Item 5. Other Information
Item 5. Other Information
(a)
Not applicable.
(b)
None.
17
ITEM 6. EXHIBITS
EXHIBIT INDEX
Exhibit No.
Description
2.1
Agreement and Plan of Merger and Reorganization among Parc Investments, Inc., Aeluma Operating Co. and Biond Photonics, Inc.**
3.1
Certificate of Merger relating to the merger of Aeluma Operating Co. with and into Biond Photonics, Inc., filed with the Secretary of State of the State of California on June 22, 2021**
3.2
Amended and Restated certificate of incorporation, filed with the Secretary of State of the State of Delaware on June 22, 2021**
3.3
Amended and Restated Bylaws.**
4.1
Form of Lock Up Agreement**
4.2
Form of Placement Agent Warrant**
10.2
Form of Post-Merger Indemnification Agreement**
10.3
Form of Pre-Merger Indemnification Agreement**
10.4
Form of Subscription Agreement, dated June 22, 2021, by and between the Company and the parties thereto**
10.5
Registration Rights Agreement, dated June 22, 2021, by and between the Company and the parties thereto**
10.6+
2021 Equity Incentive Plan and form of award agreements**
10.7
Restricted Stock Purchase Agreement between Biond Photonics, Inc. and Mr. Klamkin****
10.8
Restricted Stock Purchase Agreement between Biond Photonics, Inc. and Mr. McCarthy****
10.9
Advisor Restricted Stock Purchase Agreement between Biond Photonics, Inc. and Mr. DenBaars, dated December 21, 2020****
10.10
Advisor Restricted Stock Purchase Agreement between Biond Photonics, Inc. and Mr. DenBaars, dated June 10, 2021****
10.11
Advisory Agreement between Biond Photonics, Inc. and Mr. DenBaars, dated December 31, 2020****
10.12
Advisory Agreement between Biond Photonics, Inc. and Mr. DenBaars, dated June 10, 2021****
31.1
Certification of the Chief Executive Officer pursuant to Section 302 of the Sarbanes-Oxley Act of 2002 (filed herewith)
31.2
Certification of the Principal Financial Officer pursuant to Section 302 of the Sarbanes-Oxley Act of 2002 (filed herewith)
32.1
Certification of the Principal Executive Officer pursuant to U.S.C. Section 1350 As adopted pursuant to Section 906 of the Sarbanes-Oxley Act of 2002 (filed herewith)
32.2
Certification of the Principal Financial Officer pursuant to U.S.C. Section 1350 As adopted pursuant to Section 906 of the Sarbanes-Oxley Act of 2002 (filed herewith)
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).
+ Indicates a management contract
or any compensatory plan, contract or arrangement.
** Incorporated by reference to
the Current Report on Form 8-K filed on June 28, 2021.
*** Incorporated by reference to
the Current Report on Form 8-K filed on July 1, 2021.
**** Incorporated by reference to
the Registration Statement on Form S-1/A filed on October 15, 2021.
18
SIGNATURES
Pursuant to the requirements of the Securities
Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf of the undersigned thereunto duly authorized.
Aeluma, Inc.
(Registrant)
Date:
November 15, 2021
By:
/s/ Jonathan Klamkin
Jonathan Klamkin
President, Chief Executive Officer and Principal
Financial Officer (Principal Executive Officer
and Principal Financial and Accounting Officer)
19
Text extracted from the filing as submitted to EDGAR. Formatting, tables and exhibits are simplified for reading; the original document is authoritative for anything you rely on.