Aeluma, Inc. 10-Q

Item 5. Other Information Insider Trading Arrangements and Related Disclosure During the three months ended March 31, 2026, no director or executive officer adopted , modified or terminated a “Rule 10b5-1 trading arrangement” or “non-Rule 10b5-1 trading arrangement,” as each term is defined in Item 408(a) of Regulation S-K. Item 6. Exhibits Exhibit No. Description 3.2 Amended and Restated Certificate of Incorporation, filed June 22, 2021 (incorporated by reference to the Current Report on Form 8-K filed on June 28, 2021) 3.3 Amended and Restated Bylaws (incorporated by reference to the Current Report on Form 8-K filed on June 28, 2021) 10.1 Sales Agreement, dated as of March 20, 2026 (incorporated by reference to the Current Report on Form 8-K filed on March 20, 2026) 10.2+ Form of Restricted Stock Unit Award Agreement under 2021 Equity Incentive Plan 31.1 Certification of Chief Executive Officer Pursuant to Section 302 of Sarbanes-Oxley Act of 2002 31.2 Certification of Chief Financial Officer Pursuant to Section 302 of Sarbanes-Oxley Act of 2002 32.1* Certification of Chief Executive Officer Pursuant to Section 906 of Sarbanes-Oxley Act of 2002 32.2* Certification of Chief Financial Officer Pursuant to Section 906 of Sarbanes-Oxley Act of 2002 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 compensatory plan, contract, or arrangement. * Furnished and not filed for purposes of Section 18 of the Exchange Act. 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 by the undersigned thereunto duly authorized. Aeluma, Inc. Date: May 13, 2026 By: /s/ Jonathan Klamkin Name: Jonathan Klamkin Title: President and Chief Executive Officer (Duly Authorized Officer) Date: May 13, 2026 By: /s/ Christopher Stewart Name: Christopher Stewart Title: Chief Financial Officer (Principal Financial Officer and Accounting Officer) 22