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

Reporting relationship: 10%+ Owner
Issuer ticker: ALAB
Reported as of: 22 Mar 2024
Net transaction value: $0
SEC form: 4
Accepted by SEC: 22 Mar 2024, 17:50:24 UTC
Prior SEC filing: 19 Mar 2024
Next SEC filing: 19 Aug 2024
Source filing: View source filing
Reporting owner signature: Sutter Hill Ventures, By /s/ Kanwalpreet S. Kalra, Attorney-in-Fact

Key filing fact

SUTTER HILL VENTURES filed Form 4 for Astera Labs, Inc. (ALAB) on 22 Mar 2024.

Key facts

This page summarizes SUTTER HILL VENTURES's Form 4 filing for Astera Labs, Inc. (ALAB).
27 reported transactions and 19 derivative rows are listed below.
Accepted by SEC: 22 Mar 2024, 17:50.

Change

Previous filing in this sequence was filed on 19 Mar 2024.
Current net transaction value: $0.

Research use

This tells you what this filing adds before you inspect full transaction and derivative tables.
You can trace every row back to the original SEC filing document.

Evidence

Filed on Form 4

Ownership activity is grounded in SEC Form 4 disclosures.

View source filing

Reported non-derivative transactions

Shares, units, or other non-derivative securities reported in this filing.

ALAB transaction

Common Stock

Conversion of derivative security

Transaction value
Shares: +198,091
Change %
Price
Shares after: 198,091
Date: 22 Mar 2024
Ownership: By Trust (MLS)
Footnotes: F1, F2

ALAB transaction

Common Stock

Conversion of derivative security

Transaction value
Shares: +99,053
Change %
Price
Shares after: 99,053
Date: 22 Mar 2024
Ownership: By Trust (SJP)
Footnotes: F1, F3

ALAB transaction

Common Stock

Conversion of derivative security

Transaction value
Shares: +16,761,590
Change %
Price
Shares after: 16,761,590
Date: 22 Mar 2024
Ownership: Direct
Footnotes: F1, F4

ALAB transaction

Common Stock

Conversion of derivative security

Transaction value
Shares: +1,573,520
Change %
Price
Shares after: 1,573,520
Date: 22 Mar 2024
Ownership: By Limited Partnership (CHAT)
Footnotes: F1, F5

ALAB transaction

Common Stock

Conversion of derivative security

Transaction value
Shares: +11,295
Change %
Price
Shares after: 11,295
Date: 22 Mar 2024
Ownership: By Irrevocable Trust (SCT)
Footnotes: F1, F6

ALAB transaction

Common Stock

Conversion of derivative security

Transaction value
Shares: +1,815
Change %
Price
Shares after: 1,815
Date: 22 Mar 2024
Ownership: By Irrevocable Trust (SRT)
Footnotes: F1, F6

ALAB transaction

Common Stock

Conversion of derivative security

Transaction value
Shares: +130,831
Change %
Price
Shares after: 130,831
Date: 22 Mar 2024
Ownership: Direct
Footnotes: F1, F7

ALAB transaction

Common Stock

Conversion of derivative security

Transaction value
Shares: +210,013
Change %
Price
Shares after: 210,013
Date: 22 Mar 2024
Ownership: By SHM Investments, LLC
Footnotes: F1, F8

Reported derivative securities

Options, warrants, convertible securities, or similar derivative positions disclosed in the filing.

ALAB transaction Derivative

Series A Preferred Stock

Conversion of derivative security

Transaction value: $0
Shares: -864
Change %: -100%
Price: $0.000000^*
Shares after: 0
Date: 22 Mar 2024
Ownership: By Trust (MLS)
Underlying class: Common Stock
Underlying amount: 864
Exercise price
Footnotes: F1, F2

ALAB transaction Derivative

Series A Preferred Stock

Conversion of derivative security

Transaction value: $0
Shares: -130
Change %: -100%
Price: $0.000000^*
Shares after: 0
Date: 22 Mar 2024
Ownership: By Trust (SJP)
Underlying class: Common Stock
Underlying amount: 130
Exercise price
Footnotes: F1, F3

ALAB transaction Derivative

Series A Preferred Stock

Conversion of derivative security

Transaction value: $0
Shares: -9,672
Change %: -100%
Price: $0.000000^*
Shares after: 0
Date: 22 Mar 2024
Ownership: Direct
Underlying class: Common Stock
Underlying amount: 9,672
Exercise price
Footnotes: F1, F4

ALAB transaction Derivative

Series B Preferred Stock

Conversion of derivative security

Transaction value: $0
Shares: -52,729
Change %: -100%
Price: $0.000000^*
Shares after: 0
Date: 22 Mar 2024
Ownership: By Trust (MLS)
Underlying class: Common Stock
Underlying amount: 52,729
Exercise price
Footnotes: F1, F2

ALAB transaction Derivative

Series B Preferred Stock

Conversion of derivative security

Transaction value: $0
Shares: -1,573,520
Change %: -100%
Price: $0.000000^*
Shares after: 0
Date: 22 Mar 2024
Ownership: By Limited Partnership (CHAT)
Underlying class: Common Stock
Underlying amount: 1,573,520
Exercise price
Footnotes: F1, F5

