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As Of Filer Filing For·On·As Docs:Size Issuer Filing Agent 11/18/21 Aeluma, Inc. 8-K:5,8,9 11/18/21 12:279K EdgarAgents LLC/FA |
Document/Exhibit Description Pages Size 1: 8-K Current Report HTML 27K 2: EX-10.1 Independent Director Agreement by and Between the HTML 46K Company and Palvi Mehta 3: EX-99.1 Press Release Dated November 19, 2021 HTML 11K 8: R1 Cover HTML 43K 10: XML IDEA XML File -- Filing Summary XML 12K 7: XML XBRL Instance -- ea151007-8k_aelumainc_htm XML 14K 9: EXCEL IDEA Workbook of Financial Reports XLSX 6K 5: EX-101.LAB XBRL Labels -- cik0001828805-20211118_lab XML 96K 6: EX-101.PRE XBRL Presentations -- cik0001828805-20211118_pre XML 64K 4: EX-101.SCH XBRL Schema -- cik0001828805-20211118 XSD 12K 11: JSON XBRL Instance as JSON Data -- MetaLinks 25± 33K 12: ZIP XBRL Zipped Folder -- 0001213900-21-060586-xbrl Zip 24K
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
CURRENT REPORT
Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934
Date of Report
(Date of earliest event reported): i November 18, 2021
(Exact name of registrant as specified in its charter)
i Delaware | i 000-56218 | i 85-2807351 | ||
(State or other jurisdiction |
(Commission File Number) |
(IRS Employer |
i 93117 | ||
(Address of principal executive offices) | (Zip Code) |
(Registrant’s telephone number, including area code)
Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions:
i ☐ | Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425) |
i ☐ | Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12) |
i ☐ | Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b)) |
i ☐ | Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c)) |
Securities registered pursuant to Section 12(b) of the Act: none.
Indicate by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of 1933 (§230.405 of this chapter) or Rule 12b-2 of the Securities Exchange Act of 1934 (§240.12b-2 of this chapter).
If an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 13(a) of the Exchange Act. i ☐
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ITEM 5.02 DEPARTURE OF DIRECTORS OR CERTAIN OFFICERS; ELECTION OF DIRECTORS; APPOINTMENT OF CERTAIN OFFICERS; COMPENSATORY ARRANGEMENTS OF CERTAIN OFFICERS
On November 15, 2021, Aeluma, Inc.’s (the “Company”) board of directors (the “Board”) accepted Mr. Lee McCarthy’s resignation as one of the Company’s directors, to be effective December 1, 2021. Mr. McCarthy resigned to permit the appointment of an independent director to the Board and not as a result from any disagreement regarding any matter related to the Company’s operations, policies or practices.
On November 15, 2021, the Board also approved the appointment of Ms. Palvi Mehta to fill the vacancy created by Mr. McCarthy’s resignation, for the remainder of his term and the independent director agreement with Ms. Mehta, (the “Director Agreement”), which sets her compensation and establishes other terms and conditions governing her service on the Company’s Board. The Director Agreement is filed hereto as Exhibits 10.1.Ms. Mehta will serve as an independent director.
Ms. Mehta does not have any family relationship with any director or executive officer of the Company and has not been involved in any transaction with the Company during the past two years that would require disclosure under Item 404(a) of Regulation S-K.
Item 8.01 Other Events.
On November 19, 2021, the Company will issue a press release, a copy of which is attached as Exhibit 99.1 to this Current Report on Form 8-K, announcing Ms. Mehta’s appointment.
ITEM 9.01 FINANCIAL STATEMENTS AND EXHIBITS.
Exhibit No. | Description | |
10.1 | Independent Director Agreement by and between the Company and Palvi Mehta | |
99.1 | Press Release dated November 19, 2021 | |
104 | Cover Page Interactive Data File (embedded within the Inline XBRL document) |
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SIGNATURE
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 hereunto duly authorized.
AELUMA, INC. | ||
Date: November 18, 2021 | By: | /s/ Jonathan Klamkin |
Jonathan Klamkin | ||
President, Chief Executive Officer and Director |
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This ‘8-K’ Filing | Date | Other Filings | ||
---|---|---|---|---|
12/1/21 | 3 | |||
11/19/21 | CORRESP, S-1/A | |||
Filed on / For Period end: | 11/18/21 | |||
11/15/21 | 10-Q, 3 | |||
List all Filings |