UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM
CURRENT REPORT
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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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