# EDGAR Filing Document

**Accession Number:** 0001828805
**File Stem:** 0001213900-26-000508
**Filing Date:** 2026-1
**Character Count:** 9312
**Document Hash:** d745520c9792b0801f60e1d6388e0a05
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0001213900-26-000508.hdr.sgml**: 20260102

**ACCESSION NUMBER**: 0001213900-26-000508

**CONFORMED SUBMISSION TYPE**: SCHEDULE 13D/A

**PUBLIC DOCUMENT COUNT**: 1

**FILED AS OF DATE**: 20260102

**DATE AS OF CHANGE**: 20260102

**SUBJECT COMPANY**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** Aeluma, Inc.
- **CENTRAL INDEX KEY:** 0001828805
- **STANDARD INDUSTRIAL CLASSIFICATION:** SEMICONDUCTORS & RELATED DEVICES [3674]
- **ORGANIZATION NAME:** 04 Manufacturing
- **EIN:** 852807351
- **STATE OF INCORPORATION:** DE
- **FISCAL YEAR END:** 0630

**FILING VALUES:**
- **FORM TYPE:** SCHEDULE 13D/A
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 005-92232
- **FILM NUMBER:** 26503172

**BUSINESS ADDRESS:**
- **STREET 1:** 27 CASTILIAN DRIVE
- **CITY:** GOLETA
- **STATE:** CA
- **ZIP:** 93117
- **BUSINESS PHONE:** 805-351-2707

**MAIL ADDRESS:**
- **STREET 1:** 27 CASTILIAN DRIVE
- **CITY:** GOLETA
- **STATE:** CA
- **ZIP:** 93117

**FORMER COMPANY:**
- **FORMER CONFORMED NAME:** Parc Investments, Inc.
- **DATE OF NAME CHANGE:** 20201016
**FILED BY**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** McCarthy Lee
- **CENTRAL INDEX KEY:** 0001869684

**ORGANIZATION NAME:**

**FILING VALUES:**
- **FORM TYPE:** SCHEDULE 13D/A

**MAIL ADDRESS:**
- **STREET 1:** 27 CASTILIAN
- **CITY:** GOLETA
- **STATE:** CA
- **ZIP:** 93117

### UNITED STATES SECURITIES AND EXCHANGE COMMISSION
**Washington, D.C. 20549**

## SCHEDULE 13D

### Under the Securities Exchange Act of 1934

**(Amendment No. 1)**

**Aeluma, Inc.**

*(Name of Issuer)*

**Common Stock, $0.0001 par value**

*(Title of Class of Securities)*

**00776X109**

*(CUSIP Number)*

**Lee McCarthy**<br>1401 21st ST # 10431<br>Sacramento CA 95811<br>(805) 699-6417

*(Name, Address and Telephone Number of Person Authorized to Receive Notices and Communications)*

**08/01/2024**

*(Date of Event Which Requires Filing of this Statement)*

| **CUSIP No.** | **00776X109** |

---

| | | | |
|:--|:--|:--|:--|
| 1 | Name of reporting person<br>**Lee McCarthy** | Name of reporting person<br>**Lee McCarthy** | |
| 2 | Check the appropriate box if a member of a Group (See Instructions)<br>[ ] (a)<br>[x] (b) | Check the appropriate box if a member of a Group (See Instructions)<br>[ ] (a)<br>[x] (b) | |
| 3 | SEC use only | SEC use only | |
| 4 | Source of funds (See Instructions)<br>**PF** | Source of funds (See Instructions)<br>**PF** | |
| 5 | Check if disclosure of legal proceedings is required pursuant to Items 2(d) or 2(e)<br>[ ] | Check if disclosure of legal proceedings is required pursuant to Items 2(d) or 2(e)<br>[ ] | |
| 6 | Citizenship or place of organization<br>**X1** | Citizenship or place of organization<br>**X1** | |
| Number of Shares<br>Beneficially Owned by<br>Each Reporting Person With: | 7 | Sole Voting Power<br>**270064.00** |
| Number of Shares<br>Beneficially Owned by<br>Each Reporting Person With: | 8 | Shared Voting Power<br>**0.00** |
| Number of Shares<br>Beneficially Owned by<br>Each Reporting Person With: | 9 | Sole Dispositive Power<br>**270064.00** |
| Number of Shares<br>Beneficially Owned by<br>Each Reporting Person With: | 10 | Shared Dispositive Power<br>**0.00** |
| 11 | Aggregate amount beneficially owned by each reporting person<br>**270064.00** | Aggregate amount beneficially owned by each reporting person<br>**270064.00** | |
| 12 | Check if the aggregate amount in Row (11) excludes certain shares (See Instructions)<br>[ ] | Check if the aggregate amount in Row (11) excludes certain shares (See Instructions)<br>[ ] | |
| 13 | Percent of class represented by amount in Row (11)<br>**1.5%** | Percent of class represented by amount in Row (11)<br>**1.5%** | |
| 14 | Type of Reporting Person (See Instructions)<br>**IN** | Type of Reporting Person (See Instructions)<br>**IN** | |

---

**Comment for Reporting Person:** (1) Percentage calculated based on 17,857,863 shares of the Company outstanding as of November 21, 2025.

