Other Information
−Removed: Exhibit Index
Agreement and Plan of Merger and Reorganization among Parc Investments, Inc., Aeluma Operating Co.
8 unchanged sentences
Form of Placement Agent Warrant (incorporated by reference to the Current Report on Form 8-K filed on June 28, 2021)
+Added: Description of Securities (incorporated by reference to the annual Report on Form 10-K filed on September 25, 2023)
Form of Post-Merger Indemnification Agreement (incorporated by reference to the Current Report on Form 8-K filed on June 28, 2021)
5 unchanged sentences
Klamkin (incorporated by reference to the Registration Statement on Form S-1/A filed on October 15, 2021)
−Removed: Restricted Stock Purchase Agreement between Biond Photonics, Inc.
−Removed: McCarthy (incorporated by reference to the Registration Statement on Form S-1/A filed on October 15, 2021)
Advisor Restricted Stock Purchase Agreement between Biond Photonics, Inc.
6 unchanged sentences
DenBaars, dated June 10, 2021 (incorporated by reference to the Registration Statement on Form S-1/A filed on October 15, 2021)
−Removed: Director Agreement by and between the Company and Palvi Mehta (incorporated by reference to the Current Report on Form 8-K filed on November 18, 2021)
Director Agreement by and between the Company and John Paglia (incorporated by reference to the Current Report on Form 8-K filed on November 30, 2021)
1 unchanged sentence
Registration Rights Agreement (incorporated by reference to the Current Report on Form 8-K filed on December 23, 2022)
+Added: Form of Note Purchase Agreement (incorporated by reference to the Current Report on Form 8-K filed on August 30, 2024)
+Added: Form of Note (incorporated by reference to the Current Report on Form 8-K filed on August 30, 2024)
+Added: Independent Director Agreement with Craig Ensley, effective as of December 14, 2023 (Incorporated by reference to the Registration Statement on Form S-1/A filed on October 7, 2024)
+Added: Code of Ethics (incorporated by reference to the annual Report on Form 10-K filed on September 25, 2023)
Subsidiaries of the Registrant (Incorporated by reference to the Current Report on Form 8-K filed on June 28, 2021)
3 unchanged sentences
Certification of Principal Financial Officer Pursuant to Section 906 of Sarbanes-Oxley Act of 2002
+Added: Policy Relating to Recovery of Erroneously Awarded Compensation (incorporated by reference to the Annual Report on Form 10-K on September 27, 2024
Inline XBRL Instance Document
5 unchanged sentences
Cover Page Interactive Data File (formatted as Inline XBRL and contained in Exhibit 101).
−Removed: Indicates a management contract or compensatory plan, contract, or arrangement.
−Removed: Pursuant to the requirements of the Securities
−Removed: Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf of the undersigned thereunto duly authorized.
−Removed: /s/ Jonathan Klamkin
+Added: a management contract or compensatory plan, contract, or arrangement.
+Added: In accordance with Item
+Added: 601(b)(32)(ii) of Regulation S-K and SEC Release No.
+Added: 34-47986, the certifications furnished in Exhibit 32.1 herewith are deemed to
+Added: accompany this Form 10-K and will not be deemed filed for purposes of Section 18 of the Exchange Act.
+Added: Such certifications will not
+Added: be deemed to be incorporated by reference into any filings under the Securities Act or the Exchange Act.
+Added: to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf of
+Added: the undersigned thereunto duly authorized.
+Added: November 8, 2024
Jonathan Klamkin
+Added: Jonathan Klamkin
President, Chief Executive Officer and
2 unchanged sentences
Compared sentence by sentence after normalising whitespace, quotation marks, case and digits, so re-formatting and restated figures do not read as changed language. Wording changes appear as one removal and one addition. The current filing and the prior one are authoritative.