IPO - Aeluma, Inc.

Form Type: 8-K

Filing Date: 2025-03-28

Corporate Action: Ipo

Type: New

Accession Number: 000101376225004217

Filing Summary: On March 26, 2025, Aeluma, Inc. entered into an Underwriting Agreement with Craig-Hallum Capital Group LLC for a public offering of 2,285,714 shares of common stock at a price of $5.25 per share. The Underwriter was granted an option to purchase an additional 342,857 shares, which was exercised in full. The Offering closed on March 28, 2025, generating approximately $13.8 million in gross proceeds, with net proceeds of about $12.7 million earmarked for business development, manufacturing advancements, and general working capital. The underwriter will receive a 7.0% discount and warrants for 5.0% of the shares sold. A lock-up agreement prevents officers and directors from selling shares for 90 days post-offering. The common stock, previously quoted on the OTCQB, was approved for trading on the Nasdaq Capital Market also on March 27, 2025.

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Form Type: 424B4

Filing Date: 2025-03-27

Corporate Action: Ipo

Type: New

Accession Number: 000101376225003468

Filing Summary: Aeluma, Inc. is conducting a firm commitment underwritten public offering of 2,285,714 shares of common stock at a public offering price of $5.25 per share, along with issuing underwriter warrants for 114,285 shares and including the resale of 898,573 shares of common stock previously issued through convertible notes. The offering is part of a strategy to list its shares on the Nasdaq Capital Market under the symbol "ALMU," commencing trading on March 27, 2025. The document outlines financial details surrounding the offering, including proceeds to the company being an estimated $10,876,000, which will be utilized for business development, manufacturing advancements, and general working capital. Aeluma aims to position itself in high-performance semiconductor markets, focusing on technology applications in various sectors. The company emphasizes a high-risk investment profile due to its current unprofitability and early-stage development in the complex semiconductor industry. Additionally, the document details various risk factors that potential investors should consider, reflecting challenges related to competition, manufacturing dependencies, and regulatory measures that could impact the company's operations and stock performance.

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Form Type: CORRESP

Filing Date: 2025-03-25

Corporate Action: Ipo

Type: New

Accession Number: 000101376225001950

Filing Summary: Aeluma, Inc. is requesting the Securities and Exchange Commission to declare its Registration Statement on Form S-1 effective on March 25, 2025, at 4:30 p.m. Eastern Time. The request is made by Craig-Hallum Capital Group LLC, acting as the sole underwriter, and is in compliance with Rule 461 under the Securities Act of 1933. The company has also committed to ensuring the adequate distribution of the preliminary prospectus prior to this effective time, in accordance with the requirements under the Securities Exchange Act of 1934.

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Form Type: CORRESP

Filing Date: 2025-03-25

Corporate Action: Ipo

Type: New

Accession Number: 000101376225001951

Filing Summary: Aeluma, Inc. submitted a request for the acceleration of the effectiveness of its Registration Statement on Form S-1 (File No. 333-285469) to the U.S. Securities and Exchange Commission. The company has requested that the statement become effective at 4:30 p.m. Eastern Time on March 25, 2025. This marks a significant step towards the company’s initial public offering (IPO). The request was communicated by Jonathan Klamkin, the Chief Executive Officer and Director of Aeluma, Inc.

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Form Type: CORRESP

Filing Date: 2025-03-21

Corporate Action: Ipo

Type: New

Accession Number: 000101376225001034

Filing Summary: Aeluma, Inc. has filed a request for the acceleration of the effective date of their Registration Statement on Form S-1 (File No. 333-285469). This request is to have the registration statement declared effective on March 25, 2025, at 4:30 P.M. Eastern Time. The request is made by Craig-Hallum Capital Group LLC as the sole underwriter, who has also committed to taking reasonable steps to ensure adequate distribution of the preliminary prospectus prior to the effective time.

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Form Type: CORRESP

Filing Date: 2025-03-21

Corporate Action: Ipo

Type: New

Accession Number: 000101376225001134

Filing Summary: Aeluma, Inc., represented by its sole underwriter Craig-Hallum Capital Group LLC, has submitted a request to the Securities and Exchange Commission (SEC) for the acceleration of the effectiveness of its Registration Statement on Form S-1 (File No. 333-285469). The requested effective date is March 25, 2025, at 4:30 p.m. Eastern Time. This request is made under Rule 461 of the Securities Act of 1933. In compliance with Rule 460, the underwriter plans to ensure adequate distribution of the preliminary prospectus prior to the requested effective time. This document signifies Aeluma, Inc.'s intention to proceed with its initial public offering and illustrates the necessary coordination with SEC regulations surrounding the process.

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Form Type: S-1/A

Filing Date: 2025-03-20

Corporate Action: Ipo

Type: New

Accession Number: 000121390025025255

Filing Summary: Aeluma, Inc. is filing a pre-effective amendment to its S-1 registration statement under the Securities Act of 1933 for a public offering of 1,391,304 shares of common stock. The offering price is anticipated to range between $5.25 and $6.25 per share, with an initial assumed price of $5.75. This registration also includes the resale of 898,573 shares of common stock underlying convertible notes issued in 2024. The company aims to list its common stock on NASDAQ under the symbol 'ALMU' and has indicated this offering is aimed at commencing as soon as the registration statement is declared effective. Aeluma operates from Goleta, California and specializes in developing optoelectronic and semiconductor technologies, with a focus on scalability and cost-effectiveness in high-tech applications. Significant risks are associated with the company's business and market conditions, posing potential adverse effects on sales and financial performance.

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Form Type: S-1

Filing Date: 2025-02-28

Corporate Action: Ipo

Type: New

Accession Number: 000121390025018848

Filing Summary: Aeluma, Inc. has filed a registration statement under the Securities Act of 1933 to conduct an underwritten public offering of common stock. The document outlines the company's business operations focusing on developing optoelectronic and electronic devices for various applications, including mobile, automotive, and artificial intelligence. The prospective offering will include shares of common stock and warrants underwritten by Craig-Hallum Capital Group LLC. The price range for the shares is not yet determined, with an assumption made based on market conditions. The company intends to list its shares on NASDAQ under the symbol 'ALMU' post-offering. Key points include the company's recent private financings, the historical merger with Biond Photonics, and the desire to scale their technology to mass markets. Aeluma faces various risks including competition from larger tech companies, unproven profitability, and the complexities involved in the semiconductor sector.

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