it does not contain all the information that may be important to you. For a complete description, you should refer to our restated certificate of incorporation and restated bylaws, which are included as exhibits hereto, and to the applicable provis |
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| September 25, 2023 |
Exhibit 99.2 CHARTER OF THE NOMINATING AND GOVERNANCE COMMITTEE OF THE BOARD OF DIRECTORS OF AELUMA, INC. I. PURPOSE OF THE COMMITTEE The purpose of the Nominating and Governance Committee (the “Committee”) of the Board of Directors (the “Board”) of the Company is to assist the Board in discharging the Board’s responsibilities regarding: a) identification of qualified candidates to become Board me |
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| September 25, 2023 |
Compensation Committee Charter Exhibit 99.3 AELUMA, INC. COMPENSATION COMMITTEE CHARTER I. PURPOSES The Compensation Committee (the “Committee”) is appointed by the Board of Directors (the “Board”) of Aeluma, Inc., (the “Company”) to: (A) assist the Board in overseeing the Company’s employee compensation policies and practices, including (i) determining and approving the compensation of the Company’s Chief Executive Officer (“C |
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| September 21, 2023 |
Aeluma, Inc. September 21, 2023 Via Edgar Mr. Thomas Jones Division of Corporation Finance Office of Manufacturing U.S. Securities and Exchange Commission 100 F Street, NE Washington, D.C., 20549 Re: Aeluma, Inc. Registration Statement on Form S-1 Filed August 3, 2023 File No. 333-273149 Dear Mr. Jones: As per the telephone conversation we had on September 19, 2023 regarding the above referenced r |
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| September 21, 2023 |
As filed with the Securities and Exchange Commission on September 21, 2023 As filed with the Securities and Exchange Commission on September 21, 2023 Registration No. |
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| August 3, 2023 |
As filed with the Securities and Exchange Commission on August 3, 2023 As filed with the Securities and Exchange Commission on August 3, 2023 Registration No. |
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| August 3, 2023 |
Aeluma, Inc 27 Castilian Drive Goleta, California 93117 Aeluma, Inc 27 Castilian Drive Goleta, California 93117 August 3, 2023 Via Edgar Correspondence Thomas Jones Geoff Kruczek Division of Corporation Finance Office of Manufacturing U. |
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| July 20, 2023 |
Exhibit 99.1 Investor Present a tion July 2023 © Aeluma, Inc. All Rights Reserved. Sensing Reimagined TM Forward Looking Statements © Aeluma, Inc. All Rights Reserved. This presentation contains summary information about Aeluma, Inc . (“Aeluma”) as of the date hereof . The information in this presentation is of general background and contains an overview and summary of certain data selected by the |
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| July 20, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): July 20, 2023 Aeluma, Inc. (Exact name of registrant as specified in its charter) Delaware 000-56218 85-2807351 (State or other jurisdiction of incorporation) (Commission File Number) |
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| July 6, 2023 |
As filed with the Securities and Exchange Commission on July 5, 2023 As filed with the Securities and Exchange Commission on July 5, 2023 Registration No. |
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| July 6, 2023 |
Exhibit 107 CALCULATION OF FILING FEE TABLES FORM S-1 Aeluma, Inc. Table 1: Newly Registered Securities Security Type Security Class Title Fee Calculation or Carry Forward Rule (1) Amount Registered Proposed Maximum Offering Price Per Unit Maximum Aggregate Offering Price Fee Rate Amount of Registration Fee (3) Equity Common Stock, $0.001 par value, issuable upon conversion of the Note 457(a) 2,01 |
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| May 18, 2023 |
Aeluma, Inc. 11,010,002 shares of Common Stock Filed Pursuant to Rule 424(b)(3) Registration No. 333-259179 Prospectus Supplement No. 3 Dated May 18, 2023 (To Prospectus Dated January 5, 2023) Aeluma, Inc. 11,010,002 shares of Common Stock This Prospectus Supplement No.3 (the “Prospectus Supplement”) updates and supplements the prospectus of Aeluma, Inc., a Delaware corporation (the “Company,” “we,” “us,” or “our”) dated January 5, 2023, as am |
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| May 15, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2023 OR ☐ TRANSITION REPORT PURSUANT TO PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 000-56218 AELUMA, |
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| May 11, 2023 |
Aeluma, Inc. Closes $6 Million Oversubscribed Common Stock Only Private Placement Exhibit 99.1 Aeluma, Inc. Closes $6 Million Oversubscribed Common Stock Only Private Placement GOLETA, CA – May 11, 2023 - Aeluma, Inc. (OTCQB:ALMU), a semiconductor company specializing in scalable, cost-effective sensor technologies for advanced LiDAR solutions, announced today it has received gross proceeds totaling approximately $6.05 Million following the final closing of a private placement |
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| May 11, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 11, 2023 Aeluma, Inc. (Exact name of registrant as specified in its charter) Delaware 000-56218 85-2807351 (State or other jurisdiction of incorporation) (Commission File Number) |
