SEC Info - Aeluma, Inc. - ‘8-K’ for 6/22/21

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Aeluma, Inc. – ‘8-K’ for 6/22/21

On: Monday, 6/28/21, at 5:21pm ET · For: 6/22/21 · Accession #: 1213900-21-34503 · File #: 0-56218

Previous ‘8-K’: None · Next: ‘8-K/A’ on 7/1/21 for 6/22/21 · Latest: ‘8-K’ on / for 5/10/24 · 39 References:

  As Of               Filer                 Filing    For·On·As Docs:Size             Issuer                      Filing Agent

 6/28/21  Aeluma, Inc.                      8-K:1,2,3,4 6/22/21   16:2.9M                                   EdgarAgents LLC/FA

Current Report — Form 8-K

Filing Table of Contents

Document/Exhibit                   Description                      Pages   Size 

 1: 8-K         Current Report                                      HTML    372K 
 2: EX-2.1      Agreement and Plan of Merger and Reorganization     HTML    249K 
                Among Parc Investments, Inc., Aeluma Operating Co.               
                and Biond Photonics, Inc                                         
 3: EX-3.1      Certificate of Merger Relating to the Merger of     HTML     20K 
                Aeluma Operating Co. With and Into Biond                         
                Photonics, Inc., Filed With the Secretary of State               
                of the State of California on June 22, 2021                      
 4: EX-3.2      Amended and Restated Certificate of Incorporation,  HTML     51K 
                Filed With the Secretary of State of the State of                
                Delaware on June 22, 2021                                        
 5: EX-3.3      Amended and Restated Bylaws                         HTML    124K 
 6: EX-4.1      Form of Lock Up Agreement                           HTML     48K 
 7: EX-4.2      Form of Placement Agent Warrant                     HTML     57K 
 8: EX-10.2     Form of Post-Merger Indemnification Agreement       HTML     51K 
 9: EX-10.3     Form of Pre-Merger Indemnification Agreement        HTML     38K 
10: EX-10.4     Form of Subscription Agreement, Dated June 22,      HTML    266K 
                2021, by and Between the Company and the Parties                 
                Thereto                                                          
11: EX-10.5     Registration Rights Agreement, Dated June 22,       HTML    149K 
                2021, by and Between the Company and the Parties                 
                Thereto                                                          
12: EX-10.6     2021 Equity Incentive Plan and Form of Award        HTML     50K 
                Agreements                                                       
13: EX-21.1     Subsidiaries of the Registrant                      HTML      7K 
14: EX-99.1     Audited Financial Statements of Biond Photonics,    HTML     59K 
                Inc., as of and for the Fiscal Years Ended                       
                December 31, 2020 and 2019                                       
15: EX-99.2     Unaudited Financial Statements of Biond Photonics,  HTML     54K 
                Inc., as of and for the Three Month Period Ended                 
                March 31, 2021                                                   
16: EX-99.3     Unaudited Pro Forma Combined Financial Statements   HTML     97K 
                as of and for the Fiscal Year Ended December 31,                 
                2020

Filing Submission 0001213900-21-034503 – SGML Text

Original SGML Text submitted by:	EdgarAgents LLC/FA (as Filing Agent)

⇓Show all <DOCUMENT> <TEXT> elements below – 2.8M ↑Top ↓Bottom

<SUBMISSION>
<SECRELEASE-DATETIME>		20210628-172236	 ⇐ Metadata from SEC Info (ET)
<SECWEBSITE-DATETIME>		20210628-172232	 ⇐ Metadata from SEC Info (ET)
<ACCEPTANCE-DATETIME>		20210628-172138	 ⇐ Filing accepted by SEC (ET)
<ACCESSION-NUMBER>		0001213900-21-034503
<TYPE>				8-K
<PUBLIC-DOCUMENT-COUNT>		20
<PERIOD>			20210622
<ITEMS>				1.01
<ITEMS>				2.01
<ITEMS>				3.03
<ITEMS>				4.01
<ITEMS>				5.01
<ITEMS>				5.02
<ITEMS>				5.03
<ITEMS>				5.06
<ITEMS>				9.01
<FILING-DATE>			20210628
<DATE-OF-FILING-DATE-CHANGE>	20210628

<FILER>
<COMPANY-DATA>
<CONFORMED-NAME>		Aeluma, Inc.
<CIK>				0001828805
<ASSIGNED-SIC>			6770
<IRS-NUMBER>			852807351  ⇒ 85-2807351
<STATE-OF-INCORPORATION>	DE
<FISCAL-YEAR-END>		1231
</COMPANY-DATA>
<FILING-VALUES>
<FORM-TYPE>			8-K
<ACT>				34
<FILE-NUMBER>			000-56218
<FILM-NUMBER>			211054590
</FILING-VALUES>
<BUSINESS-ADDRESS>
<STREET1>			27 CASTILIAN DRIVE
<CITY>				GOLETA
<STATE>				CA
<ZIP>				93117
<PHONE>				5619892208
</BUSINESS-ADDRESS>
<MAIL-ADDRESS>
<STREET1>			27 CASTILIAN DRIVE
<CITY>				GOLETA
<STATE>				CA
<ZIP>				93117
</MAIL-ADDRESS>
<FORMER-COMPANY>
<FORMER-CONFORMED-NAME>		Parc Investments, Inc.
<DATE-CHANGED>			20201016
</FORMER-COMPANY>
</FILER>

