SUTTER HILL VENTURES - 22 Mar 2024 Form 4 Insider Report for Astera Labs, Inc. (ALAB)

Role
10%+ Owner
Signature
Sutter Hill Ventures, By /s/ Kanwalpreet S. Kalra, Attorney-in-Fact
Issuer symbol
ALAB
Transactions as of
22 Mar 2024
Net transactions value
$0
Form type
4
Filing time
22 Mar 2024, 17:50:24 UTC
Previous filing
19 Mar 2024
Next filing
19 Aug 2024
SEC
View on sec.gov

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction ALAB Common Stock Conversion of derivative security +198,091 198,091 22 Mar 2024 By Trust (MLS) F1, F2
transaction ALAB Common Stock Conversion of derivative security +99,053 99,053 22 Mar 2024 By Trust (SJP) F1, F3
transaction ALAB Common Stock Conversion of derivative security +16,761,590 16,761,590 22 Mar 2024 Direct F1, F4
transaction ALAB Common Stock Conversion of derivative security +1,573,520 1,573,520 22 Mar 2024 By Limited Partnership (CHAT) F1, F5
transaction ALAB Common Stock Conversion of derivative security +11,295 11,295 22 Mar 2024 By Irrevocable Trust (SCT) F1, F6
transaction ALAB Common Stock Conversion of derivative security +1,815 1,815 22 Mar 2024 By Irrevocable Trust (SRT) F1, F6
transaction ALAB Common Stock Conversion of derivative security +130,831 130,831 22 Mar 2024 Direct F1, F7
transaction ALAB Common Stock Conversion of derivative security +210,013 210,013 22 Mar 2024 By SHM Investments, LLC F1, F8

Derivative Securities (e.g., puts, calls, warrants, options, convertible securities)

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Underlying Class Amount Exercise Price Ownership Footnotes
transaction ALAB Series A Preferred Stock Conversion of derivative security $0 -864 -100% $0.000000* 0 22 Mar 2024 Common Stock 864 By Trust (MLS) F1, F2
transaction ALAB Series A Preferred Stock Conversion of derivative security $0 -130 -100% $0.000000* 0 22 Mar 2024 Common Stock 130 By Trust (SJP) F1, F3
transaction ALAB Series A Preferred Stock Conversion of derivative security $0 -9,672 -100% $0.000000* 0 22 Mar 2024 Common Stock 9,672 Direct F1, F4
transaction ALAB Series B Preferred Stock Conversion of derivative security $0 -52,729 -100% $0.000000* 0 22 Mar 2024 Common Stock 52,729 By Trust (MLS) F1, F2
transaction ALAB Series B Preferred Stock Conversion of derivative security $0 -1,573,520 -100% $0.000000* 0 22 Mar 2024 Common Stock 1,573,520 By Limited Partnership (CHAT) F1, F5
transaction ALAB Series B Preferred Stock Conversion of derivative security $0 -11,295 -100% $0.000000* 0 22 Mar 2024 Common Stock 11,295 By Irrevocable Trust (SCT) F1, F6
transaction ALAB Series B Preferred Stock Conversion of derivative security $0 -1,815 -100% $0.000000* 0 22 Mar 2024 Common Stock 1,815 By Irrevocable Trust (SRT) F1, F6
transaction ALAB Series B Preferred Stock Conversion of derivative security $0 -127,405 -100% $0.000000* 0 22 Mar 2024 Common Stock 127,405 Direct F1, F7
transaction ALAB Series B Preferred Stock Conversion of derivative security $0 -78,061 -100% $0.000000* 0 22 Mar 2024 Common Stock 78,061 By Trust (SJP) F1, F3
transaction ALAB Series B Preferred Stock Conversion of derivative security $0 -14,957,606 -100% $0.000000* 0 22 Mar 2024 Common Stock 14,957,606 Direct F1, F4
transaction ALAB Series B Preferred Stock Conversion of derivative security $0 -203,445 -100% $0.000000* 0 22 Mar 2024 Common Stock 203,445 By SHM Investments, LLC F1, F8
transaction ALAB Series C Preferred Stock Conversion of derivative security $0 -27,093 -100% $0.000000* 0 22 Mar 2024 Common Stock 27,093 By Trust (MLS) F1, F2
transaction ALAB Series C Preferred Stock Conversion of derivative security $0 -3,426 -100% $0.000000* 0 22 Mar 2024 Common Stock 3,426 Direct F1, F7
transaction ALAB Series C Preferred Stock Conversion of derivative security $0 -3,141 -100% $0.000000* 0 22 Mar 2024 Common Stock 3,141 By Trust (SJP) F1, F3
transaction ALAB Series C Preferred Stock Conversion of derivative security $0 -478,056 -100% $0.000000* 0 22 Mar 2024 Common Stock 478,056 Direct F1, F4
transaction ALAB Series C Preferred Stock Conversion of derivative security $0 -6,568 -100% $0.000000* 0 22 Mar 2024 Common Stock 6,568 By SHM Investments, LLC F1, F8
transaction ALAB Series D Preferred Stock Conversion of derivative security $0 -117,405 -100% $0.000000* 0 22 Mar 2024 Common Stock 117,405 By Trust (MLS) F1, F2
transaction ALAB Series D Preferred Stock Conversion of derivative security $0 -17,721 -100% $0.000000* 0 22 Mar 2024 Common Stock 17,721 By Trust (SJP) F1, F3
transaction ALAB Series D Preferred Stock Conversion of derivative security $0 -1,316,256 -100% $0.000000* 0 22 Mar 2024 Common Stock 1,316,256 Direct F1, F4
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
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") 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 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.