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| April 5, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): April 3, 2023 Aeluma, Inc. (Exact name of registrant as specified in its charter) Delaware 000-56218 85-2807351 (State or other jurisdiction of incorporation) (Commission File Number) |
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| February 16, 2023 |
Aeluma, Inc. 11,010,002 shares of Common Stock Filed Pursuant to Rule 424(b)(3) Registration No. 333-259179 Prospectus Supplement No. 2 Dated February 16, 2023 (To Prospectus Dated January 5, 2023) Aeluma, Inc. 11,010,002 shares of Common Stock This Prospectus Supplement No. 2 (the “Prospectus Supplement”) updates and supplements the prospectus of Aeluma, Inc., a Delaware corporation (the “Company,” “we,” “us,” or “our”) dated January 5, 2023, |
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| February 14, 2023 |
ALMU / Aeluma Inc / Tompkins Mark N. - AMENDMENT NO. 2 TO SCHEDULE 13G Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Schedule 13G/A (Amendment No. 2) Under the Securities Exchange Act of 1934 Aeluma, Inc. (Name of Issuer) Common Stock, par value $0.0001 per share (Title of Class of Securities) 00776X (CUSIP Number) December 31, 2022 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursua |
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| February 13, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended December 31, 2022 OR ☐ TRANSITION REPORT PURSUANT TO PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 000-56218 AELUM |
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| January 5, 2023 |
Filed pursuant to Rule 424(b)(5) Registration No. 333-259179 Prospectus Supplement (To Prospectus dated December 27, 2022) AELUMA, INC. This prospectus supplement relates to the resale, from time to time, by the selling stockholders identified in this prospectus under the caption ?Selling Stockholders,? of up to 11,010,002 shares of Common Stock of Aeluma, Inc., a Delaware corporation (the ?Compan |
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| December 27, 2022 |
As filed with the Securities and Exchange Commission on December 27, 2022 As filed with the Securities and Exchange Commission on December 27, 2022 Registration No. |
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| December 23, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): December 22, 2022 Aeluma, Inc. (Exact name of registrant as specified in its charter) Delaware 000-56218 85-2807351 (State or other jurisdiction of incorporation) (Commission File Num |
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| December 23, 2022 |
Exhibit 10.1 SUBSCRIPTION AGREEMENT This Subscription Agreement (this ?Agreement?) has been entered into by and between the purchaser set forth on the Omnibus Signature Page hereof (the ?Purchaser?) and Aeluma, Inc., a Delaware corporation (the ?Company?) in connection with the private placement offering (the ?Offering?) by the Company. R E C I T A L S A. The Company is offering a minimum of 500,0 |
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| December 23, 2022 |
EX-99.1 5 ea170759ex99-1aeluma.htm PRESS RELEASE Exhibit 99.1 Aeluma, Inc. Announces Initial Closing of $1.551 Million Common Stock Private Placement at $3.00 Per Share GOLETA, CA – December 22, 2022 - Aeluma, Inc. (OTCQB:ALMU), a semiconductor company specializing in scalable, cost-effective sensor technologies for advanced LiDAR solutions, announced today it has received gross proceeds of $1.551 |
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| December 23, 2022 |
EX-10.2 4 ea170759ex10-2aeluma.htm REGISTRATION RIGHTS AGREEMENT Exhibit 10.2 FORM OF REGISTRATION RIGHTS AGREEMENT This Registration Rights Agreement (this “Agreement”) is made and entered into effective as of December 22, 2022 among Aeluma, Inc., a Delaware corporation (the “Company”), the persons who have purchased the Offering Shares (as defined below) and have executed omnibus or counterpart |
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| December 23, 2022 |
Form of Placement Agent Warrant dated December 2022 (4) EX-4.2 2 ea170759ex4-2aeluma.htm FORM OF PLACEMENT AGENT WARRANT Exhibit 4.2 THIS WARRANT AND THE SECURITIES ISSUABLE UPON THE EXERCISE HEREOF HAVE NOT BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933, AS AMENDED. THEY MAY NOT BE SOLD, OFFERED FOR SALE, PLEDGED, HYPOTHECATED OR OTHERWISE TRANSFERRED EXCEPT PURSUANT TO AN EFFECTIVE REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933, AS AMENDED |
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| December 12, 2022 |
Exhibit 99.1 Investor Presentatio n December 12, 2022 ? Aeluma, Inc. All Rights Reserved. Sensing Reimagined TM Forward Looking Statements Aeluma, Inc. All Rights Reserved. This presentation contains summary information about Aeluma, Inc . (?Aeluma?) as of the date hereof . The information in this presentation is of general background and contains an overview and summary of certain data selected b |
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| December 12, 2022 |
Other Events, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): December 12, 2022 Aeluma, Inc. (Exact name of registrant as specified in its charter) Delaware 000-56218 85-2807351 (State or other jurisdiction of incorporation) (Commission File Num |
