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SUTTER HILL VENTURES

Disclosed activity across 7 companies

Tapewire entity
15684
SEC CIK
0000879051

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Reported relationships

Latest disclosed role at each company.

CompanyLast reported asReport datePublished
Mattersight CorpMATR · Entity 16410710% ownerMay 31, 2017June 02, 2017
Venus Concept Inc.HAIR · Entity 5530410% ownerOctober 16, 2017October 18, 2017

Disclosed balances

About these balances

Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.

Mattersight Corp

Report date May 31, 2017 · Filed June 02, 2017

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Common StockSEC Table I · non-derivativeDirect1,056,194 Ending reported balance After 2017-06-01 transaction · row 2
2 source rows · reconciled sequence

Row 1 · 2017-05-31 · Other · Disposed 271,391 · Balance 852,651

F1: On May 31, 2017, a limited partner (the "Limited Partner") of Sutter Hill Ventures, a California Limited Partnership ("SHV") liquidated its interest in SHV in return for its ratable share of the holdings of SHV, resulting in SHV's disposition to the Limited Partner of 271,391 shares (the "Distributed Common Shares") of the Issuer's common stock (the "Liquidation").

Row 2 · 2017-06-01 · Purchase · Acquired 203,543 · Balance 1,056,194

F2: In connection with the Liquidation, SHV entered into an agreement with the Limited Partner to repurchase 203,543 Distributed Common Shares from the Limited Partner at a purchase price equal to the average of the mean between the closing bid and ask prices over the ninety (90)-day period ended March 31, 2017.

Filing footnotes · ownership attribution and instrument terms

F1: On May 31, 2017, a limited partner (the "Limited Partner") of Sutter Hill Ventures, a California Limited Partnership ("SHV") liquidated its interest in SHV in return for its ratable share of the holdings of SHV, resulting in SHV's disposition to the Limited Partner of 271,391 shares (the "Distributed Common Shares") of the Issuer's common stock (the "Liquidation").

F2: In connection with the Liquidation, SHV entered into an agreement with the Limited Partner to repurchase 203,543 Distributed Common Shares from the Limited Partner at a purchase price equal to the average of the mean between the closing bid and ask prices over the ninety (90)-day period ended March 31, 2017.

Venus Concept Inc.

Report date October 16, 2017 · Filed October 18, 2017

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Common StockSEC Table I · non-derivativeDirect2,079,590 Ending reported balance After 2017-10-16 transaction · row 4
4 source rows · reconciled sequence

Row 1 · 2017-10-16 · Conversion · Acquired 888,690 · Balance 888,690

F1: The issuer's preferred stock will automatically convert into issuer's common stock on a one-to-one basis immediately prior to the closing of the issuer's initial public offering and has no expiration date.

Row 2 · 2017-10-16 · Conversion · Acquired 606,386 · Balance 1,495,076

F1: The issuer's preferred stock will automatically convert into issuer's common stock on a one-to-one basis immediately prior to the closing of the issuer's initial public offering and has no expiration date.

Row 3 · 2017-10-16 · Conversion · Acquired 479,145 · Balance 1,974,221

F1: The issuer's preferred stock will automatically convert into issuer's common stock on a one-to-one basis immediately prior to the closing of the issuer's initial public offering and has no expiration date.

Row 4 · 2017-10-16 · Conversion · Acquired 105,369 · Balance 2,079,590

Convertible Promissory NoteSEC Table II · derivative / convertible security · Conversion / exercise price $7.00Direct0 Reported balance After 2017-10-16 transaction · row 5 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 5 · 2017-10-16 · Conversion · Disposed 105,369 · Balance 0

F2: This reported amount represents the number of shares issuable upon the conversion of the principal and accrued interest of the convertible promissory note held by the reporting person.

F3: The outstanding principal and accrued interest of the reporting person's convertible promissory note automatically converted into shares of the issuer's common stock at the price per share available to the public as set forth in the final prospectus related to the initial public offering upon closing of the initial public offering.

