Filing Details
- Accession Number:
- 0000950170-24-035422
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2024-03-22 16:46:59
- Reporting Period:
- 2024-03-22
- Accepted Time:
- 2024-03-22 16:46:59
- SEC Url:
- Form 4 Filing
Issuer
Cik | Name | Symbol | Sector (SIC) | IRS No |
---|---|---|---|---|
1736297 | Astera Labs Inc. | ALAB | () | 4 |
Insiders
Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
---|---|---|---|---|---|---|---|
1134727 | Manuel Alba | C/O Astera Labs, Inc. 2901 Tasman Drive, Suite 205 Santa Clara CA 95054 | No | No | No | No |
Reported Non-Derivative Transactions
Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
---|---|---|---|---|---|---|---|---|---|---|
Common Stock | Acquisiton | 2024-03-22 | 499,127 | $0.00 | 518,863 | No | 4 | C | Indirect | By Casa Alameda 2007, LLC |
Common Stock | Acquisiton | 2024-03-22 | 2,314,498 | $0.00 | 2,314,498 | No | 4 | C | Indirect | By Alba Trust |
Common Stock | Acquisiton | 2024-03-22 | 5,000 | $36.00 | 5,000 | No | 4 | P | Indirect | By spouse |
Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
---|---|---|---|---|
No | 4 | C | Indirect | By Casa Alameda 2007, LLC |
No | 4 | C | Indirect | By Alba Trust |
No | 4 | P | Indirect | By spouse |
Reported Derivative Transactions
Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
---|---|---|---|---|---|---|---|
Common Stock | Series A Preferred | Disposition | 2024-03-22 | 423,530 | $0.00 | 423,530 | $0.00 |
Common Stock | Series A Preferred | Disposition | 2024-03-22 | 1,960,785 | $0.00 | 1,960,785 | $0.00 |
Common Stock | Series B Preferred | Disposition | 2024-03-22 | 75,597 | $0.00 | 75,597 | $0.00 |
Common Stock | Series B Preferred | Disposition | 2024-03-22 | 349,995 | $0.00 | 349,995 | $0.00 |
Common Stock | Series C Preferred | Disposition | 2024-03-22 | 3,718 | $0.00 | 3,718 | $0.00 |
Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
---|---|---|---|---|---|---|
0 | No | 4 | C | Indirect | ||
0 | No | 4 | C | Indirect | ||
0 | No | 4 | C | Indirect | ||
0 | No | 4 | C | Indirect | ||
0 | No | 4 | C | Indirect |
Footnotes
- 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.
- 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.
- 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.
- 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.