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| November 22, 2022 |
As filed with the Securities and Exchange Commission on November 22,, 2022 S-8 1 ea168006-s8aelumainc.htm REGISTRATION STATEMENT As filed with the Securities and Exchange Commission on November 22,, 2022 Registration No. 333- [●] UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM S-8 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 AELUMA, INC. (Exact name of registrant as specified in its charter) Delaware 3674 85-2807351 (State or Other |
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| November 22, 2022 |
Calculation of Registration Fee EX-FILING FEES 5 ea168006ex-feeaelumainc.htm FILING FEE TABLE Exhibit 107 CALCULATION OF FILING FEE TABLES FORM S-8 AELUMA, INC. Table 1: Newly Registered Securities Security Type Security Class Title(1) Fee Calculation Rule Amount Registered Proposed Maximum Offering Price Per Share Maximum Aggregate Offering Price (1) Fee Rate Amount of Registration Fee Equity Common Stock, par value $0.0001 457 |
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| November 22, 2022 |
EX-4.1 2 ea168006ex4-1aelumainc.htm SPECIMEN SHARE CERTIFICATE Exhibit 4.1 |
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| November 14, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2022 OR ☐ TRANSITION REPORT PURSUANT TO PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 000-56218 AELU |
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| October 25, 2022 |
Financial Statements and Exhibits, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): October 25, 2022 Aeluma, Inc. (Exact name of registrant as specified in its charter) Delaware 000-56218 85-2807351 (State or other jurisdiction of incorporation) (Commission File Numb |
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| October 25, 2022 |
Exhibit 99.1 Investor Presentation October 25, 2022 ? Aeluma, Inc. All Rights Reserved. Sensing Reimagined TM Forward Looking Statements ? Aeluma, Inc. All Rights Reserved. This presentation contains summary information about Aeluma, Inc . (?Aeluma?) as of the date hereof . The information in this presentation is of general background and contains an overview and summary of certain data selected b |
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| September 28, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-K (Mark One) ? ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended June 30, 2022 or ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period Commission file number 000-56218 Aeluma, Inc. (Exact name of |
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| July 29, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): July 29, 2022 Aeluma, Inc. (Exact name of registrant as specified in its charter) Delaware 000-56218 85-2807351 (State or other jurisdiction of incorporation) (Commission File Number) |
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| July 29, 2022 |
Aeluma, Inc. Announces Approval of Form 211 and Assignment of the Ticker Symbol “ALMU”. Exhibit 99.1 Aeluma, Inc. Announces Approval of Form 211 and Assignment of the Ticker Symbol ?ALMU?. GOLETA, CA ? July 29, 2022 - Aeluma, Inc. (the "Company"), a semiconductor company specializing in scalable, cost-effective sensor technologies for advanced LiDAR solutions, announced today that it has received notification from the Company?s market maker that the Financial Industry Regulatory Auth |
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| June 8, 2022 |
Exhibit 99.1 Investor Presentation June 8, 2022 Sensing Reimagined TM ? Aeluma, Inc. All Rights Reserved. Forward Looking Statements This presentation contains summary information about Aeluma, Inc . (?Aeluma?) as of the date hereof . The information in this presentation is of general background and contains an overview and summary of certain data selected by the management of Aeluma . It does not |
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| June 8, 2022 |
Financial Statements and Exhibits, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): June 8, 2022 Aeluma, Inc. (Exact name of registrant as specified in its charter) Delaware 000-56218 85-2807351 (State or other jurisdiction of incorporation) (Commission File Number) |
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| June 7, 2022 |
Submission of Matters to a Vote of Security Holders UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): June 6, 2022 Aeluma, Inc. (Exact name of registrant as specified in its charter) Delaware 000-56218 85-2807351 (State or other jurisdiction of incorporation) (Commission File Number) |
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| June 6, 2022 |
Aeluma, Inc. 11,010,002 shares of Common Stock 424B3 1 ea161126-424b3aeluma.htm PROSPECTUS SUPPLEMENT Filed Pursuant to Rule 424(b)(3) Registration No. 333-259179 Prospectus Supplement No. 2 Dated June 3, 2022 (To Prospectus Dated January 20, 2022) Aeluma, Inc. 11,010,002 shares of Common Stock This Prospectus Supplement No. 2 (the “Prospectus Supplement”) updates and supplements the prospectus of Aeluma, Inc., a Delaware corporation (the “Com |
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| May 25, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Schedule 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No.) Filed by the Registrant ? Filed by a party other than the Registrant ? Check the appropriate box: ? Preliminary Proxy Statement ? Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ? Defini |
