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Astera Labs, Inc. — Director's Dealing 2024
Mar 20, 2024
30120_dirs_2024-03-19_11c437eb-a080-4a4d-82d6-07f3fb1455b1.zip
Director's Dealing
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SEC Form 3 — Initial Statement of Beneficial Ownership
Issuer: Astera Labs, Inc. (ALAB)
CIK: 0001736297
Period of Report: 2024-03-19
Reporting Person: SUTTER HILL VENTURES (N/A)
Reporting Person: Pullara Samuel J III (10% Owner)
Reporting Person: Speiser Michael L (10% Owner)
Holdings (Derivative)
| Security | Exercise Price | Expiration | Underlying | Shares | Ownership |
|---|---|---|---|---|---|
| Series A Preferred Stock | $ | Common Stock (864) | Indirect | ||
| Series A Preferred Stock | $ | Common Stock (130) | Indirect | ||
| Series A Preferred Stock | $ | Common Stock (9672) | Direct | ||
| Series B Preferred Stock | $ | Common Stock (52729) | Indirect | ||
| Series B Preferred Stock | $ | Common Stock (1573520) | Indirect | ||
| Series B Preferred Stock | $ | Common Stock (11295) | Indirect | ||
| Series B Preferred Stock | $ | Common Stock (1815) | Indirect | ||
| Series B Preferred Stock | $ | Common Stock (127405) | Direct | ||
| Series B Preferred Stock | $ | Common Stock (78061) | Indirect | ||
| Series B Preferred Stock | $ | Common Stock (14957606) | Direct | ||
| Series B Preferred Stock | $ | Common Stock (203445) | Indirect | ||
| Series C Preferred Stock | $ | Common Stock (27093) | Indirect | ||
| Series C Preferred Stock | $ | Common Stock (3426) | Direct | ||
| Series C Preferred Stock | $ | Common Stock (3141) | Indirect | ||
| Series C Preferred Stock | $ | Common Stock (478056) | Direct | ||
| Series C Preferred Stock | $ | Common Stock (6568) | Indirect | ||
| Series D Preferred Stock | $ | Common Stock (117405) | Indirect | ||
| Series D Preferred Stock | $ | Common Stock (17721) | Indirect | ||
| Series D Preferred Stock | $ | Common Stock (1316256) | Direct |
Footnotes
F1: Each share of Series A Preferred Stock, Series B Preferred Stock, Series C Preferred Stock and Series D Preferred Stock (collectively, the "Preferred Stock") shall automatically convert into one share of Common Stock on a one-for-one basis, immediately upon the closing of the Issuer's initial public offering. The shares of Preferred Stock have no expiration date.
F2: Shares held by a trust of which Michael L. Speiser is a Trustee. Mr. Speiser disclaims beneficial ownership in these shares except as to his pecuniary interest therein.
F3: Shares held by a trust of which Samuel J. Pullara III is a Trustee. Mr. Pullara disclaims beneficial ownership in these shares except as to his pecuniary interest therein.
F4: Shares held by Sutter Hill Ventures, a California Limited Partnership ("SHV"). Michael L. Speiser, Samuel J. Pullara III and Stefan A. Dyckerhoff are managing directors and members of the management committee of the general partner of SHV. The Reporting Persons disclaim beneficial ownership in these shares except as to the Reporting Persons' pecuniary interest therein. Mr. Dyckerhoff is a director of the Issuer and files separate Section 16 reports.
F5: Shares held by a limited partnership of which Michael L. Speiser is a trustee of a trust which is the general partner. Mr. Speiser disclaims beneficial ownership in these shares except as to his pecuniary interest therein.
F6: Shares held by an irrevocable trust of which Michael L. Speiser is a Trustee. Mr. Speiser disclaims beneficial ownership in these shares except as to his pecuniary interest therein.
F7: Shares held by Samuel J. Pullara III.
F8: Shares held by SHM Investments, LLC ("SHMI"). Michael L. Speiser, Samuel J. Pullara III and Stefan A. Dyckerhoff are managing members of SHMI. The Reporting Persons disclaim beneficial ownership in these shares except as to the Reporting Persons' pecuniary interest therein. Mr. Dyckerhoff is a director of the Issuer and files separate Section 16 reports.