Form 4 for ALAB Astera Labs, Inc.
Accepted 2024-03-22 00:00:00 ET · period of report 2024-03-22 · accession 0001415889-24-009006 · 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 | Dyckerhoff Stefan A | Dir, 10% | C - Cnv Deriv | — | +17.02M | 23.8K | New | — |
| D | 2024-03-22 | 2024-03-22 | ALAB | Dyckerhoff Stefan A | Dir, 10% | C - Cnv Deriv | — | +179.6K | 179.6K | New | — |
| DMI | 2024-03-22 | 2024-03-22 | ALAB | Dyckerhoff Stefan A | Dir, 10% | C - Cnv Deriv | $0.00 | -17.02M | 0 | -100% | $0 |
| D | 2024-03-22 | 2024-03-22 | ALAB | Dyckerhoff Stefan A | Dir, 10% | C - Cnv Deriv | $0.00 | -179.6K | 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 | 16,761,590 | — | 16,761,590 | I By Limited Partnership (SHV) | — | — | (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. (F4) Shares held by Sutter Hill Ventures, a California Limited Partnership ("SHV"). The Reporting Person is a managing director and member of the management committee of the general partner of SHV. The Reporting Person disclaims beneficial ownership in these shares except as to the Reporting Person's pecuniary interest therein. |
| 2 | Common | Common Stock | 2024-03-22 | C | A | 179,617 | — | 179,617 | D | — | — | (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. |
| 3 | Common | Common Stock | 2024-03-22 | C | A | 210,013 | — | 210,013 | I By SHM Investments, LLC | — | — | (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. (F6) Shares held by SHM Investments, LLC ("SHMI"). The Reporting Person is a managing member of SHMI. The Reporting Person disclaims beneficial ownership in these shares except as to the Reporting Person's pecuniary interest therein. |
| 4 | Common | Common Stock | 2024-03-22 | C | A | 16,503 | — | 16,503 | I By Trust | — | — | (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. (F3) Shares held by a trust of which the Reporting Person is a Trustee. The Reporting Person disclaims beneficial ownership in these shares except as to the Reporting Person's pecuniary interest therein. |
| 5 | Common | Common Stock | 2024-03-22 | C | A | 9,936 | — | 9,936 | I By Limited Partnership (TF) | — | — | (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 limited partnership of which the Reporting Person is a trustee of a trust which is the general partner. The Reporting Person disclaims beneficial ownership in these shares except as to the Reporting Person's pecuniary interest therein. |
| 6 | Common | Common Stock | 2024-03-22 | C | A | 23,827 | — | 23,827 | I By Irrevocable Trust | — | — | (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. (F5) Shares held by an irrevocable trust of which the Reporting Person is a Trustee. The Reporting Person disclaims beneficial ownership in these shares except as to the Reporting Person's pecuniary interest therein. |
| 7 | Derivative | Series A Preferred Stock | 2024-03-22 | C | D | 65 | $0.00 | 0 | I By Trust | — · — to — | 65 Common Stock | (F3) Shares held by a trust of which the Reporting Person is a Trustee. The Reporting Person disclaims beneficial ownership in these shares except as to the Reporting Person's pecuniary interest therein. (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. |
| 8 | Derivative | Series A Preferred Stock | 2024-03-22 | C | D | 9,672 | $0.00 | 0 | I By Limited Partnership (SHV) | — · — to — | 9,672 Common Stock | (F4) Shares held by Sutter Hill Ventures, a California Limited Partnership ("SHV"). The Reporting Person is a managing director and member of the management committee of the general partner of SHV. The Reporting Person disclaims beneficial ownership in these shares except as to the Reporting Person's pecuniary interest therein. (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. |
| 9 | Derivative | Series B Preferred Stock | 2024-03-22 | C | D | 23,827 | $0.00 | 0 | I By Irrevocable Trust | — · — to — | 23,827 Common Stock | (F5) Shares held by an irrevocable trust of which the Reporting Person is a Trustee. The Reporting Person disclaims beneficial ownership in these shares except as to the Reporting Person's pecuniary interest therein. (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. |
| 10 | Derivative | Series B Preferred Stock | 2024-03-22 | C | D | 1,010 | $0.00 | 0 | I By Limited Partnership (TF) | — · — to — | 1,010 Common Stock | (F2) Shares held by a limited partnership of which the Reporting Person is a trustee of a trust which is the general partner. The Reporting Person disclaims beneficial ownership in these shares except as to the Reporting Person's pecuniary interest therein. (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. |
| 11 | Derivative | Series B Preferred Stock | 2024-03-22 | C | D | 179,617 | $0.00 | 0 | D | — · — to — | 179,617 Common Stock | (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. |
