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SCHEDULE Filed 2026-01-02 Event 2024-08-01 SEC 0001213900-26-000508 →

McCarthy Lee Aeluma, Inc. ALMU

Stake: 1.50% Shares: 270,064 CUSIP: 00776X109 Class: Common Stock, $0.0001 par value

Item 4 — Purpose of Transaction

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 Sale 3.12 7993 -0.9% 11/20/24 Donation - Transfer 3.30 10000 -1.1% shares to charity 12/13/25 Sale 5.21 8000 -0.9% 12/18/2024 - 12/19/2024 Sale 9.26 8980 -1.0% 12/23/24 Sale 7.62 5020 -0.6% 1/10/25 Sale 7.31 4000 -1.6% 1/16/2025 -1/21/2025 Sale 7.28 9098 -1.1% 1/22/2025 - 1/27/2025 Sale 7.09 18902 -2.3% 1/31/2025 - 2/4/2025 Sale 6.70 10021 -1.2% 2/7/2025 - 2/14/2025 Sale 6.63 7179 -0.9% 2/19/25 Sale 6.27 10800 -1.3% 2/25/25 Sale 5.90 14000 -1.8% 2/27/2025 - 2/28/2025 Sale 6.32 7500 -0.9% 2/28/25 Sale 6.25 6500 -0.8% 3/14/25 Sale 6.14 10000 -1.3% 3/18/25 Sale 6.00 15300 -2.0% 3/20/25 Sale 6.07 14700 -2.0% (1) *Share prices are average prices on the trading day(s) stated in the table.

Cross-References

Insider Activity (last 365d)
0 transactions
0 buys · 0 sales · 0 awards/exercises
Issuer Cluster
2 13D/G filings on this issuer
1 other filing besides this one
Filer Track Record
1 filings by this filer
0 other filings in the data moat
Short Interest · settle 2026-07-15
DTC 7.20
3,580,040 shares short · +3.1% vs prior

Post-Filing Returns · since 2024-08-01 on ALMU

+1 day
-0.3%
+5 days
-7.7%
+30 days
-12.1%
+60 days
-3.9%
+90 days
-7.0%
+180 days
+112.7%

Anchor price 3.30 on closest trading day on/after 2024-08-01. Source: Yahoo Finance daily adj_close (split + dividend adjusted).

Other 13D/G Filings on Aeluma, Inc.

FiledFormFilerStakeShares
2026-07-27 SCHEDULE 13G BlackRock, Inc. view →

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