Series A Preferred StockSEC Table II · derivative / convertible securityDirect0 Reported balance After 2017-10-16 transaction · row 6 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 6 · 2017-10-16 · Conversion · Disposed 479,145 · Balance 0

F1: The issuer's preferred stock will automatically convert into issuer's common stock on a one-to-one basis immediately prior to the closing of the issuer's initial public offering and has no expiration date.

Series B Preferred StockSEC Table II · derivative / convertible securityDirect0 Reported balance After 2017-10-16 transaction · row 7 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 7 · 2017-10-16 · Conversion · Disposed 606,386 · Balance 0

F1: The issuer's preferred stock will automatically convert into issuer's common stock on a one-to-one basis immediately prior to the closing of the issuer's initial public offering and has no expiration date.

Series C Preferred StockSEC Table II · derivative / convertible securityDirect0 Reported balance After 2017-10-16 transaction · row 8 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 8 · 2017-10-16 · Conversion · Disposed 888,690 · Balance 0

F1: The issuer's preferred stock will automatically convert into issuer's common stock on a one-to-one basis immediately prior to the closing of the issuer's initial public offering and has no expiration date.

Filing footnotes · ownership attribution and instrument terms

F1: The issuer's preferred stock will automatically convert into issuer's common stock on a one-to-one basis immediately prior to the closing of the issuer's initial public offering and has no expiration date.

F2: This reported amount represents the number of shares issuable upon the conversion of the principal and accrued interest of the convertible promissory note held by the reporting person.

F3: The outstanding principal and accrued interest of the reporting person's convertible promissory note automatically converted into shares of the issuer's common stock at the price per share available to the public as set forth in the final prospectus related to the initial public offering upon closing of the initial public offering.

Past disclosures · reporting ended (5)

No longer tracked through insider filings. These historical balances do not imply present ownership or a zero position.

Astera Labs, Inc.

Report date August 15, 2024 · Filed August 19, 2024

Section 16 reporting ended · disclosed 2024-08-19. Current position is not established by this disclosure.

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Common StockSEC Table I · non-derivativeDirect11,174,393 Reported balance After 2024-08-15 transaction · row 1
1 source row

Row 1 · 2024-08-15 · Other · Disposed 5,587,196 · Balance 11,174,393

F1: Effective August 15, 2024, Sutter Hill Ventures, a California Limited Partnership effected a pro rata distribution to its limited partners and its general partner for no additional consideration.

Filing footnotes · ownership attribution and instrument terms

F1: Effective August 15, 2024, Sutter Hill Ventures, a California Limited Partnership effected a pro rata distribution to its limited partners and its general partner for no additional consideration.

Everpure, Inc.

Report date March 02, 2018 · Filed March 06, 2018

Section 16 reporting ended · disclosed 2018-03-06. Current position is not established by this disclosure.

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Class B Common StockSEC Table II · derivative / convertible securityDirect0 Reported balance After 2018-03-02 transaction · row 1 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 1 · 2018-03-02 · Other · Disposed 17,102,128 · Balance 0

F1: Each share of Class B Common Stock is convertible at any time at the option of the reporting person into one share of Class A Common Stock and has no expiration date. The Class B Common Stock will convert automatically into Class A Common Stock on the same basis upon the earlier of: (i) any transfer, whether or not for value, except for certain "Permitted Transfers" as defined in the Issuer's restated certificate of incorporation in effect as of the date hereof, (ii) the affirmative vote of the holders of Class B Common Stock representing not less than a majority of the outstanding shares of Class B Common Stock, or (iii) October 6, 2025.

F2: Effective March 2, 2018, Sutter Hill Ventures, a California Limited Partnership ("SHV") effected a pro rata distribution of 17,102,128 shares of Class B Common Stock to its limited partners and its general partner for no additional consideration, of which 12,826,596 shares were distributed to the limited partners and 4,275,532 shares, representing the general partner's interest in the distribution, were retained by SHV and are now being held by SHV as a nominee on behalf of, and for the exclusive benefit of, the members of the general partner. SHV has no pecuniary interest in such retained shares.