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| May 16, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2022 OR ☐ TRANSITION REPORT PURSUANT TO PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 000-56218 AELUMA, |
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| February 16, 2022 |
Aeluma, Inc. 11,010,002 shares of Common Stock Filed Pursuant to Rule 424(b)(3) Registration No. 333-259179 Prospectus Supplement No. 1 Dated February 16, 2022 (To Prospectus Dated January 20, 2022) Aeluma, Inc. 11,010,002 shares of Common Stock This Prospectus Supplement No. 1 (the ?Prospectus Supplement?) updates and supplements the prospectus of Aeluma, Inc., a Delaware corporation (the ?Company,? ?we,? ?us,? or ?our?) dated January 20, 202 |
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| February 15, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended December 31, 2021 OR ? TRANSITION REPORT PURSUANT TO PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 000-56218 AELUM |
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| February 14, 2022 |
NT 10-Q 1 ea155633-nt10qaeluma.htm NOTIFICATION OF LATE FILING UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 12b-25 NOTIFICATION OF LATE FILING (Check One): ☐ Form10-K ☐ Form 20-F ☐ Form 11-K ☒ Form 10-Q ☐ Form 10-D ☐ Form N-SAR ☐ Form N-CSR For Period Ended: December 31, 2021 ☐ Transition Report on Form 10-K ☐ Transition Report on Form 20-F ☐ Transition Report on Fo |
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| February 14, 2022 |
Jacobs Ian Seth - AMENDMENT NO. 1 TO SCHEDULE 13G UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Schedule 13G/A (Amendment No. 1) Under the Securities Exchange Act of 1934 Aeluma, Inc. (Name of Issuer) Common Stock, par value $0.0001 per share (Title of Class of Securities) None (CUSIP Number) December 31, 2021 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant |
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| February 14, 2022 |
Tompkins Mark N. - AMENDMENT NO. 1 TO SCHEDULE 13G UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Schedule 13G/A (Amendment No. 1) Under the Securities Exchange Act of 1934 Aeluma, Inc. (Name of Issuer) Common Stock, par value $0.0001 per share (Title of Class of Securities) None (CUSIP Number) December 31, 2021 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant |
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| January 21, 2022 |
AELUMA, INC. 11,010,002 Shares of Common Stock 424B3 1 ea154226-424b3aelumainc.htm PROSPECTUS Filed Pursuant to Rule 424(b)(3) Registration No. 333-259179 PROSPECTUS AELUMA, INC. 11,010,002 Shares of Common Stock This prospectus relates to the resale, from time to time, by the selling stockholders identified in this prospectus under the caption “Selling Stockholders,” of up to 11,010,002 shares of Common Stock of Aeluma, Inc., a Delaware corpo |
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| January 14, 2022 |
Aeluma, Inc. 27 Castilian Drive Goleta, California 93117 CORRESP 1 filename1.htm Aeluma, Inc. 27 Castilian Drive Goleta, California 93117 January 14, 2022 Via Edgar Mr. Geoffrey Kruczek Division of Corporation Finance Office of Trade & Services U.S. Securities and Exchange Commission 100 F Street, NE Washington, D.C., 20549 Re: Aeluma, Inc. Registration Statement on Form S-1, as amended (File No. 333-259179) Request for Acceleration of Effectiveness Dea |
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| January 12, 2022 |
As filed with the Securities and Exchange Commission on January 12, 2022 As filed with the Securities and Exchange Commission on January 12, 2022 Registration No. |
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| December 21, 2021 |
Aeluma, Inc. December 21, 2021 Via Edgar Mr. Evan Ewing Division of Corporation Finance Office of Trade & Services U.S. Securities and Exchange Commission 100 F Street, NE Washington, D.C., 20549 Re: Aeluma, Inc. Amendment No. 2 to Registration Statement on Form S-1 Filed November 19, 2021 File No. 333-259179 (the “Registration Statement”) Dear Mr. Ewing: This letter is in response to the letter d |
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| November 30, 2021 |
Exhibit 10.1 INDEPENDENT DIRECTOR AGREEMENT OF AELUMA, INC. This INDEPENDENT DIRECTOR AGREEMENT (the ?Agreement?) is made and entered into as of December 1, 2021 (the ?Effective Date?), by and between AELUMA, INC., a Delaware corporation (the ?Company?), and John Paglia, a citizen of United States, with a permanent residence at [?] (the ?Independent Director?). WHEREAS, the Company desires to enga |
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| November 30, 2021 |
Exhibit 99.1 Aeluma, Inc. Appoints John Paglia to its Board of Directors - Paglia is a Senior Associate Dean and Professor of Finance at Pepperdine Graziadio Business School and a Board Member at Simulations Plus - GOLETA, CA, November 30, 2021 - Aeluma, Inc. (the “Company”), a semiconductor company specializing in sensors and communications, announced today that it has appointed John Paglia, PhD, |
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| November 30, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 30, 2021 Aeluma, Inc. (Exact name of registrant as specified in its charter) Delaware 000-56218 85-2807351 (State or other jurisdiction of incorporation) (Commission File Num |
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| November 19, 2021 |
