SEC FORM 4 SEC Form 4
FORM 4 UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940
 
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checkbox unchecked Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
checkbox checked Check this box to indicate that a transaction was made pursuant to a contract, instruction or written plan for the purchase or sale of equity securities of the issuer that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c). See Instruction 10.
1. Name and Address of Reporting Person*
ALBA MANUEL

(Last) (First) (Middle)
C/O ASTERA LABS, INC.
2901 TASMAN DRIVE, SUITE 205

(Street)
SANTA CLARA CA 95054

(City) (State) (Zip)
2. Issuer Name and Ticker or Trading Symbol
Astera Labs, Inc. [ ALAB ]
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
checkbox checked Director 10% Owner
Officer (give title below) Other (specify below)
3. Date of Earliest Transaction (Month/Day/Year)
12/02/2024
4. If Amendment, Date of Original Filed (Month/Day/Year)
6. Individual or Joint/Group Filing (Check Applicable Line)
checkbox checked Form filed by One Reporting Person
Form filed by More than One Reporting Person
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1. Title of Security (Instr. 3) 2. Transaction Date (Month/Day/Year) 2A. Deemed Execution Date, if any (Month/Day/Year) 3. Transaction Code (Instr. 8) 4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5) 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 7. Nature of Indirect Beneficial Ownership (Instr. 4)
Code V Amount (A) or (D) Price
Common Stock 12/02/2024 S(1) 1,677 D $101.5975(2) 482,186 I By Casa Alameda 2007, LLC(3)
Common Stock 12/02/2024 S(1) 4,100 D $102.5737(4) 478,086 I By Casa Alameda 2007, LLC(3)
Common Stock 12/02/2024 S(1) 5,823 D $103.5033(5) 472,263 I By Casa Alameda 2007, LLC(3)
Common Stock 12/02/2024 S(1) 400 D $104.195(6) 471,863 I By Casa Alameda 2007, LLC(3)
Common Stock 12/02/2024 S(1) 7,178 D $101.6161(7) 2,167,320 I By Alba Trust(8)
Common Stock 12/02/2024 S(1) 16,930 D $102.5762(9) 2,150,390 I By Alba Trust(8)
Common Stock 12/02/2024 S(1) 25,520 D $103.4835(10) 2,124,870 I By Alba Trust(8)
Common Stock 12/02/2024 S(1) 1,372 D $104.3701(11) 2,123,498 I By Alba Trust(8)
Common Stock 12/03/2024 S(1) 4,100 D $105.5215(12) 467,763 I By Casa Alameda 2007, LLC(3)
Common Stock 12/03/2024 S(1) 105 D $108.2971(13) 467,658 I By Casa Alameda 2007, LLC(3)
Common Stock 12/03/2024 S(1) 100 D $108.46 467,558 I By Casa Alameda 2007, LLC(3)
Common Stock 12/03/2024 S(1) 1,100 D $110.45(14) 466,458 I By Casa Alameda 2007, LLC(3)
Common Stock 12/03/2024 S(1) 1,100 D $111.3727(15) 465,358 I By Casa Alameda 2007, LLC(3)
Common Stock 12/03/2024 S(1) 1,342 D $112.6923(16) 464,016 I By Casa Alameda 2007, LLC(3)
Common Stock 12/03/2024 S(1) 999 D $113.5797(17) 463,017 I By Casa Alameda 2007, LLC(3)
Common Stock 12/03/2024 S(1) 700 D $114.5671(18) 462,317 I By Casa Alameda 2007, LLC(3)
Common Stock 12/03/2024 S(1) 1,400 D $115.7886(19) 460,917 I By Casa Alameda 2007, LLC(3)
Common Stock 12/03/2024 S(1) 1,054 D $116.5896(20) 459,863 I By Casa Alameda 2007, LLC(3)
Common Stock 12/03/2024 S(1) 300 D $105.7533(21) 2,123,198 I By Alba Trust(8)
Common Stock 12/03/2024 S(1) 400 D $106.94(22) 2,122,798 I By Alba Trust(8)
Common Stock 12/03/2024 S(1) 600 D $108.15(23) 2,122,198 I By Alba Trust(8)
Common Stock 12/03/2024 S(1) 1,700 D $109.6523(24) 2,120,498 I By Alba Trust(8)
Common Stock 12/03/2024 S(1) 6,345 D $110.5421(25) 2,114,153 I By Alba Trust(8)
Common Stock 12/03/2024 S(1) 6,086 D $111.3372(26) 2,108,067 I By Alba Trust(8)
Common Stock 12/03/2024 S(1) 8,910 D $112.5609(27) 2,099,157 I By Alba Trust(8)
Common Stock 12/03/2024 S(1) 5,223 D $113.5478(28) 2,093,934 I By Alba Trust(8)
Common Stock 12/03/2024 S(1) 6,949 D $114.5955(29) 2,086,985 I By Alba Trust(8)
Common Stock 12/03/2024 S(1) 8,995 D $115.8509(30) 2,077,990 I By Alba Trust(8)
Common Stock 12/03/2024 S(1) 5,492 D $116.6297(31) 2,072,498 I By Alba Trust(8)
Common Stock 5,000 I By spouse
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 3) 2. Conversion or Exercise Price of Derivative Security 3. Transaction Date (Month/Day/Year) 3A. Deemed Execution Date, if any (Month/Day/Year) 4. Transaction Code (Instr. 8) 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) 6. Date Exercisable and Expiration Date (Month/Day/Year) 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) 8. Price of Derivative Security (Instr. 5) 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) 10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 11. Nature of Indirect Beneficial Ownership (Instr. 4)
Code V (A) (D) Date Exercisable Expiration Date Title Amount or Number of Shares
Explanation of Responses:
1. The sales reported in this Form 4 occurred automatically pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on May 31, 2024.
2. The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $101.0100 to $102.0000, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
3. 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.
4. The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $102.0200 to $103.0100, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
5. The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $103.0200 to $103.9600, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
6. The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $104.0200 to $104.3800, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
7. The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $101.0500 to $102.0400, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
8. 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.
9. The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $102.0500 to $103.0400, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
10. The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $103.0500 to $104.0100, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
11. The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $104.0500 to $105.0200, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
12. The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $105.5200 to $105.5800, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
13. The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $107.4400 to $108.3400, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
14. The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $109.9200 to $110.7900, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
15. The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $111.0500 to $111.9200, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
16. The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $112.0700 to $113.0400, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
17. The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $113.0900 to $113.9900, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
18. The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $114.1100 to $115.0900, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
19. The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $115.1500 to $116.1300, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
20. The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $116.2100 to $117.0600, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
21. The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $105.5800 to $106.1000, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
22. The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $106.7900 to $107.0500, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
23. The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $107.8100 to $108.4100, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
24. The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $108.9500 to $109.9200, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
25. The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $110.0000 to $110.9800, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
26. The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $111.0000 to $111.9000, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
27. The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $112.0300 to $113.0200, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
28. The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $113.0500 to $114.0000, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
29. The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $114.1500 to $115.1400, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
30. The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $115.2900 to $116.2800, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
31. The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $116.2900 to $117.2100, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
Remarks:
/s/ Philip Mazzara, Attorney-in-Fact 12/04/2024
** Signature of Reporting Person Date
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 4 (b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number.