F3: Excludes shares of Class B Common Stock held by SHV as a nominee on behalf of, and of the exclusive benefit of, the members of the general partner of SHV.

Filing footnotes · ownership attribution and instrument terms

F1: Each share of Class B Common Stock is convertible at any time at the option of the reporting person into one share of Class A Common Stock and has no expiration date. The Class B Common Stock will convert automatically into Class A Common Stock on the same basis upon the earlier of: (i) any transfer, whether or not for value, except for certain "Permitted Transfers" as defined in the Issuer's restated certificate of incorporation in effect as of the date hereof, (ii) the affirmative vote of the holders of Class B Common Stock representing not less than a majority of the outstanding shares of Class B Common Stock, or (iii) October 6, 2025.

F2: Effective March 2, 2018, Sutter Hill Ventures, a California Limited Partnership ("SHV") effected a pro rata distribution of 17,102,128 shares of Class B Common Stock to its limited partners and its general partner for no additional consideration, of which 12,826,596 shares were distributed to the limited partners and 4,275,532 shares, representing the general partner's interest in the distribution, were retained by SHV and are now being held by SHV as a nominee on behalf of, and for the exclusive benefit of, the members of the general partner. SHV has no pecuniary interest in such retained shares.

F3: Excludes shares of Class B Common Stock held by SHV as a nominee on behalf of, and of the exclusive benefit of, the members of the general partner of SHV.

Forty Seven, Inc.

Report date July 02, 2018 · Filed July 03, 2018

Section 16 reporting ended · disclosed 2018-07-03. Current position is not established by this disclosure.

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Common StockSEC Table I · non-derivativeDirect2,906,372 Ending reported balance After 2018-07-02 transaction · row 4
4 source rows · reconciled sequence

Row 1 · 2018-07-02 · Conversion · Acquired 1,052,146 · Balance 1,052,146

F1: The issuer's preferred stock automatically converted into issuer's common stock on a one-to-one basis immediately upon the closing of the issuer's initial public offering and has no expiration date.

Row 2 · 2018-07-02 · Conversion · Acquired 945,326 · Balance 1,997,472

F1: The issuer's preferred stock automatically converted into issuer's common stock on a one-to-one basis immediately upon the closing of the issuer's initial public offering and has no expiration date.

Row 3 · 2018-07-02 · Conversion · Acquired 774,165 · Balance 2,771,637

F1: The issuer's preferred stock automatically converted into issuer's common stock on a one-to-one basis immediately upon the closing of the issuer's initial public offering and has no expiration date.

Row 4 · 2018-07-02 · Purchase · Acquired 134,735 · Balance 2,906,372

Series A-1 Preferred StockSEC Table II · derivative / convertible securityDirect0 Reported balance After 2018-07-02 transaction · row 5 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 5 · 2018-07-02 · Conversion · Disposed 1,052,146 · Balance 0

F1: The issuer's preferred stock automatically converted into issuer's common stock on a one-to-one basis immediately upon the closing of the issuer's initial public offering and has no expiration date.

Series A-2 Preferred StockSEC Table II · derivative / convertible securityDirect0 Reported balance After 2018-07-02 transaction · row 6 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 6 · 2018-07-02 · Conversion · Disposed 774,165 · Balance 0

F1: The issuer's preferred stock automatically converted into issuer's common stock on a one-to-one basis immediately upon the closing of the issuer's initial public offering and has no expiration date.

Series B Preferred StockSEC Table II · derivative / convertible securityDirect0 Reported balance After 2018-07-02 transaction · row 7 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 7 · 2018-07-02 · Conversion · Disposed 945,326 · Balance 0

F1: The issuer's preferred stock automatically converted into issuer's common stock on a one-to-one basis immediately upon the closing of the issuer's initial public offering and has no expiration date.

