Aeluma, Inc. 10-Q

Item 5. Other Information a) None. b) None. 20 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**** 10.13 Subscription Agreement dated December 22, 2022 (1) 10.14 Registration Rights Agreement dated December 22, 2022 (1) 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 (furnished 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 (furnished 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. (1) Incorporated by reference to the Current Report on Form 8-K filed on December 23, 2022. 21 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: February 13, 2023 By: /s/ Jonathan Klamkin Jonathan Klamkin President, Chief Executive Officer and Principal Financial Officer (Principal Executive Officer and Principal Financial and Accounting Officer) 22