Aeluma, Inc.
For the period ended Jun 30, 2026. Filed Sep 16, 2026.
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A company's yearly report to the SEC, with audited financial statements. It is the fullest account a company gives of its business, its finances and the risks it sees.
FY2026 · Filed Sep 16, 2026
ALMU$7.35-1.6%Stored close · as of Nov 10, 2026
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Item 15. Exhibit and Financial Statement Schedules
(a)Financial Statements
We have filed the financial statements in Item 8. Financial Statements and Supplementary Data as a part of this report on Form 10-K.
(b)Exhibits
The following is a list of all exhibits filed or incorporated by reference as part of this report on Form 10-K.
| Exhibit No. | Description |
| 3.1 | Amended and Restated Certificate of Incorporation, filed June 22, 2021 (incorporated by reference to Exhibit 3.2 to Current Report on Form 8-K filed June 28, 2021) |
| 3.2 | Amended and Restated Bylaws (incorporated by reference to Exhibit 3.3 to Current Report on Form 8-K filed June 28, 2021) |
| 4.1 | Description of Securities (incorporated by reference to Annual Report on Form 10-K for the period ended June 30, 2023) |
| 4.2 | Form of Placement Agent Warrant (incorporated by reference to Exhibit 4.2 to Current Report on Form 8-K filed June 28, 2021) |
| 10.1 | Form of Post-Merger Indemnification Agreement (incorporated by reference to Exhibit 10.2 to Current Report on Form 8-K filed June 28, 2021) |
| 10.2 | Registration Rights Agreement, dated June 22, 2021 (incorporated by reference to Exhibit 10.5 to Current Report on Form 8-K filed June 28, 2021) |
| 10.3+ | 2021 Equity Incentive Plan and form of award agreements (incorporated by reference to Exhibit 10.6 to Current Report on Form 8-K filed June 28, 2021) |
| 10.4+ | Form of Non-Qualified Option to Purchase Common Stock under 2021 Equity Incentive Plan (incorporated by reference to Exhibit 10.3 to Current Report on Form 8-K filed February 26, 2025) |
| 10.5+ | Form of Restricted Stock Unit Award Agreement for Employees under 2021 Equity Incentive Plan |
| 10.6+ | Form of Restricted Stock Unit Award Agreement for Non-Employee Directors under 2021 Equity Incentive Plan |
| 10.7+ | Form of Non-Qualified Stock Option Award Agreement for Employees under 2021 Equity Incentive Plan |
| 10.8+ | Form of Non-Qualified Stock Option Award Agreement for Directors and Consultants under 2021 Equity Incentive Plan |
| 10.9 | Employment Agreement dated August 4, 2025 with Christopher Stewart (incorporated by reference to Exhibit 10.1 to Current Report on Form 8-K filed August 8, 2025) |
| 10.10 | Sales Agreement dated as of March 20, 2026 (incorporated by reference to Exhibit 1.1 to Current Report on Form 8-K filed March 20, 2026) |
| 19.1 | Insider Trading Policy |
| 23.1 | Consent of Registered Public Accounting Firm |
| 24.1 | Powers of Attorney |
| 31.1 | Certification of Chief Executive Officer Pursuant to Section 302 of Sarbanes-Oxley Act of 2002 |
| 31.2 | Certification of Principal Financial Officer Pursuant to Section 302 of Sarbanes-Oxley Act of 2002 |
| 32.1* | Certification of Chief Executive Officer Pursuant to Section 906 of Sarbanes-Oxley Act of 2002 |
| 32.2* | Certification of Principal Financial Officer Pursuant to Section 906 of Sarbanes-Oxley Act of 2002 |
| 97.1 | Policy Relating to Recovery of Erroneously Awarded Compensation (incorporated by reference to Exhibit 97.1 to Annual Report on Form 10-K for period ended June 30, 2024) |
| 101.INS | Inline XBRL Instance Document |
| 101.SCH | Inline XBRL Taxonomy Extension Schema Document |
| 101.CAL | Inline XBRL Taxonomy Extension Calculation Linkbase Document |
| 101.DEF | Inline XBRL Taxonomy Extension Definition Linkbase Document |
| 101.LAB | Inline XBRL Taxonomy Extension Label Linkbase Document |
| 101.PRE | Inline XBRL Taxonomy Extension Presentation Linkbase Document |
| 104 | Cover Page Interactive Data File (formatted as Inline XBRL and contained in Exhibit 101) |
| + | Management compensatory plan, contract, or arrangement. |
| * | Furnished and not filed for purposes of Section 18 of the Exchange Act. |
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