Filing footnotes · ownership attribution and instrument terms

F1: The issuer's preferred stock automatically converted into issuer's common stock on a one-to-one basis immediately upon the closing of the issuer's initial public offering and has no expiration date.

Snowflake Inc.

Report date March 05, 2021 · Filed March 08, 2021

Section 16 reporting ended · disclosed 2021-03-08. Current position is not established by this disclosure.

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Class A Common StockSEC Table I · non-derivativeDirect0 Reported balance After 2021-03-05 transaction · row 1
1 source row

Row 1 · 2021-03-05 · Other · Disposed 27,309,222 · Balance 0

F1: Represents a pro rata distribution to its limited partners and its general partner for no additional consideration.

Filing footnotes · ownership attribution and instrument terms

F1: Represents a pro rata distribution to its limited partners and its general partner for no additional consideration.

Yext, Inc.

Report date December 01, 2017 · Filed December 05, 2017

Section 16 reporting ended · disclosed 2017-12-05. Current position is not established by this disclosure.

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Common StockSEC Table I · non-derivativeDirect0 Reported balance After 2017-12-01 transaction · row 1 Account or security details depend on footnotes; rows are not merged.
1 source row

Row 1 · 2017-12-01 · Other · Disposed 8,614,633 · Balance 0

F1: Effective December 1, 2017, Sutter Hill Ventures, a California Limited Partnership ("SHV") effected a pro rata distribution of 8,614,633 shares of Common Stock to its limited partners and its general partner for no additional consideration, of which 6,460,975 shares were distributed to the limited partners and 2,153,658 shares, representing the general partner's interest in the distribution, were retained by SHV and are now being held by SHV as a nominee on behalf of, and for the exclusive benefit of, the members of the general partner. SHV has no pecuniary interest in such retained shares.

F2: Excludes shares of Common Stock held by SHV as a nominee on behalf of, and for the exclusive benefit of, the members of the general partner of SHV.

Filing footnotes · ownership attribution and instrument terms

F1: Effective December 1, 2017, Sutter Hill Ventures, a California Limited Partnership ("SHV") effected a pro rata distribution of 8,614,633 shares of Common Stock to its limited partners and its general partner for no additional consideration, of which 6,460,975 shares were distributed to the limited partners and 2,153,658 shares, representing the general partner's interest in the distribution, were retained by SHV and are now being held by SHV as a nominee on behalf of, and for the exclusive benefit of, the members of the general partner. SHV has no pecuniary interest in such retained shares.

F2: Excludes shares of Common Stock held by SHV as a nominee on behalf of, and for the exclusive benefit of, the members of the general partner of SHV.

Transaction history

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Purchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”

The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.

Transaction dateCompanyActivity / securityShares / unitsReported priceReported valueDetails
August 15, 2024 Filed Aug 19, 2024 17:02 UTC Astera Labs, Inc. ALAB · Entity 1853 OtherCommon Stock 5,587,196 $0.00 $0.00
Disclosure

SEC source: 0001415889-24-021608 · form4-08192024_090855.xml · nonDerivative · entry 1

SUTTER HILL VENTURES · CIK 0000879051 · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 11,174,393

F1 · kind: Effective August 15, 2024, Sutter Hill Ventures, a California Limited Partnership effected a pro rata distribution to its limited partners and its general partner for no additional consideration.

F1 · price: Effective August 15, 2024, Sutter Hill Ventures, a California Limited Partnership effected a pro rata distribution to its limited partners and its general partner for no additional consideration.

Read SEC document
March 22, 2024 Filed Mar 22, 2024 17:50 UTC Astera Labs, Inc. ALAB · Entity 1853 ConversionSeries D Preferred Stock · Derivative 1,316,256 $0.00 $0.00
Disclosure

SEC source: 0001415889-24-009008 · form4-03222024_090317.xml · derivative · entry 27

SUTTER HILL VENTURES · CIK 0000879051 · 10% owner

Pullara Samuel J III · CIK 0001561643 · 10% owner

Speiser Michael L · CIK 0001433644 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 1,316,256 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: 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.

