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Material updates from SEC filings (8-K, 10-Q, 10-K) ranked by impact, with no firehose noise.
of Form 8-K, including Exhibit 99.1, is being furnished and shall not be deemed to be “filed” for the purposes of Section 18 of the Securities Exchange Act of 1934, as amended (the “Exchange Act”), or otherwise subject to the liabilities of such section, nor shall such information be deemed incorporated by reference in any filing under the Securities Act of 1933, as amended, or the Exchange Act, except as shall be expressly set forth by specific reference in such filing.
Entry into a Material Definitive Agreement. On March 20, 2026, Aeluma, Inc. (the “Company”), entered into a Sales Agreement (the “Agreement”) with Roth Capital Partners, LLC, as representative of the agents (the “Representative”), Craig-Hallum Capital Group LLC, Northland Securities, Inc. and The Benchmark Company, LLC (collectively, the “Agents”). Pursuant to the terms of the Agreement, the Company may sell from time to time to or through the Agents shares of the Company’s common stock, par…
of Form 8-K, including Exhibit 99.1, is being furnished and shall not be deemed to be “filed” for the purposes of Section 18 of the Securities Exchange Act of 1934, as amended (the “Exchange Act”), or otherwise subject to the liabilities of such section, nor shall such information be deemed incorporated by reference in any filing under the Securities Act of 1933, as amended, or the Exchange Act, except as shall be expressly set forth by specific reference in such filing.
of Form 8-K, including Exhibit 99.1, is being furnished and shall not be deemed to be “filed” for the purposes of Section 18 of the Securities Exchange Act of 1934, as amended (the “Exchange Act”), or otherwise subject to the liabilities of such section, nor shall such information be deemed incorporated by reference in any filing under the Securities Act of 1933, as amended, or the Exchange Act, except as shall be expressly set forth by specific reference in such filing.
Entry into a Material Definitive Agreement. On September 17, 2025, Aeluma, Inc. (the “Company”) entered into an underwriting agreement (the “Underwriting Agreement”) with Craig-Hallum Capital Group LLC, as the representative of the several underwriters named therein (the “Underwriters”), relating to the issuance and sale by the Company of 1,700,000 shares of the Company’s common stock, par value $0.0001 per share (the “Common Stock”) in its previously announced public offering (the “Offering”…
of Form 8-K, including Exhibit 99.1, is being furnished and shall not be deemed to be “filed” for the purposes of Section 18 of the Securities Exchange Act of 1934, as amended (the “Exchange Act”), or otherwise subject to the liabilities of such section, nor shall such information be deemed incorporated by reference in any filing under the Securities Act of 1933, as amended, or the Exchange Act, except as shall be expressly set forth by specific reference in such filing.
Departure of Directors or Principal Officers; Election of Directors; Appointment of Principal Officers As of August 4, 2025, Aeluma, Inc. (the “Company”), has appointed Christopher Stewart (“Stewart”) as its full time Chief Financial Officer (CFO)/Principal Accounting Officer, taking over for Mr. James Seo (“Seo”) who was serving as interim CFO/Principal Accounting Officer. There are no family relationships between Stewart, Seo, and any of the Company’s directors or other executive officers.…
of Form 8-K, including Exhibit 99.1, is being furnished and shall not be deemed to be “filed” for the purposes of Section 18 of the Securities Exchange Act of 1934, as amended (the “Exchange Act”), or otherwise subject to the liabilities of such section, nor shall such information be deemed incorporated by reference in any filing under the Securities Act of 1933, as amended, or the Exchange Act, except as shall be expressly set forth by specific reference in such filing.
Entry Into a Material Definitive Agreement On March 26, 2025, Aeluma, Inc. (the “Company”) entered into an Underwriting Agreement (the “Underwriting Agreement”) with Craig-Hallum Capital Group LLC, (the “Underwriter”), relating to the public offering (the “Offering”) of 2,285,714 shares of common stock, par value $0.0001 per share, of the Company (the “Shares”), at a public offering price of $5.25 per share. In addition, the Company granted the Underwriter an option to purchase up to an addit…
Departure of Directors or Principal Officers; Election of Directors; Appointment of Principal Officers As of March 18, 2025, Mr. James Seo agreed to serve as Aeluma, Inc.’s (the “Company”) interim Chief Financial Officer/Principal Accounting Officer until the Company hires a full-time CFO. Mr. Seo has been serving as the Company’s Controller since May 2023. There are no family relationships between Mr. Seo and any of the Company’s directors or other executive officer s. There is no arrangemen…
Departure of Directors or Principal Officers; Election of Directors; Appointment of Principal Officers As permitted by Aeluma, Inc.’s (the “Company”), Bylaws, the Company’s Board of Directors approved an increase in the number of directors from four (4) to five (5) members and increased Class II of the Board from one (1) to two (2) members; on February 24, 2025, the Board elected Michael Byron (the “New Director”) to fill the vacancy. The New Director will be a Class II Director with a term e…
of Form 8-K, including Exhibit 99.1, is being furnished and shall not be deemed to be “filed” for the purposes of Section 18 of the Securities Exchange Act of 1934, as amended (the “Exchange Act”), or otherwise subject to the liabilities of such section, nor shall such information be deemed incorporated by reference in any filing under the Securities Act of 1933, as amended, or the Exchange Act, except as shall be expressly set forth by specific reference in such filing.
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