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Astera Labs, Inc. — Director's Dealing 2024
Mar 22, 2024
30120_dirs_2024-03-22_b803ca88-3c72-4343-8f69-e00cf3c8f1e8.zip
Director's Dealing
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SEC Form 4 — Statement of Changes in Beneficial Ownership
Issuer: Astera Labs, Inc. (ALAB)
CIK: 0001736297
Period of Report: 2024-03-22
Reporting Person: ALBA MANUEL (N/A)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2024-03-22 | Common Stock | C | 499127 | — | Acquired | 518863 | Indirect |
| 2024-03-22 | Common Stock | C | 2314498 | — | Acquired | 2314498 | Indirect |
| 2024-03-22 | Common Stock | P | 5000 | $36 | Acquired | 5000 | Indirect |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2024-03-22 | Series A Preferred | $ | C | 423530 | Disposed | Common Stock (423530) | Indirect | |
| 2024-03-22 | Series A Preferred | $ | C | 1960785 | Disposed | Common Stock (1960785) | Indirect | |
| 2024-03-22 | Series B Preferred | $ | C | 75597 | Disposed | Common Stock (75597) | Indirect | |
| 2024-03-22 | Series B Preferred | $ | C | 349995 | Disposed | Common Stock (349995) | Indirect | |
| 2024-03-22 | Series C Preferred | $ | C | 3718 | Disposed | Common Stock (3718) | Indirect |
Footnotes
F1: Each share of Series A Preferred Stock, Series B Preferred Stock and Series C Preferred Stock (collectively, the "Preferred Stock") automatically converted into one share of Common Stock on a one-for-one basis, immediately prior to the closing of the Issuer's initial public offering. The shares of Preferred Stock have no expiration date.
F2: These shares are owned directly by Casa Alameda 2007, LLC, of which the Reporting Person is manager. The Reporting Person disclaims beneficial ownership of these securities, except to the extent, if any, of his pecuniary interest therein, and the filing of this Form 4 is not an admission that the Reporting Person is the beneficial owner of these securities for purposes of Section 16 or for any other purpose.
F3: These shares are owned directly by Manuel Alba-Marquez in trust for Alba 2003 Living Trust (the "Alba Trust"), of which the Reporting Person and his spouse are co-trustees. The Reporting Person disclaims beneficial ownership of these securities, except to the extent, if any, of his pecuniary interest therein, and the filing of this Form 4 is not an admission that the Reporting Person is the beneficial owner of these securities for purposes of Section 16 or for any other purpose.
F4: These shares were acquired by the Reporting Person's spouse pursuant to a directed share program in connection with the Issuer's initial public offering.