Astera Labs (ALAB) counsel acquires 131 shares via 2024 purchase plan

Rhea-AI Filing Summary

Astera Labs, Inc. General Counsel and Secretary Philip Mazzara acquired additional company stock through an employee purchase program. On May 14, 2026, he received 131 shares of common stock at $120.1815 per share under the 2024 Employee Stock Purchase Plan, bringing his direct holdings to 118,215 shares. The filing notes these plan purchases were exempt under Rule 16b-3(d) and Rule 16b-3(c).

Insider Trade Summary

1 transaction reported

Mixed 1 txn

Insider Mazzara Philip

Role General Counsel and Secretary

Type	Security	Shares	Price	Value
Grant/Award	Common Stock	131	$120.1815	$16K

Holdings After Transaction: Common Stock — 118,215 shares (Direct, null)

Footnotes (1)

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Key Figures

Shares acquired: 131 shares Transaction price: $120.1815 per share Total holdings after transaction: 118,215 shares +1 more

4 metrics

Shares acquired 131 shares Common stock grant on May 14, 2026

Transaction price $120.1815 per share Price for shares acquired under 2024 ESPP

Total holdings after transaction 118,215 shares Direct ownership following May 14, 2026 acquisition

Transaction type Grant, award, or other acquisition Form 4 transaction code A, non-derivative

Key Terms

2024 Employee Stock Purchase Plan, Rule 16b-3(d), Rule 16b-3(c), Grant, award, or other acquisition

4 terms

2024 Employee Stock Purchase Plan financial

"These shares were acquired under the Astera Labs, Inc. 2024 Employee Stock Purchase Plan"

Rule 16b-3(d) regulatory

"transactions that were exempt under both Rule 16b-3(d) and Rule 16b-3(c)"

Rule 16b-3(d) is a narrow SEC safe-harbor that shields company insiders (officers, directors and large shareholders) from liability for short‑swing profits when their buys or sells of company stock are made under a pre-established, written plan or contract that removes the insider’s ability to time trades. For investors, this matters because it permits predictable, automated insider transactions — like scheduled sales for diversification or payroll withholding — without triggering forced disgorgement, so such planned trades are treated differently from opportunistic insider trading.

Rule 16b-3(c) regulatory

"transactions that were exempt under both Rule 16b-3(d) and Rule 16b-3(c)"

An SEC rule that lets corporate insiders avoid automatic "short‑swing" profit recovery when they buy or sell their company’s stock under a pre‑approved, written plan that meets specific conditions. For investors, it matters because it clarifies when insider trades are treated as routine, reducing legal uncertainty and helping distinguish trades made for ordinary compensation or pre‑planned reasons from those that might signal opportunistic or timely insider advantage.

Grant, award, or other acquisition financial

"transaction_code_description: Grant, award, or other acquisition"

Form 4 Insider Transactions: What Each Field Means →

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

OMB APPROVAL

OMB Number:			3235-0287
Estimated average burden
hours per response:			0.5

Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).

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^*

Mazzara Philip

(Last) (First) (Middle)

C/O ASTERA LABS, INC.

2345 NORTH FIRST STREET

(Street)

SAN JOSE CALIFORNIA 95131

(City) (State) (Zip)

UNITED STATES

(Country)

2. Issuer Name and Ticker or Trading Symbol
Astera Labs, Inc. [ ALAB ]

5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)

	Director		10% Owner
X	Officer (give title below)		Other (specify below)
	General Counsel and Secretary

2a. Foreign Trading Symbol

3. Date of Earliest Transaction (Month/Day/Year)
05/14/2026

6. Individual or Joint/Group Filing (Check Applicable Line)

X	Form filed by One Reporting Person
	Form filed by More than One Reporting Person

4. If Amendment, Date of Original Filed (Month/Day/Year)

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	05/14/2026		A(1)	V	131	A	$120.1815	118,215	D

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. These shares were acquired under the Astera Labs, Inc. 2024 Employee Stock Purchase Plan in transactions that were exempt under both Rule 16b-3(d) and Rule 16b-3(c).

Remarks:

	/s/ Philip Mazzara	05/18/2026
	** 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.
* Form 4: SEC 1474 (03-26)

FAQ

What insider transaction did Astera Labs (ALAB) report for Philip Mazzara?

Astera Labs reported that General Counsel and Secretary Philip Mazzara acquired 131 shares of common stock. The shares were obtained through the company’s 2024 Employee Stock Purchase Plan, a program that lets employees buy stock periodically, rather than an open-market trade.

How many Astera Labs (ALAB) shares did Philip Mazzara acquire and at what price?

Philip Mazzara acquired 131 shares of Astera Labs common stock at $120.1815 per share. This price reflects the transaction value recorded for the purchase under the 2024 Employee Stock Purchase Plan on May 14, 2026, according to the Form 4 filing.

What are Philip Mazzara’s total Astera Labs (ALAB) holdings after this Form 4 transaction?

After the transaction, Philip Mazzara directly holds 118,215 shares of Astera Labs common stock. This total includes the 131 shares acquired under the 2024 Employee Stock Purchase Plan and represents his direct ownership position reported in the Form 4.

Was the Astera Labs (ALAB) insider transaction part of an employee stock purchase plan?

Yes. The 131 shares were acquired under the Astera Labs, Inc. 2024 Employee Stock Purchase Plan. The footnote explains these transactions occurred within this plan structure, rather than as discretionary market trades, and were treated as exempt under applicable SEC rules.

Which SEC rules apply to Philip Mazzara’s Astera Labs (ALAB) stock acquisition?

The stock acquisition was described as exempt under Rule 16b-3(d) and Rule 16b-3(c). These SEC rules provide exemptions for certain insider transactions made under approved employee benefit or compensation plans, such as the 2024 Employee Stock Purchase Plan referenced in the filing.