F1 · derivative.exercise_date: 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.

F1 · derivative.expiration_date: 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.

F4 · ownership.direct: Shares held by Sutter Hill Ventures, a California Limited Partnership ("SHV"). Michael L. Speiser, Samuel J. Pullara III and Stefan A. Dyckerhoff are managing directors and members of the management committee of the general partner of SHV. The Reporting Persons disclaim beneficial ownership in these shares except as to the Reporting Persons' pecuniary interest therein. Mr. Dyckerhoff is a director of the Issuer and files separate Section 16 reports.

Read SEC document
March 22, 2024 Filed Mar 22, 2024 17:50 UTC Astera Labs, Inc. ALAB · Entity 1853 ConversionSeries D Preferred Stock · Derivative 17,721 $0.00 $0.00
Disclosure

SEC source: 0001415889-24-009008 · form4-03222024_090317.xml · derivative · entry 26

SUTTER HILL VENTURES · CIK 0000879051 · 10% owner

Pullara Samuel J III · CIK 0001561643 · 10% owner

Speiser Michael L · CIK 0001433644 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Indirect · By Trust (SJP)

Disclosed balance after: 0

Underlying: Common Stock · 17,721 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: 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.

F1 · derivative.exercise_date: 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.

F1 · derivative.expiration_date: 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.

F3 · ownership.nature: Shares held by a trust of which Samuel J. Pullara III is a Trustee. Mr. Pullara disclaims beneficial ownership in these shares except as to his pecuniary interest therein.

Read SEC document
March 22, 2024 Filed Mar 22, 2024 17:50 UTC Astera Labs, Inc. ALAB · Entity 1853 ConversionSeries D Preferred Stock · Derivative 117,405 $0.00 $0.00
Disclosure

SEC source: 0001415889-24-009008 · form4-03222024_090317.xml · derivative · entry 25

SUTTER HILL VENTURES · CIK 0000879051 · 10% owner

Pullara Samuel J III · CIK 0001561643 · 10% owner

Speiser Michael L · CIK 0001433644 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Indirect · By Trust (MLS)

Disclosed balance after: 0

Underlying: Common Stock · 117,405 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: 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.

F1 · derivative.exercise_date: 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.

F1 · derivative.expiration_date: 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.

F2 · ownership.nature: Shares held by a trust of which Michael L. Speiser is a Trustee. Mr. Speiser disclaims beneficial ownership in these shares except as to his pecuniary interest therein.

Read SEC document
March 22, 2024 Filed Mar 22, 2024 17:50 UTC Astera Labs, Inc. ALAB · Entity 1853 ConversionSeries C Preferred Stock · Derivative 6,568 $0.00 $0.00
Disclosure

SEC source: 0001415889-24-009008 · form4-03222024_090317.xml · derivative · entry 24

SUTTER HILL VENTURES · CIK 0000879051 · 10% owner

Pullara Samuel J III · CIK 0001561643 · 10% owner

Speiser Michael L · CIK 0001433644 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Indirect · By SHM Investments, LLC

Disclosed balance after: 0

Underlying: Common Stock · 6,568 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: 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.

F1 · derivative.exercise_date: 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.

F1 · derivative.expiration_date: 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.

F8 · ownership.nature: Shares held by SHM Investments, LLC ("SHMI"). Michael L. Speiser, Samuel J. Pullara III and Stefan A. Dyckerhoff are managing members of SHMI. The Reporting Persons disclaim beneficial ownership in these shares except as to the Reporting Persons' pecuniary interest therein. Mr. Dyckerhoff is a director of the Issuer and files separate Section 16 reports.