| 12 | Derivative | Series B Preferred Stock | 2024-03-22 | C | D | 1,010 | $0.00 | 0 | I By Trust | — · — to — | 1,010 Common Stock | (F3) Shares held by a trust of which the Reporting Person is a Trustee. The Reporting Person disclaims beneficial ownership in these shares except as to the Reporting Person's pecuniary interest therein. (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. |
| 13 | Derivative | Series B Preferred Stock | 2024-03-22 | C | D | 14,957,606 | $0.00 | 0 | I By Limited Partnership (SHV) | — · — to — | 14,957,606 Common Stock | (F4) Shares held by Sutter Hill Ventures, a California Limited Partnership ("SHV"). The Reporting Person is a managing director and member of the management committee of the general partner of SHV. The Reporting Person disclaims beneficial ownership in these shares except as to the Reporting Person's pecuniary interest therein. (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. |
| 14 | Derivative | Series B Preferred Stock | 2024-03-22 | C | D | 203,445 | $0.00 | 0 | I By SHM Investments, LLC | — · — to — | 203,445 Common Stock | (F6) Shares held by SHM Investments, LLC ("SHMI"). The Reporting Person is a managing member of SHMI. The Reporting Person disclaims beneficial ownership in these shares except as to the Reporting Person's pecuniary interest therein. (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. |
| 15 | Derivative | Series C Preferred Stock | 2024-03-22 | C | D | 6,568 | $0.00 | 0 | I By Trust | — · — to — | 6,568 Common Stock | (F3) Shares held by a trust of which the Reporting Person is a Trustee. The Reporting Person disclaims beneficial ownership in these shares except as to the Reporting Person's pecuniary interest therein. (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. |
| 16 | Derivative | Series C Preferred Stock | 2024-03-22 | C | D | 478,056 | $0.00 | 0 | I By Limited Partnership (SHV) | — · — to — | 478,056 Common Stock | (F4) Shares held by Sutter Hill Ventures, a California Limited Partnership ("SHV"). The Reporting Person is a managing director and member of the management committee of the general partner of SHV. The Reporting Person disclaims beneficial ownership in these shares except as to the Reporting Person's pecuniary interest therein. (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. |
| 17 | Derivative | Series C Preferred Stock | 2024-03-22 | C | D | 6,568 | $0.00 | 0 | I By SHM Investments, LLC | — · — to — | 6,568 Common Stock | (F6) Shares held by SHM Investments, LLC ("SHMI"). The Reporting Person is a managing member of SHMI. The Reporting Person disclaims beneficial ownership in these shares except as to the Reporting Person's pecuniary interest therein. (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. |
| 18 | Derivative | Series D Preferred Stock | 2024-03-22 | C | D | 8,861 | $0.00 | 0 | I By Limited Partnership (TF) | — · — to — | 8,861 Common Stock | (F2) Shares held by a limited partnership of which the Reporting Person is a trustee of a trust which is the general partner. The Reporting Person disclaims beneficial ownership in these shares except as to the Reporting Person's pecuniary interest therein. (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. |
| 19 | Derivative | Series D Preferred Stock | 2024-03-22 | C | D | 8,860 | $0.00 | 0 | I By Trust | — · — to — | 8,860 Common Stock | (F3) Shares held by a trust of which the Reporting Person is a Trustee. The Reporting Person disclaims beneficial ownership in these shares except as to the Reporting Person's pecuniary interest therein. (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. |
| 20 | Derivative | Series D Preferred Stock | 2024-03-22 | C | D | 1,316,256 | $0.00 | 0 | I By Limited Partnership (SHV) | — · — to — | 1,316,256 Common Stock | (F4) Shares held by Sutter Hill Ventures, a California Limited Partnership ("SHV"). The Reporting Person is a managing director and member of the management committee of the general partner of SHV. The Reporting Person disclaims beneficial ownership in these shares except as to the Reporting Person's pecuniary interest therein. (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. |
| 21 | Derivative | Series A Preferred Stock | 2024-03-22 | C | D | 65 | $0.00 | 0 | I By Limited Partnership (TF) | — · — to — | 65 Common Stock | (F2) Shares held by a limited partnership of which the Reporting Person is a trustee of a trust which is the general partner. The Reporting Person disclaims beneficial ownership in these shares except as to the Reporting Person's pecuniary interest therein. (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. |