Aeluma Inc has 6 Schedule 13D or 13G filings on record since 2025-11-14. 2 holders' latest filing reports 5% or more of common stock. Each figure below is the holder's own, as filed, with the filing linked.
Holders
| Holder | Percent | Shares | Latest | Event date |
|---|---|---|---|---|
| Perry George Herbert | 5.6% | 1,000,000 | SCHEDULE 13G, 2026-03-31 | 2026-03-30 |
| BlackRock, Inc. | 5.3% | 963,791 | SCHEDULE 13G, 2026-07-27 | 2026-06-30 |
| Mark N. Tompkins | 4.83% | 885,000 | SCHEDULE 13G/A, 2026-05-15 | 2026-03-31 |
| Lee McCarthy | 1.5% | 270,064 | SCHEDULE 13D/A, 2026-01-02 | 2024-08-01 |
Purpose of Transaction (Item 4)
Lee McCarthy
Since Mr. McCarthy filed Schedule 13D on June 30, 2021, he has not acquired any shares of Common Stock. He started selling shares of Common Stock on August 1, 2024, as set forth below, and as of March 30, 2025, beneficially owned 743,425 shares of the Issuer, representing approximately 4.7% of the outstanding shares following the Issuer engaging in a firm commitment underwriting for the sale of 2,285,714 shares of its common stock and an uplisting to the Nasdaq Capital Market. Date Action Price ($1)1 Quantity Percent of holdings 8/1/2024 - 8/5/2024 Sale 3.07 10352 -1.1% 8/14/24 Donation - Transfer 2.93 10000 -1.0% shares to charity 8/23/24 - 9/5/2024 Sale 2.93 1500 -0.2% 9/9/24 Donation - Transfer 2.82 10000 -1.1% shares to charity 9/20/24 - 9/23/24 Sale 3.28 12500 -1.3% 9/26/2024 - 10/18/2024 Sale 3.15 11655 -1.3% 10/22/2024 - 11/8/2024 …The first part of Item 4 of the SCHEDULE 13D/A filed 2026-01-02; the filing has the rest
Timeline
| Filed | Holder | Percent | Filing |
|---|---|---|---|
| 2025-11-14 | Mark N. Tompkins | 15.99% | SCHEDULE 13G/A |
| 2026-01-02 | Lee McCarthy | 1.5% | SCHEDULE 13D/A |
| 2026-02-17 | Mark N. Tompkins | 11.34% | SCHEDULE 13G/A |
| 2026-03-31 | Perry George Herbert | 5.6% | SCHEDULE 13G |
| 2026-05-15 | Mark N. Tompkins | 4.83% | SCHEDULE 13G/A |
| 2026-07-27 | BlackRock, Inc. | 5.3% | SCHEDULE 13G |
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Where this comes from
Anyone who comes to own more than 5% of a class of a listed company's voting shares has to tell the SEC. A holder who may seek to change or influence the company files Schedule 13D, and has to say in Item 4, "Purpose of Transaction", what it intends to do. A holder with no such intent, such as many index and passive funds, may file the shorter Schedule 13G. Both are amended when the stake changes, including when it falls below 5%.
Every row here is one of those filings, linked to the filing itself. Percentages and share counts are exactly as the holder filed them, for the holder the filing names; an amendment showing a lower figure is shown as filed. Item 4 text is quoted word for word. Where a 13D's Item 4 contains a sentence stating a definite intent to influence the company, that sentence is marked and quoted; the page does not describe the holder or its motives beyond the words it filed. Nothing here is investment advice.