0000950170-24-034736.txt : 20240321
0000950170-24-034736.hdr.sgml : 20240321
20240321162254
ACCESSION NUMBER: 0000950170-24-034736
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20240124
FILED AS OF DATE: 20240321
DATE AS OF CHANGE: 20240321
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Mohan Jitendra
CENTRAL INDEX KEY: 0001998053
ORGANIZATION NAME:
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-41979
FILM NUMBER: 24771700
MAIL ADDRESS:
STREET 1: C/O ASTERA LABS, INC.
STREET 2: 2901 TASMAN DR., SUITE 205
CITY: SANTA CLARA
STATE: CA
ZIP: 95054
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
ownership.xml
4
X0508
4
2024-01-24
0001736297
Astera Labs, Inc.
ALAB
0001998053
Mohan Jitendra
C/O ASTERA LABS, INC.
2901 TASMAN DRIVE, SUITE 205
SANTA CLARA
CA
95054
true
true
false
false
Chief Executive Officer
false
Common Stock
2024-01-24
4
A
false
2704335
0
A
2704335
D
Common Stock
4526315
I
By Living Trust
Common Stock
1000000
I
By Trust
Common Stock
1000000
I
By 2021 Trust 1
Common Stock
1000000
I
By 2021 Trust 2
Common Stock
750000
I
By 2022 Trust 1
Common Stock
750000
I
By 2022 Trust 2
This transaction occurred prior to the Issuer's initial public offering and is being reported on Form 4 solely for purposes of compliance with Rule 16a-2(a) under the Securities Exchange Act of 1934, as amended. The securities covered by such transaction were previously included on the Reporting Person's Form 3.
These shares represent an award of restricted stock units ("RSUs") granted on January 24, 2024 under the Astera Labs, Inc. Amended and Restated 2018 Equity Incentive Plan. Such award vests upon satisfaction of both (i) a time-based condition, which provides that the RSUs shall vest as to 25% on February 15, 2025 and the remaining RSUs shall vest in 12 equal quarterly installments thereafter, and (ii) a performance-based condition, which is satisfied upon the occurrence of a change in control of the Issuer or the consummation of an initial public offering of the Issuer's equity securities, subject to the Reporting Person's continuous service relationship with the Issuer through each applicable vesting date. Each RSU represents a contingent right to receive one share of the Issuer's Common Stock.
These shares are owned directly by a living trust (the "Living Trust"), of which the Reporting Person is a trustee. 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.
These shares are owned directly by an estate planning trust (the "Trust"). 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.
These shares are owned directly by an estate planning trust (the "2021 Trust 1"), of which the Reporting Person is a trustee. 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.
These shares are owned directly an estate planning trust (the "2021 Trust 2"), of which the Reporting Person is a trustee. 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.
These shares are owned directly by an estate planning trust (the "2022 Trust 1"). 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.
These shares are owned directly by an estate planning trust (the "2022 Trust 2"). 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.
/s/ Philip Mazzara, Attorney-in-Fact
2024-03-21