<DOCUMENT>
<TYPE>		8-K
<SEQUENCE>	1
<FILENAME>	ea143207-8k_aelumainc.htm
<DESCRIPTION>	CURRENT REPORT
<TEXT>
<HTML>
       Show <HTML>: 6,477 lines (widest: 419 characters) - 542K bytes  
</TEXT>
</DOCUMENT>

<DOCUMENT>
<TYPE>		EX-2.1
<SEQUENCE>	2
<FILENAME>	ea143207ex2-1_aeluma.htm
<DESCRIPTION>	AGREEMENT AND PLAN OF MERGER AND REORGANIZATION AMONG PARC
		INVESTMENTS, INC., AELUMA OPERATING CO. AND BIOND PHOTONICS, INC
<TEXT>
<HTML>
       Show <HTML>: 4,132 lines (widest: 297 characters) - 473K bytes  
</TEXT>
</DOCUMENT>

<DOCUMENT>
<TYPE>		EX-3.1
<SEQUENCE>	3
<FILENAME>	ea143207ex3-1_aeluma.htm
<DESCRIPTION>	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
<TEXT>
<HTML>
       Show <HTML>: 264 lines (widest: 291 characters) - 24K bytes  
</TEXT>
</DOCUMENT>

<DOCUMENT>
<TYPE>		EX-3.2
<SEQUENCE>	4
<FILENAME>	ea143207ex3-2_aeluma.htm
<DESCRIPTION>	AMENDED AND RESTATED CERTIFICATE OF INCORPORATION, FILED WITH
		THE SECRETARY OF STATE OF THE STATE OF DELAWARE ON JUNE 22, 2021
<TEXT>
<HTML>
       Show <HTML>: 701 lines (widest: 292 characters) - 74K bytes  
</TEXT>
</DOCUMENT>

<DOCUMENT>
<TYPE>		EX-3.3
<SEQUENCE>	5
<FILENAME>	ea143207ex3-3_aeluma.htm
<DESCRIPTION>	AMENDED AND RESTATED BYLAWS
<TEXT>
<HTML>
       Show <HTML>: 2,344 lines (widest: 301 characters) - 237K bytes  
</TEXT>
</DOCUMENT>

<DOCUMENT>
<TYPE>		EX-4.1
<SEQUENCE>	6
<FILENAME>	ea143207ex4-1_aeluma.htm
<DESCRIPTION>	FORM OF LOCK UP AGREEMENT
<TEXT>
<HTML>
       Show <HTML>: 690 lines (widest: 412 characters) - 77K bytes  
</TEXT>
</DOCUMENT>

<DOCUMENT>
<TYPE>		EX-4.2
<SEQUENCE>	7
<FILENAME>	ea143207ex4-2_aeluma.htm
<DESCRIPTION>	FORM OF PLACEMENT AGENT WARRANT
<TEXT>
<HTML>
       Show <HTML>: 835 lines (widest: 314 characters) - 87K bytes  
</TEXT>
</DOCUMENT>

<DOCUMENT>
<TYPE>		EX-10.2
<SEQUENCE>	8
<FILENAME>	ea143207ex10-2_aeluma.htm
<DESCRIPTION>	FORM OF POST-MERGER INDEMNIFICATION AGREEMENT
<TEXT>
<HTML>
       Show <HTML>: 736 lines (widest: 345 characters) - 63K bytes  
</TEXT>
</DOCUMENT>

<DOCUMENT>
<TYPE>		EX-10.3
<SEQUENCE>	9
<FILENAME>	ea143207ex10-3_aeluma.htm
<DESCRIPTION>	FORM OF PRE-MERGER INDEMNIFICATION AGREEMENT
<TEXT>
<HTML>
       Show <HTML>: 633 lines (widest: 285 characters) - 48K bytes  
</TEXT>
</DOCUMENT>

<DOCUMENT>
<TYPE>		EX-10.4
<SEQUENCE>	10
<FILENAME>	ea143207ex10-4_aeluma.htm
<DESCRIPTION>	FORM OF SUBSCRIPTION AGREEMENT, DATED JUNE 22, 2021, BY AND
		BETWEEN THE COMPANY AND THE PARTIES THERETO
<TEXT>
<HTML>
       Show <HTML>: 3,893 lines (widest: 427 characters) - 410K bytes  
</TEXT>
</DOCUMENT>