As filed with the Securities and Exchange Commission on November 19, 2021 As filed with the Securities and Exchange Commission on November 19, 2021 Registration No. |
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| November 19, 2021 |
CORRESP 1 filename1.htm Aeluma, Inc. November 19, 2021 Via Edgar Mr. Ernest Greene Division of Corporation Finance Office of Trade & Services U.S. Securities and Exchange Commission 100 F Street, NE Washington, D.C., 20549 Re: Aeluma, Inc. Registration Statement on Form S-1 Filed October 15, 2021 File No. 333-259179 Dear Mr. Greene: This letter is in response to the letter dated October 28, 2021, |
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| November 18, 2021 |
EX-10.1 2 ea151007ex10-1aelumainc.htm INDEPENDENT DIRECTOR AGREEMENT BY AND BETWEEN THE COMPANY AND PALVI MEHTA Exhibit 10.1 INDEPENDENT DIRECTOR AGREEMENT OF AELUMA, INC. This INDEPENDENT DIRECTOR AGREEMENT (the “Agreement”) is made and entered into as of December 1, 2021 (the “Effective Date”), by and between AELUMA, INC., a Delaware corporation (the “Company”), and Palvi Mehta, a citizen of Uni |
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| November 18, 2021 |
Exhibit 99.1 Aeluma, Inc. Appoints Palvi Mehta, Pioneer Square Labs’ CFO and Operating Partner, to its Board of Directors GOLETA, CA, November 18, 2021 - Aeluma, Inc. (the “Company”), a semiconductor company specializing in sensors and communications, announced today that it has appointed Palvi Mehta as a new member of its board of directors, effective December 1, 2021. Commenting on the announcem |
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| November 18, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 18, 2021 Aeluma, Inc. (Exact name of registrant as specified in its charter) Delaware 000-56218 85-2807351 (State or other jurisdiction of incorporation) (Commission File Num |
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| November 15, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2021 OR ☐ TRANSITION REPORT PURSUANT TO PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 000-56218 AELU |
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| October 15, 2021 |
Exhibit 10.10 BIOND PHOTONICS INC. FORM OF RESTRICTED STOCK PURCHASE AGREEMENT This Agreement is made and entered into as of June 10, 2021 (the “Effective Date”) by and between Biond Photonics Inc. (the “Company”), a California corporation, and Steven P. DenBaars the “Purchaser”). 1. PURCHASE OF SHARES. On the Effective Date and subject to the terms and conditions of this Agreement, Purchaser here |
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| October 15, 2021 |
Exhibit 10.9 BIOND PHOTONICS INC RESTRICTED STOCK PURCHASE AGREEMENT This Agreement is made and entered into as of December, 2020 (the ?Effective Date?) by and between Biond Photonics Inc. (the ?Company?), a California corporation, and Steven P. DenBaars the ?Purchaser?). 1. PURCHASE OF SHARES. On the Effective Date and subject to the terms and conditions of this Agreement, Purchaser hereby purcha |
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| October 15, 2021 |
Aeluma, Inc. October 15, 2021 Via Edgar Mr. Ernest Greene Division of Corporation Finance Office of Trade & Services U.S. Securities and Exchange Commission 100 F Street, NE Washington, D.C., 20549 Re: Aeluma, Inc. Registration Statement on Form S-1 Filed August 30, 2021 File No. 333-259179 Dear Mr. Greene: This letter is in response to the letter dated September 24, 2021, from the staff (the “Sta |
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| October 15, 2021 |
Exhibit 10.11 BIOND PHOTONICS INC December 31, 2020 Steven B. DenBaars [Address] [Address] Re: Advisory Services to Biond Photonics Inc. Dear Steven: This letter agreement is to confirm our understanding with respect to your role as an advisor to Biond Photonics Inc. (the “Company”). On behalf of the Company, I would like to state that we are delighted by your interest in the Company and your will |
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| October 15, 2021 |
Exhibit 10.7 BIOND PHOTONICS INC. FOUNDER?S RESTRICTED STOCK PURCHASE AGREEMENT This Agreement is made and entered into as of October 27, 2020 (the ?Effective Date?) by and between Biond Photonics Inc. (the ?Company?), a California corporation, and Jonathan Klamkin the ?Purchaser?). 1. PURCHASE OF SHARES. On the Effective Date and subject to the terms and conditions of this Agreement, Purchaser he |
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| October 15, 2021 |
EX-10.12 8 ea148824ex10-12aelumainc.htm ADVISORY AGREEMENT BETWEEN BIOND PHOTONICS, INC. AND MR. DENBAARS, DATED JUNE 10, 2021 Exhibit 10.12 BIOND PHOTONICS INC June 10, 2021 Steven DenBaars [Address] [Address] Re: Advisory Services Agreement with Biond Photonics Inc. Dear Steven: This letter agreement is to confirm our understanding with respect to your role as a business advisor to Biond Photoni |
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| October 15, 2021 |
As filed with the Securities and Exchange Commission on October 15, 2021 As filed with the Securities and Exchange Commission on October 15, 2021 Registration No. |
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| October 15, 2021 |