ALAB transaction Derivative

Series B Preferred Stock

Conversion of derivative security

Transaction value: $0
Shares: -11,295
Change %: -100%
Price: $0.000000^*
Shares after: 0
Date: 22 Mar 2024
Ownership: By Irrevocable Trust (SCT)
Underlying class: Common Stock
Underlying amount: 11,295
Exercise price
Footnotes: F1, F6

ALAB transaction Derivative

Series B Preferred Stock

Conversion of derivative security

Transaction value: $0
Shares: -1,815
Change %: -100%
Price: $0.000000^*
Shares after: 0
Date: 22 Mar 2024
Ownership: By Irrevocable Trust (SRT)
Underlying class: Common Stock
Underlying amount: 1,815
Exercise price
Footnotes: F1, F6

ALAB transaction Derivative

Series B Preferred Stock

Conversion of derivative security

Transaction value: $0
Shares: -127,405
Change %: -100%
Price: $0.000000^*
Shares after: 0
Date: 22 Mar 2024
Ownership: Direct
Underlying class: Common Stock
Underlying amount: 127,405
Exercise price
Footnotes: F1, F7

ALAB transaction Derivative

Series B Preferred Stock

Conversion of derivative security

Transaction value: $0
Shares: -78,061
Change %: -100%
Price: $0.000000^*
Shares after: 0
Date: 22 Mar 2024
Ownership: By Trust (SJP)
Underlying class: Common Stock
Underlying amount: 78,061
Exercise price
Footnotes: F1, F3

ALAB transaction Derivative

Series B Preferred Stock

Conversion of derivative security

Transaction value: $0
Shares: -14,957,606
Change %: -100%
Price: $0.000000^*
Shares after: 0
Date: 22 Mar 2024
Ownership: Direct
Underlying class: Common Stock
Underlying amount: 14,957,606
Exercise price
Footnotes: F1, F4

ALAB transaction Derivative

Series B Preferred Stock

Conversion of derivative security

Transaction value: $0
Shares: -203,445
Change %: -100%
Price: $0.000000^*
Shares after: 0
Date: 22 Mar 2024
Ownership: By SHM Investments, LLC
Underlying class: Common Stock
Underlying amount: 203,445
Exercise price
Footnotes: F1, F8

ALAB transaction Derivative

Series C Preferred Stock

Conversion of derivative security

Transaction value: $0
Shares: -27,093
Change %: -100%
Price: $0.000000^*
Shares after: 0
Date: 22 Mar 2024
Ownership: By Trust (MLS)
Underlying class: Common Stock
Underlying amount: 27,093
Exercise price
Footnotes: F1, F2

ALAB transaction Derivative

Series C Preferred Stock

Conversion of derivative security

Transaction value: $0
Shares: -3,426
Change %: -100%
Price: $0.000000^*
Shares after: 0
Date: 22 Mar 2024
Ownership: Direct
Underlying class: Common Stock
Underlying amount: 3,426
Exercise price
Footnotes: F1, F7

ALAB transaction Derivative

Series C Preferred Stock

Conversion of derivative security

Transaction value: $0
Shares: -3,141
Change %: -100%
Price: $0.000000^*
Shares after: 0
Date: 22 Mar 2024
Ownership: By Trust (SJP)
Underlying class: Common Stock
Underlying amount: 3,141
Exercise price
Footnotes: F1, F3

ALAB transaction Derivative

Series C Preferred Stock

Conversion of derivative security

Transaction value: $0
Shares: -478,056
Change %: -100%
Price: $0.000000^*
Shares after: 0
Date: 22 Mar 2024
Ownership: Direct
Underlying class: Common Stock
Underlying amount: 478,056
Exercise price
Footnotes: F1, F4

ALAB transaction Derivative

Series C Preferred Stock

Conversion of derivative security

Transaction value: $0
Shares: -6,568
Change %: -100%
Price: $0.000000^*
Shares after: 0
Date: 22 Mar 2024
Ownership: By SHM Investments, LLC
Underlying class: Common Stock
Underlying amount: 6,568
Exercise price
Footnotes: F1, F8

ALAB transaction Derivative

Series D Preferred Stock

Conversion of derivative security

Transaction value: $0
Shares: -117,405
Change %: -100%
Price: $0.000000^*
Shares after: 0
Date: 22 Mar 2024
Ownership: By Trust (MLS)
Underlying class: Common Stock
Underlying amount: 117,405
Exercise price
Footnotes: F1, F2

ALAB transaction Derivative

Series D Preferred Stock

Conversion of derivative security

Transaction value: $0
Shares: -17,721
Change %: -100%
Price: $0.000000^*
Shares after: 0
Date: 22 Mar 2024
Ownership: By Trust (SJP)
Underlying class: Common Stock
Underlying amount: 17,721
Exercise price
Footnotes: F1, F3

ALAB transaction Derivative

Series D Preferred Stock

Conversion of derivative security

Transaction value: $0
Shares: -1,316,256
Change %: -100%
Price: $0.000000^*
Shares after: 0
Date: 22 Mar 2024
Ownership: Direct
Underlying class: Common Stock
Underlying amount: 1,316,256
Exercise price
Footnotes: F1, F4

^* marks a reported price that did not pass the local price check.

Additional SEC filing notes

Filing notes and footnotes

Explanation of responses 8 footnotes

Footnote 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.

Footnote 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.

Footnote 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.

Footnote 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.

Footnote 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.

Footnote 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.

Footnote F7

Shares held by Samuel J. Pullara III.

Footnote 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.

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