<DOCUMENT>
<TYPE>		EX-10.5
<SEQUENCE>	11
<FILENAME>	ea143207ex10-5_aeluma.htm
<DESCRIPTION>	REGISTRATION RIGHTS AGREEMENT, DATED JUNE 22, 2021, BY AND
		BETWEEN THE COMPANY AND THE PARTIES THERETO
<TEXT>
<HTML>
       Show <HTML>: 2,533 lines (widest: 429 characters) - 261K bytes  
</TEXT>
</DOCUMENT>

<DOCUMENT>
<TYPE>		EX-10.6
<SEQUENCE>	12
<FILENAME>	ea143207ex10-6_aeluma.htm
<DESCRIPTION>	2021 EQUITY INCENTIVE PLAN AND FORM OF AWARD AGREEMENTS
<TEXT>
<HTML>
       Show <HTML>: 764 lines (widest: 244 characters) - 74K bytes  
</TEXT>
</DOCUMENT>

<DOCUMENT>
<TYPE>		EX-21.1
<SEQUENCE>	13
<FILENAME>	ea143207ex21-1_aeluma.htm
<DESCRIPTION>	SUBSIDIARIES OF THE REGISTRANT
<TEXT>
<HTML>
       Show <HTML>: 18 lines (widest: 138 characters) - 674 bytes  
</TEXT>
</DOCUMENT>

<DOCUMENT>
<TYPE>		EX-99.1
<SEQUENCE>	14
<FILENAME>	ea143207ex99-1_aeluma.htm
<DESCRIPTION>	AUDITED FINANCIAL STATEMENTS OF BIOND PHOTONICS, INC., AS OF
		AND FOR THE FISCAL YEARS ENDED DECEMBER 31, 2020 AND 2019
<TEXT>
<HTML>
       Show <HTML>: 1,172 lines (widest: 314 characters) - 96K bytes  
</TEXT>
</DOCUMENT>

<DOCUMENT>
<TYPE>		EX-99.2
<SEQUENCE>	15
<FILENAME>	ea143207ex99-2_aeluma.htm
<DESCRIPTION>	UNAUDITED FINANCIAL STATEMENTS OF BIOND PHOTONICS, INC., AS OF
		AND FOR THE THREE MONTH PERIOD ENDED MARCH 31, 2021
<TEXT>
<HTML>
       Show <HTML>: 930 lines (widest: 305 characters) - 87K bytes  
</TEXT>
</DOCUMENT>

<DOCUMENT>
<TYPE>		EX-99.3
<SEQUENCE>	16
<FILENAME>	ea143207ex99-3_aeluma.htm
<DESCRIPTION>	UNAUDITED PRO FORMA COMBINED FINANCIAL STATEMENTS AS OF AND FOR
		THE FISCAL YEAR ENDED DECEMBER 31, 2020
<TEXT>
<HTML>
       Show <HTML>: 972 lines (widest: 737 characters) - 266K bytes  
</TEXT>
</DOCUMENT>

<DOCUMENT>
<TYPE>		GRAPHIC
<SEQUENCE>	17  ⇐ Not a Document/Exhibit
<FILENAME>	ex3-1_001.jpg
<DESCRIPTION>	GRAPHIC
<TEXT>
       Show <TEXT>: 234 lines (Unix-to-Unix encoding) - 14K bytes  
</TEXT>
</DOCUMENT>

<DOCUMENT>
<TYPE>		GRAPHIC
<SEQUENCE>	18  ⇐ Not a Document/Exhibit
<FILENAME>	ex3-1_002.jpg
<DESCRIPTION>	GRAPHIC
<TEXT>
       Show <TEXT>: 171 lines (Unix-to-Unix encoding) - 11K bytes  
</TEXT>
</DOCUMENT>

<DOCUMENT>
<TYPE>		GRAPHIC
<SEQUENCE>	19  ⇐ Not a Document/Exhibit
<FILENAME>	image_001.jpg
<DESCRIPTION>	GRAPHIC
<TEXT>
       Show <TEXT>: 1,248 lines (Unix-to-Unix encoding) - 76K bytes  
</TEXT>
</DOCUMENT>

<DOCUMENT>
<TYPE>		GRAPHIC
<SEQUENCE>	20  ⇐ Not a Document/Exhibit
<FILENAME>	image_002.jpg
<DESCRIPTION>	GRAPHIC
<TEXT>
       Show <TEXT>: 317 lines (Unix-to-Unix encoding) - 20K bytes  
</TEXT>
</DOCUMENT>

</SUBMISSION>

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Filing Submission 0001213900-21-034503 – Alternative Formats (Word / Rich Text, HTML, Plain Text, et al.)

Aeluma, Inc. – ‘8-K’ for 6/22/21

On: Monday, 6/28/21, at 5:21pm ET · For: 6/22/21 · Accession #: 1213900-21-34503 · File #: 0-56218

Current Report — Form 8-KFiling Table of Contents

Current Report — Form 8-K

Filing Table of Contents