Exhibit 10.8 BIOND PHOTONICS INC. FOUNDER’S RESTRICTED STOCK PURCHASE AGREEMENT This Agreement is made and entered into as of October 27, 2020 (the “Effective Date”) by and between Biond Photonics Inc. (the “Company”), a California corporation, and Lee McCarthy the “Purchaser”). 1. PURCHASE OF SHARES. On the Effective Date and subject to the terms and conditions of this Agreement, Purchaser hereby |
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| September 27, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-K (Mark One) ? ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended or ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from January 1, 2021 to June 30, 2021 Commission file number 000-56218 Ael |
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| August 30, 2021 |
As filed with the Securities and Exchange Commission on August 30, 2021 As filed with the Securities and Exchange Commission on August 30, 2021 Registration No. |
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| August 23, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2021 OR ? TRANSITION REPORT PURSUANT TO PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 333-146316 AELUMA, |
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| August 19, 2021 |
8-K 1 ea146171-8kaelumainc.htm CURRENT REPORT UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 19, 2021 Aeluma, Inc. (Exact name of registrant as specified in its charter) Delaware 000-56218 85-2807351 (State or other jurisdi |
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| August 16, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 12b-25 NOTIFICATION OF LATE FILING OMB APPROVAL OMB Number: 3235-0058 Estimated average burden hours per response ... 2.50 SEC FILE NUMBER CUSIP NUMBER - (Check one): o Form 10-K o Form 20-F o Form 11-K x Form 10-Q o Form 10-D o Form N-CEN o Form N-CSR For Period Ended: June 30, 2021 o Transition Report on Form 10-K o Tra |
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| July 9, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): July 9, 2021 (June 30, 2021) Aeluma, Inc. (Exact name of registrant as specified in its charter) Delaware 000-56218 85-2807351 (State or other jurisdiction of incorporation) (Commissi |
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| July 1, 2021 |
Entry into a Material Definitive Agreement, Changes in Registrant's Certifying Accountant 8-K/A 1 ea143654-8ka1aeluma.htm AMENDMENT NO. 1 TO FORM 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K/A Amendment No. 1 CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): July 1, 2021 (June 22, 2021) Aeluma, Inc. (Exact name of registrant as specified in its charter) Delaware |
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| July 1, 2021 |
Exhibit 16.1 June 28, 2021 Securities and Exchange Commission 100 F Street NE Washington, D.C. 20549 Ladies and Gentlemen: We have read the section under the heading ?Changes in Registrant?s Certifying Accountant? included in the Form 8-K of Aeluma, Inc. to be filed on or about June 28, 2021 and agree with the statements contained therein as they relate to our firm. We have no basis to agree or di |
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| June 30, 2021 |
Klamkin Jonathan - SCHEDULE 13D Securities and Exchange Commission, Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 AELUMA, INC. (Name of Issuer) Common Stock, $0.0001 par value (Title of Class of Securities) N/A (CUSIP Number) Jonathan Klamkin 27 Castilian Drive Goleta, California 93117 805-351-2707 (Name, Address and Telephone Number of Person Authorized to Receive Notices and Communications) June |
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| June 30, 2021 |
Securities and Exchange Commission, Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 AELUMA, INC. (Name of Issuer) Common Stock, $0.0001 par value (Title of Class of Securities) N/A (CUSIP Number) Lee McCarthy 27 Castilian Drive Goleta, California 93117 805-351-2707 (Name, Address and Telephone Number of Person Authorized to Receive Notices and Communications) June 22, |
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| June 28, 2021 |
EX-21.1 13 ea143207ex21-1aeluma.htm SUBSIDIARIES OF THE REGISTRANT Exhibit 21.1 Subsidiaries of the Registrant Aeluma Operating Co., a corporation formed in the State of Delaware |
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| June 28, 2021 |
2021 Equity Incentive Plan and form of award agreements** EX-10.6 12 ea143207ex10-6aeluma.htm 2021 EQUITY INCENTIVE PLAN AND FORM OF AWARD AGREEMENTS Exhibit 10.6 AELUMA, INC. 2021 EQUITY INCENTIVE PLAN SECTION 1. PURPOSE The purposes of this Equity Incentive Plan (the “Plan”) are to encourage selected employees, officers, directors and consultants of Aeluma, Inc. (together with any successor thereto, the “Company”) and its Affiliates (as defined below) |
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| June 28, 2021 |
Exhibit 4.1 LOCK-UP AGREEMENT This LOCK-UP AGREEMENT (this “Agreement”) is made as of June [●], 2021, by and between the undersigned person or entity (the “Restricted Holder”) and Aeluma, Inc. (formerly known as Parc Investments, Inc.), a Delaware corporation (the “Parent”). Capitalized terms used and not otherwise defined herein shall have the meanings given to such terms in the Merger Agreement |
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| June 28, 2021 |