Read SEC document
March 22, 2024 Filed Mar 22, 2024 17:50 UTC Astera Labs, Inc. ALAB · Entity 1853 ConversionSeries C Preferred Stock · Derivative 478,056 $0.00 $0.00
Disclosure

SEC source: 0001415889-24-009008 · form4-03222024_090317.xml · derivative · entry 23

SUTTER HILL VENTURES · CIK 0000879051 · 10% owner

Pullara Samuel J III · CIK 0001561643 · 10% owner

Speiser Michael L · CIK 0001433644 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 478,056 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: 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.

F1 · derivative.exercise_date: 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.

F1 · derivative.expiration_date: 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.

F4 · ownership.direct: Shares held by Sutter Hill Ventures, a California Limited Partnership ("SHV"). Michael L. Speiser, Samuel J. Pullara III and Stefan A. Dyckerhoff are managing directors and members of the management committee of the general partner of SHV. The Reporting Persons disclaim beneficial ownership in these shares except as to the Reporting Persons' pecuniary interest therein. Mr. Dyckerhoff is a director of the Issuer and files separate Section 16 reports.

Read SEC document
March 22, 2024 Filed Mar 22, 2024 17:50 UTC Astera Labs, Inc. ALAB · Entity 1853 ConversionSeries C Preferred Stock · Derivative 3,141 $0.00 $0.00
Disclosure

SEC source: 0001415889-24-009008 · form4-03222024_090317.xml · derivative · entry 22

SUTTER HILL VENTURES · CIK 0000879051 · 10% owner

Pullara Samuel J III · CIK 0001561643 · 10% owner

Speiser Michael L · CIK 0001433644 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Indirect · By Trust (SJP)

Disclosed balance after: 0

Underlying: Common Stock · 3,141 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: 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.

F1 · derivative.exercise_date: 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.

F1 · derivative.expiration_date: 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.

F3 · ownership.nature: Shares held by a trust of which Samuel J. Pullara III is a Trustee. Mr. Pullara disclaims beneficial ownership in these shares except as to his pecuniary interest therein.

Read SEC document
March 22, 2024 Filed Mar 22, 2024 17:50 UTC Astera Labs, Inc. ALAB · Entity 1853 ConversionSeries C Preferred Stock · Derivative 3,426 $0.00 $0.00
Disclosure

SEC source: 0001415889-24-009008 · form4-03222024_090317.xml · derivative · entry 21

SUTTER HILL VENTURES · CIK 0000879051 · 10% owner

Pullara Samuel J III · CIK 0001561643 · 10% owner

Speiser Michael L · CIK 0001433644 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 3,426 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: 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.

F1 · derivative.exercise_date: 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.

F1 · derivative.expiration_date: 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.

F7 · ownership.direct: Shares held by Samuel J. Pullara III.

Read SEC document
March 22, 2024 Filed Mar 22, 2024 17:50 UTC Astera Labs, Inc. ALAB · Entity 1853 ConversionSeries C Preferred Stock · Derivative 27,093 $0.00 $0.00
Disclosure

SEC source: 0001415889-24-009008 · form4-03222024_090317.xml · derivative · entry 20

SUTTER HILL VENTURES · CIK 0000879051 · 10% owner

Pullara Samuel J III · CIK 0001561643 · 10% owner

Speiser Michael L · CIK 0001433644 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Indirect · By Trust (MLS)

Disclosed balance after: 0

Underlying: Common Stock · 27,093 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: 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.

F1 · derivative.exercise_date: 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.

F1 · derivative.expiration_date: 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.

F2 · ownership.nature: Shares held by a trust of which Michael L. Speiser is a Trustee. Mr. Speiser disclaims beneficial ownership in these shares except as to his pecuniary interest therein.

