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Astera Labs Inc

For the period ended Jun 30, 2024. Filed Aug 7, 2024.

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About this filing

A company's report for each of its first three quarters. The financial statements are not audited. It shows how the business has moved since the last annual report, and what management says changed.

Jun 30, 2024 · Filed Aug 7, 2024

ALAB$216.87+13.7%Stored close · as of Nov 9, 2026

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Item 5. Other Information

Insider Adoption or Termination of Trading Arrangements

Our directors or officers (as defined in Rule 16a-1(f) of the Exchange Act)adopted, terminated or modified a “Rule 10b5-1 trading arrangement” or a “non-Rule 10b5-1 trading agreement” (each as defined in Item 408 of Regulation S-K) during the quarterly period covered by this report as described in the table below:

NameTitleActionDate AdoptedCharacter of Trading Arrangement (1)Aggregate Number of Shares of Common Stock to be Purchased or Sold Pursuant to a Trading ArrangementExpiration Date (2)
Jitendra Mohan(3)CEO, DirectorAdoption5/31/2024Rule 10b5-1 Trading Arrangement900,000(4)8/29/2025
Sanjay Gajendra(5)President, COO, DirectorAdoption5/31/2024Rule 10b5-1 Trading Arrangement1,000,000(4)7/31/2025
Manuel Alba(6)DirectorAdoption5/31/2024Rule 10b5-1 Trading Arrangement1,040,0008/30/2025
Jack LazarDirectorAdoption5/22/2024Rule 10b5-1 Trading Arrangement52,5005/22/2025
Michael Tate(7)CFOAdoption5/30/2024Rule 10b5-1 Trading Arrangement500,000(4)7/31/2025
Philip MazzaraGeneral CounselAdoption5/24/2024Rule 10b5-1 Trading Arrangement125,000(4)5/24/2025

(1) Except as indicated by footnote, each trading arrangement marked as a “Rule 10b5-1 Trading Arrangement” is intended to satisfy the affirmative defense of Rule 10b5-1(c) of the Exchange Act, as amended (the Rule).

(2) Except as indicated by footnote, each trading arrangement permitted or permits transactions through and including the earlier to occur of (a) the completion of sales or (b) the date listed in the table. Each trading arrangement marked as a “Rule 10b5-1 Trading Arrangement” only permits transactions upon expiration of the applicable mandatory cooling-off period under the Rule and is scheduled to terminate on the earlier of the expiration date or when all shares are sold under such plan, subject to early termination for certain specified events set forth therein.

(3) The shares covered by this trading arrangement include certain shares that are held by trusts and may be deemed to be indirectly beneficially owned by Jitendra Mohan.

(4) The shares subject to this trading arrangement also include certain shares subject to time-based RSUs that will be sold to satisfy applicable tax withholding and remittance obligations upon vesting of the RSUs during the applicable period. The total number of such shares that may be sold pursuant to such arrangement is not currently determinable, as the number of shares required to be sold will vary based on, among other things, the market price of our common stock at the time of settlement, the applicable withholding taxes at the time of settlement, and the potential future grant of additional equity awards subject to this arrangement. This trading arrangement, which also applies to RSUs held by the individual, provides for the automatic sale of shares that would otherwise be issuable on each settlement date of a covered RSU in an amount sufficient to satisfy the applicable withholding obligation with the proceeds of the sale delivered to the Company in satisfaction of the applicable withholding obligation, in accordance with the Company’s mandatory sell to cover policy.

(5) The shares covered by this trading arrangement include certain shares that are held by trusts and may be deemed to be indirectly beneficially owned by Sanjay Gajendra.

(6) The shares covered by this trading arrangement include certain shares held by (a) Alba 2003 Living Trust; (b) Mar 2011 Children’s Trust; and (c) Casa Alameda 2007, LLC, which shares may be deemed to be beneficially owned by Manuel Alba.

(7) The shares covered by this trading arrangement include certain shares held by the Tate 1997 Living Trust DTD 4/24/97, which shares may be deemed to be beneficially owned by Michael Tate.

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