Amended and Restated Bylaws.** EX-3.3 5 ea143207ex3-3aeluma.htm AMENDED AND RESTATED BYLAWS Exhibit 3.3 AMENDED AND RESTATED BYLAWS OF AELUMA, INC. (effective as of June 22, 2021) TABLE OF CONTENTS Page ARTICLE I - CORPORATE OFFICES 1 1.1 REGISTERED OFFICE 1 1.2 OTHER OFFICES 1 ARTICLE II - MEETINGS OF STOCKHOLDERS 1 2.1 PLACE OF MEETINGS 1 2.2 ANNUAL MEETING 1 2.3 SPECIAL MEETING 1 2.4 ADVANCE NOTICE PROCEDURES 2 2.5 NOTICE OF |
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| June 28, 2021 |
Exhibit 3.1 Delaware The First State Page 1 I, JEFFREY W. BULLOCK, SECRETARY OF STATE OF THE STATE OF DELAWARE, DO HEREBY CERTIFY THE ATTACHED IS A TRUE AND CORRECT COPY OF THE CERTIFICATE OF MERGER, WHICH MERGES: ?BIOND PHOTONICS, INC.?, A CALIFORNIA CORPORATION, WITH AND INTO ?AELUMA OPERATING CO.? UNDER THE NAME OF ?AELUMA OPERATING CO.?, A CORPORATION ORGANIZED AND EXISTING UNDER THE LAWS OF T |
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| June 28, 2021 |
Exhibit 2.1 AGREEMENT AND PLAN OF MERGER AND REORGANIZATION among PARC INVESTMENTS INC., a Delaware corporation AELUMA OPERATING CO., a Delaware corporation and BIOND PHOTONICS, INC. (d.b.a. ?Aeluma?), a California corporation June 22, 2021 TABLE OF CONTENTS Page ARTICLE I. THE MERGER 3 1.1 The Merger 3 1.2 The Closing. 3 1.3 Actions at the Closing. 3 1.4 Additional Actions. 4 1.5 Conversion of Co |
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| June 28, 2021 |
EX-10.4 10 ea143207ex10-4aeluma.htm FORM OF SUBSCRIPTION AGREEMENT, DATED JUNE 22, 2021, BY AND BETWEEN THE COMPANY AND THE PARTIES THERETO Exhibit 10.4 SUBSCRIPTION AGREEMENT This Subscription Agreement (this “Agreement”) has been entered into by and between the purchaser set forth on the Omnibus Signature Page hereof (the “Purchaser”) and Parc Investments, Inc. (to be renamed “Aeluma, Inc.” upon |
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| June 28, 2021 |
UNAUDITED PRO FORMA COMBINED FINANCIAL INFORMATION Exhibit 99.3 UNAUDITED PRO FORMA COMBINED FINANCIAL INFORMATION Capitalized terms used but not defined in this Exhibit 99.3 shall have the meanings ascribed to them in the Current Report on Form 8-K (the “Form 8-K”) filed with the Securities and Exchange Commission (the “SEC”) on June 28, 2021, of which this Exhibit 99.3 forms a part and, if not defined in the Form 8-K. Introduction The unaudited |
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| June 28, 2021 |
Exhibit 3.2 AMENDED AND RESTATED CERTIFICATE OF INCORPORATION OF AELUMA, INC. Aeluma, Inc., a corporation organized and existing under the laws of the State of Delaware (the ?Company?), does hereby certify as follows: A. The name of the Company is Aeluma, Inc. The Company was originally incorporated pursuant to the General Corporation Law of the State of Delaware (?DGCL?) on August 21, 2020 under |
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| June 28, 2021 |
Exhibit 10.5 FORM OF REGISTRATION RIGHTS AGREEMENT This Registration Rights Agreement (this “Agreement”) is made and entered into effective as of , 2021 among Aeluma, Inc., a Delaware corporation (f.k.a. Parc Investments, Inc.) (the “Company”), the persons who have purchased the Offering Shares (as defined below) and have executed omnibus or counterpart signature page(s) hereto (each, a “Purchaser |
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| June 28, 2021 |
8-K 1 ea143207-8kaelumainc.htm CURRENT REPORT UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): June 22, 2021 Aeluma, Inc. (Exact name of registrant as specified in its charter) Delaware 000-56218 85-1083654 (State or other jurisdict |
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| June 28, 2021 |
Form of Post-Merger Indemnification Agreement** EX-10.2 8 ea143207ex10-2aeluma.htm FORM OF POST-MERGER INDEMNIFICATION AGREEMENT Exhibit 10.2 INDEMNITY AGREEMENT This Indemnity Agreement dated as of May , 2021 is made by and between Aeluma, Inc., a Delaware corporation (the “Company”), and [NAME], a director and officer of the Company (“Indemnitee”). RECITALS A. The Company is aware that competent and experienced persons are increasingly reluct |
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| June 28, 2021 |
Form of Placement Agent Warrant** EX-4.2 7 ea143207ex4-2aeluma.htm FORM OF PLACEMENT AGENT WARRANT Exhibit 4.2 THIS WARRANT AND THE SECURITIES ISSUABLE UPON THE EXERCISE HEREOF HAVE NOT BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933, AS AMENDED. THEY MAY NOT BE SOLD, OFFERED FOR SALE, PLEDGED, HYPOTHECATED OR OTHERWISE TRANSFERRED EXCEPT PURSUANT TO AN EFFECTIVE REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933, AS AMENDED |
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| June 28, 2021 |
Form of Pre-Merger Indemnification Agreement** Exhibit 10.3 INDEMNITY AGREEMENT This Indemnity Agreement (the ?Agreement?), dated as of , 2021, is entered into by and among Parc Investments, Inc., a Delaware corporation (the ?Parent?), Aeluma Operating Co., a Delaware corporation (?Acquisition Subsidiary? and together with the Parent, the ?Companies?), and the undersigned Indemnitee (the ?Indemnitee?). W I T N E S S E T H: WHEREAS, Indemnitee |
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| June 28, 2021 |
Biond Photonics, Inc. Balance Sheets Exhibit 99.2 Biond Photonics, Inc. Balance Sheets March 31, 2021 December 31, 2020 (Unaudited) ASSETS Current Assets Cash $ 158,454 $ 38,302 Total Current Assets 158,454 38,302 Property and Equipment 119,344 115,888 Deposits 80,865 - Total Assets $ 358,663 $ 154,190 LIABILITIES AND STOCKHOLDERS’ EQUITY (DEFICIT) Current Liabilities Accounts Payable $ 3,456 $ 2,886 Accrued expenses 21,571 8,407 Adv |