Read SEC document
March 22, 2024 Filed Mar 22, 2024 17:50 UTC Astera Labs, Inc. ALAB · Entity 1853 ConversionSeries B Preferred Stock · Derivative 203,445 $0.00 $0.00
Disclosure

SEC source: 0001415889-24-009008 · form4-03222024_090317.xml · derivative · entry 19

SUTTER HILL VENTURES · CIK 0000879051 · 10% owner

Pullara Samuel J III · CIK 0001561643 · 10% owner

Speiser Michael L · CIK 0001433644 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Indirect · By SHM Investments, LLC

Disclosed balance after: 0

Underlying: Common Stock · 203,445 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: 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.

F1 · derivative.exercise_date: 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.

F1 · derivative.expiration_date: 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.

F8 · ownership.nature: Shares held by SHM Investments, LLC ("SHMI"). Michael L. Speiser, Samuel J. Pullara III and Stefan A. Dyckerhoff are managing members of SHMI. The Reporting Persons disclaim beneficial ownership in these shares except as to the Reporting Persons' pecuniary interest therein. Mr. Dyckerhoff is a director of the Issuer and files separate Section 16 reports.

Read SEC document
March 22, 2024 Filed Mar 22, 2024 17:50 UTC Astera Labs, Inc. ALAB · Entity 1853 ConversionSeries B Preferred Stock · Derivative 14,957,606 $0.00 $0.00
Disclosure

SEC source: 0001415889-24-009008 · form4-03222024_090317.xml · derivative · entry 18

SUTTER HILL VENTURES · CIK 0000879051 · 10% owner

Pullara Samuel J III · CIK 0001561643 · 10% owner

Speiser Michael L · CIK 0001433644 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 14,957,606 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: 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.

F1 · derivative.exercise_date: 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.

F1 · derivative.expiration_date: 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.

F4 · ownership.direct: Shares held by Sutter Hill Ventures, a California Limited Partnership ("SHV"). Michael L. Speiser, Samuel J. Pullara III and Stefan A. Dyckerhoff are managing directors and members of the management committee of the general partner of SHV. The Reporting Persons disclaim beneficial ownership in these shares except as to the Reporting Persons' pecuniary interest therein. Mr. Dyckerhoff is a director of the Issuer and files separate Section 16 reports.

Read SEC document
March 22, 2024 Filed Mar 22, 2024 17:50 UTC Astera Labs, Inc. ALAB · Entity 1853 ConversionSeries B Preferred Stock · Derivative 78,061 $0.00 $0.00
Disclosure

SEC source: 0001415889-24-009008 · form4-03222024_090317.xml · derivative · entry 17

SUTTER HILL VENTURES · CIK 0000879051 · 10% owner

Pullara Samuel J III · CIK 0001561643 · 10% owner

Speiser Michael L · CIK 0001433644 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Indirect · By Trust (SJP)

Disclosed balance after: 0

Underlying: Common Stock · 78,061 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: 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.

F1 · derivative.exercise_date: 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.

F1 · derivative.expiration_date: 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.

F3 · ownership.nature: Shares held by a trust of which Samuel J. Pullara III is a Trustee. Mr. Pullara disclaims beneficial ownership in these shares except as to his pecuniary interest therein.

Read SEC document
March 22, 2024 Filed Mar 22, 2024 17:50 UTC Astera Labs, Inc. ALAB · Entity 1853 ConversionSeries B Preferred Stock · Derivative 127,405 $0.00 $0.00
Disclosure

SEC source: 0001415889-24-009008 · form4-03222024_090317.xml · derivative · entry 16

SUTTER HILL VENTURES · CIK 0000879051 · 10% owner

Pullara Samuel J III · CIK 0001561643 · 10% owner

Speiser Michael L · CIK 0001433644 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 127,405 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: 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.

F1 · derivative.exercise_date: 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.

F1 · derivative.expiration_date: 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.

F7 · ownership.direct: Shares held by Samuel J. Pullara III.

