0001415889-24-009006.txt : 20240322 0001415889-24-009006.hdr.sgml : 20240322 20240322174830 ACCESSION NUMBER: 0001415889-24-009006 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20240322 FILED AS OF DATE: 20240322 DATE AS OF CHANGE: 20240322 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Dyckerhoff Stefan A CENTRAL INDEX KEY: 0001484394 ORGANIZATION NAME: FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-41979 FILM NUMBER: 24776432 MAIL ADDRESS: STREET 1: 755 PAGE MILL ROAD, STREET 2: SUITE A-200 CITY: PALO ALTO STATE: CA ZIP: 94304 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: Astera Labs, Inc. CENTRAL INDEX KEY: 0001736297 STANDARD INDUSTRIAL CLASSIFICATION: SEMICONDUCTORS & RELATED DEVICES [3674] ORGANIZATION NAME: 04 Manufacturing IRS NUMBER: 823437062 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 2901 TASMAN DR. SUITE 205 CITY: SANTA CLARA STATE: CA ZIP: 95054 BUSINESS PHONE: 408-242-7319 MAIL ADDRESS: STREET 1: 2901 TASMAN DR. SUITE 205 CITY: SANTA CLARA STATE: CA ZIP: 95054 4 1 form4-03222024_090324.xml X0508 4 2024-03-22 0001736297 Astera Labs, Inc. ALAB 0001484394 Dyckerhoff Stefan A 755 PAGE MILL ROAD, SUITE A-200 PALO ALTO CA 94304-1005 true false true false 0 Common Stock 2024-03-22 4 C 0 9936 A 9936 I By Limited Partnership (TF) Common Stock 2024-03-22 4 C 0 16503 A 16503 I By Trust Common Stock 2024-03-22 4 C 0 16761590 A 16761590 I By Limited Partnership (SHV) Common Stock 2024-03-22 4 C 0 23827 A 23827 I By Irrevocable Trust Common Stock 2024-03-22 4 C 0 179617 A 179617 D Common Stock 2024-03-22 4 C 0 210013 A 210013 I By SHM Investments, LLC Series A Preferred Stock 2024-03-22 4 C 0 65 0 D Common Stock 65 0 I By Limited Partnership (TF) Series A Preferred Stock 2024-03-22 4 C 0 65 0 D Common Stock 65 0 I By Trust Series A Preferred Stock 2024-03-22 4 C 0 9672 0 D Common Stock 9672 0 I By Limited Partnership (SHV) Series B Preferred Stock 2024-03-22 4 C 0 23827 0 D Common Stock 23827 0 I By Irrevocable Trust Series B Preferred Stock 2024-03-22 4 C 0 1010 0 D Common Stock 1010 0 I By Limited Partnership (TF) Series B Preferred Stock 2024-03-22 4 C 0 179617 0 D Common Stock 179617 0 D Series B Preferred Stock 2024-03-22 4 C 0 1010 0 D Common Stock 1010 0 I By Trust Series B Preferred Stock 2024-03-22 4 C 0 14957606 0 D Common Stock 14957606 0 I By Limited Partnership (SHV) Series B Preferred Stock 2024-03-22 4 C 0 203445 0 D Common Stock 203445 0 I By SHM Investments, LLC Series C Preferred Stock 2024-03-22 4 C 0 6568 0 D Common Stock 6568 0 I By Trust Series C Preferred Stock 2024-03-22 4 C 0 478056 0 D Common Stock 478056 0 I By Limited Partnership (SHV) Series C Preferred Stock 2024-03-22 4 C 0 6568 0 D Common Stock 6568 0 I By SHM Investments, LLC Series D Preferred Stock 2024-03-22 4 C 0 8861 0 D Common Stock 8861 0 I By Limited Partnership (TF) Series D Preferred Stock 2024-03-22 4 C 0 8860 0 D Common Stock 8860 0 I By Trust Series D Preferred Stock 2024-03-22 4 C 0 1316256 0 D Common Stock 1316256 0 I By Limited Partnership (SHV) 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. 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. 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. 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. 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. 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. /s/ Kanwalpreet S. Kalra, Attorney-in-Fact 2024-03-22