**Item 1. Security and Issuer**

**(a) Title of Class of Securities:**
Common Stock, $0.0001 par value

**(b) Name of Issuer:**
Aeluma, Inc.

**(c) Address of Issuer's Principal Executive Offices:**
27 CASTILIAN DRIVE, Goleta, CA, 93117

**Item 4. Purpose of Transaction**

Since Mr. McCarthy filed Schedule 13D on June 30, 2021, he has not acquired any shares of Common Stock. He started selling shares of Common Stock on August 1, 2024, as set forth below, and as of March 30, 2025, beneficially owned 743,425 shares of the Issuer, representing  approximately 4.7% of the outstanding shares following the Issuer engaging in a firm commitment underwriting for the sale of 2,285,714 shares of its common stock and an uplisting to the Nasdaq Capital Market.

Date                                       Action                                Price ($1)1         Quantity     Percent of holdings

8/1/2024 - 8/5/2024               Sale                                     3.07                 10352             -1.1%

8/14/24                                   Donation - Transfer            2.93                 10000             -1.0%
                                               shares to charity

8/23/24 - 9/5/2024                 Sale                                     2.93                 1500               -0.2%

9/9/24                                    Donation - Transfer            2.82                  10000            -1.1%
                                              shares to charity

9/20/24 - 9/23/24                   Sale                                     3.28                  12500            -1.3%

9/26/2024 - 10/18/2024         Sale                                     3.15                  11655            -1.3%

10/22/2024 - 11/8/2024         Sale                                     3.12                  7993              -0.9%

11/20/24                                 Donation - Transfer             3.30                  10000            -1.1%
                                               shares to charity

12/13/25                                 Sale                                    5.21                  8000              -0.9%

12/18/2024 - 12/19/2024       Sale                                    9.26                  8980              -1.0%

12/23/24                                 Sale                                     7.62                  5020              -0.6%

1/10/25                                   Sale                                     7.31                 4000               -1.6%

1/16/2025 -1/21/2025            Sale                                     7.28                  9098               -1.1%

1/22/2025 - 1/27/2025           Sale                                     7.09                  18902             -2.3%

1/31/2025 - 2/4/2025             Sale                                     6.70                 10021             -1.2%

2/7/2025 - 2/14/2025             Sale                                     6.63                 7179                -0.9%

2/19/25                                  Sale                                     6.27                 10800             -1.3%

2/25/25                                   Sale                                     5.90                14000             -1.8%

2/27/2025 - 2/28/2025           Sale                                     6.32                 7500               -0.9%

2/28/25                                   Sale                                    6.25                 6500                -0.8%

3/14/25                                  Sale                                    6.14                10000               -1.3%

3/18/25                                   Sale                                   6.00                 15300               -2.0%

3/20/25                                   Sale                                    6.07                14700              -2.0%

(1) *Share prices are average prices on the trading day(s) stated in the table.

**Item 5. Interest in Securities of the Issuer**

**(a)**
As of March 27, 2025, Mr. McCarthy beneficially owned 743,425 shares of the Issuer, representing approximately 4.7%   of the outstanding shares following the Issuer engaging in a firm commitment underwriting for the sale of 2,285,714 shares of   its common stock and an uplisting to the Nasdaq Capital Market.

**(b)**
—

**(c)**
—

**Item 6. Contracts, Arrangements, Understandings or Relationships With Respect to Securities of the Issuer.**

Other than as described in this Schedule, to the knowledge of Mr. McCarthy, there are no contracts, arrangements, understandings, or   relationships (legal or otherwise) between Mr. McCarthy and any other persons with respect to any securities of the Issuer, including but not limited to transfer or voting of any of the securities, finder's fees, joint ventures, loan or option arrangements, puts or calls, guarantees of profits, division of profits or loss, or the giving or withholding of proxies.

### SIGNATURE

After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct.

**Reporting Person:** Lee McCarthy

**Signature:** /s/ Lee McCarthy

**Name/Title:** Lee McCarthy

**Date:** 01/02/2026