Form 4 for ALAB Astera Labs, Inc.
Accepted 2024-03-22 00:00:00 ET · period of report 2024-03-22 · accession 0000950170-24-035422 · SEC index · Original document
Summary rows
Aggregated the way they appear in lists: one row per insider, transaction code and security table.
| X | Filed | Traded | Ticker | Insider | Title | Type | Price | Qty | Owned | ΔOwn | Value |
|---|---|---|---|---|---|---|---|---|---|---|---|
| DMI | 2024-03-22 | 2024-03-22 | ALAB | ALBA MANUEL | Dir | C - Cnv Deriv | — | +2.81M | 518.9K | New | — |
| DI | 2024-03-22 | 2024-03-22 | ALAB | ALBA MANUEL | Dir | P - Purchase | $36.00 | +5,000 | 5,000 | New | +$180.0K |
| DMI | 2024-03-22 | 2024-03-22 | ALAB | ALBA MANUEL | Dir | C - Cnv Deriv | $0.00 | -2.81M | 0 | -100% | $0 |
Purchase Sale Sale after option exercise All abbreviations
Every reported transaction
| # | Table | Security | Date | Code | A/D | Shares | Price | Owned after | Own | Exercise / expiry | Underlying | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|---|
| 1 | Common | Common Stock | 2024-03-22 | C | A | 2,314,498 | — | 2,314,498 | I By Alba Trust | — | — | (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. (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. |
| 2 | Common | Common Stock | 2024-03-22 | C | A | 499,127 | — | 518,863 | I By Casa Alameda 2007, LLC | — | — | (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. |
| 3 | Common | Common Stock | 2024-03-22 | P | A | 5,000 | $36.00 | 5,000 | I By spouse | — | — | (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. |
| 4 | Derivative | Series C Preferred | 2024-03-22 | C | D | 3,718 | $0.00 | 0 | I By Alba Trust | — · — to — | 3,718 Common Stock | (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. (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. |
| 5 | Derivative | Series B Preferred | 2024-03-22 | C | D | 349,995 | $0.00 | 0 | I By Alba Trust | — · — to — | 349,995 Common Stock | (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. (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. |
| 6 | Derivative | Series B Preferred | 2024-03-22 | C | D | 75,597 | $0.00 | 0 | I By Casa Alameda 2007, LLC | — · — to — | 75,597 Common Stock | (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. (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. |
| 7 | Derivative | Series A Preferred | 2024-03-22 | C | D | 1,960,785 | $0.00 | 0 | I By Alba Trust | — · — to — | 1,960,785 Common Stock | (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. (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. |
| 8 | Derivative | Series A Preferred | 2024-03-22 | C | D | 423,530 | $0.00 | 0 | I By Casa Alameda 2007, LLC | — · — to — | 423,530 Common Stock | (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. (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. |