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| June 28, 2021 |
Biond Photonics, Inc. Balance Sheets Exhibit 99.1 To the Board of Directors and Stockholders Biond Photonics, Inc. Opinion on the Financial Statements We have audited the accompanying balance sheets of Biond Photonics, Inc. (the Company) as of December 31, 2020 and 2019, and the related statements of operations, stockholders? equity, and cash flows for the year ended December 31, 2020 and for the period from February 28, 2019 (incept |
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| June 11, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 14F-1 INFORMATION STATEMENT PURSUANT TO SECTION 14(f) OF THE SECURITIES EXCHANGE ACT OF 1934 AND RULE 14f-1 THEREUNDER parc investments, inc. (Exact name of Registrant as specified in its charter) Delaware 000- 56218 85-1083654 (State or other jurisdiction of incorporation or organization) (Commission File Number) (IR |
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| May 17, 2021 |
10-Q 1 f10q0321parcinvest.htm QUARTERLY REPORT UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2021 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from |
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| March 31, 2021 |
10-K 1 f10k2020parcinvestments.htm ANNUAL REPORT UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K (Mark One) ☒ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2020 or ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to |
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| February 16, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Schedule 13G Under the Securities Exchange Act of 1934 Parc Investments, Inc. (Name of Issuer) Common Stock, par value $0.0001 per share (Title of Class of Securities) N/A (CUSIP Number) December 31, 2020 (Date of Event which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which t |
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| February 16, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Schedule 13G Under the Securities Exchange Act of 1934 Parc Investments, Inc. (Name of Issuer) Common Stock, par value $0.0001 per share (Title of Class of Securities) N/A (CUSIP Number) December 31, 2020 (Date of Event which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which t |
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| October 21, 2020 |
Exhibit 3.2 BY-LAWS OF PARC INVESTMENTS, INC. (a Delaware corporation) ARTICLE I STOCKHOLDERS Section 1. Certificates Representing Stock. (a) Certificates representing stock in the corporation shall be signed by, or in the name of, the corporation by the Chairman or Vice Chairman of the Board of Directors, if any, or by the President or a Vice-President and by the Treasurer or an Assistant Treasur |
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| October 21, 2020 |
Common Stock Purchase Agreement by and between the Company and Mark Tompkins, dated August 21, 2020 Exhibit 10.2 COMMON STOCK PURCHASE AGREEMENT AGREEMENT (this “Agreement”) entered into as of the 21st day of August, 2020, by and between Parc Investments, Inc., a Delaware corporation (the “Company”), and Mark Tompkins, an individual (the “Purchaser”). WHEREAS, the Purchaser desires to purchase, and the Company desires to sell, an aggregate of 4,750,000 shares (the “Shares”) of the Company’s comm |
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| October 21, 2020 |
- GENERAL FORM FOR REGISTRATION OF SECURITIES UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10 GENERAL FORM FOR REGISTRATION OF SECURITIES Pursuant to Section 12(b) or (g) of The Securities Exchange Act of 1934 Parc Investments, Inc. (Exact name of registrant as specified in its charter) Delaware 85-1083654 (State or other jurisdiction of incorporation or organization) (I.R.S. Employer Identification No.) 2255 G |
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| October 21, 2020 |
Common Stock Purchase Agreement by and between the Company and Ian Jacobs, dated August 21, 2020 Exhibit 10.3 COMMON STOCK PURCHASE AGREEMENT AGREEMENT (this “Agreement”) entered into as of the 21st day of August, 2020, by and between Parc Investments, Inc., a Delaware corporation (the “Company”), and Ian Jacobs, an individual (the “Purchaser”). WHEREAS, the Purchaser desires to purchase, and the Company desires to sell, an aggregate of 250,000 shares (the “Shares”) of the Company’s common st |
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| October 21, 2020 |
Exhibit 3.1 State of Delaware Secretary of State Division of Corporations Delivered 03:08 PM 08/21/2020 FILED 03:08 PM 08/21/2020 SR 20206878009 - File Number 3500722 CERTIFICATE OF INCORPORATION OF PARC INVESTMENTS, INC. (Pursuant to Section 102 of the Delaware General Corporation Law) 1. The name of the corporation is Parc Investments, Inc. (the “Corporation”). 2. The address of its registered o |
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| October 21, 2020 |
Promissory Note issued by the Company to Mark Tompkins, dated August 21, 2020 Exhibit 10.1 PROMISSORY NOTE Dated: August 21, 2020 FOR VALUE RECEIVED, and intending to be legally bound, Parc Investments Inc., a Delaware corporation (the “Maker”), with an address at 2255 Glades Road, Suite 324A, Boca Raton, Florida 33431, hereby unconditionally and irrevocably promises to pay to the order of Mark Tompkins, an individual (the “Payee”) with an address at Apt. 1, Via Guidino 23, |