Read SEC document
March 22, 2024 Filed Mar 22, 2024 17:50 UTC Astera Labs, Inc. ALAB · Entity 1853 ConversionSeries B Preferred Stock · Derivative 1,815 $0.00 $0.00
Disclosure

SEC source: 0001415889-24-009008 · form4-03222024_090317.xml · derivative · entry 15

SUTTER HILL VENTURES · CIK 0000879051 · 10% owner

Pullara Samuel J III · CIK 0001561643 · 10% owner

Speiser Michael L · CIK 0001433644 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Indirect · By Irrevocable Trust (SRT)

Disclosed balance after: 0

Underlying: Common Stock · 1,815 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: 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.

F1 · derivative.exercise_date: 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.

F1 · derivative.expiration_date: 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.

F6 · ownership.nature: Shares held by an irrevocable trust of which Michael L. Speiser is a Trustee. Mr. Speiser disclaims beneficial ownership in these shares except as to his pecuniary interest therein.

Read SEC document
March 22, 2024 Filed Mar 22, 2024 17:50 UTC Astera Labs, Inc. ALAB · Entity 1853 ConversionSeries B Preferred Stock · Derivative 11,295 $0.00 $0.00
Disclosure

SEC source: 0001415889-24-009008 · form4-03222024_090317.xml · derivative · entry 14

SUTTER HILL VENTURES · CIK 0000879051 · 10% owner

Pullara Samuel J III · CIK 0001561643 · 10% owner

Speiser Michael L · CIK 0001433644 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Indirect · By Irrevocable Trust (SCT)

Disclosed balance after: 0

Underlying: Common Stock · 11,295 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: 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.

F1 · derivative.exercise_date: 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.

F1 · derivative.expiration_date: 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.

F6 · ownership.nature: Shares held by an irrevocable trust of which Michael L. Speiser is a Trustee. Mr. Speiser disclaims beneficial ownership in these shares except as to his pecuniary interest therein.

Read SEC document
March 22, 2024 Filed Mar 22, 2024 17:50 UTC Astera Labs, Inc. ALAB · Entity 1853 ConversionSeries B Preferred Stock · Derivative 1,573,520 $0.00 $0.00
Disclosure

SEC source: 0001415889-24-009008 · form4-03222024_090317.xml · derivative · entry 13

SUTTER HILL VENTURES · CIK 0000879051 · 10% owner

Pullara Samuel J III · CIK 0001561643 · 10% owner

Speiser Michael L · CIK 0001433644 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Indirect · By Limited Partnership (CHAT)

Disclosed balance after: 0

Underlying: Common Stock · 1,573,520 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: 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.

F1 · derivative.exercise_date: 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.

F1 · derivative.expiration_date: 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.

F5 · ownership.nature: Shares held by a limited partnership of which Michael L. Speiser is a trustee of a trust which is the general partner. Mr. Speiser disclaims beneficial ownership in these shares except as to his pecuniary interest therein.

Read SEC document
March 22, 2024 Filed Mar 22, 2024 17:50 UTC Astera Labs, Inc. ALAB · Entity 1853 ConversionSeries B Preferred Stock · Derivative 52,729 $0.00 $0.00
Disclosure

SEC source: 0001415889-24-009008 · form4-03222024_090317.xml · derivative · entry 12

SUTTER HILL VENTURES · CIK 0000879051 · 10% owner

Pullara Samuel J III · CIK 0001561643 · 10% owner

Speiser Michael L · CIK 0001433644 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Indirect · By Trust (MLS)

Disclosed balance after: 0

Underlying: Common Stock · 52,729 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: 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.

F1 · derivative.exercise_date: 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.

F1 · derivative.expiration_date: 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.

F2 · ownership.nature: Shares held by a trust of which Michael L. Speiser is a Trustee. Mr. Speiser disclaims beneficial ownership in these shares except as to his pecuniary interest therein.

Read SEC document
March 22, 2024 Filed Mar 22, 2024 17:50 UTC Astera Labs, Inc. ALAB · Entity 1853 ConversionSeries A Preferred Stock · Derivative 9,672 $0.00 $0.00
Disclosure

SEC source: 0001415889-24-009008 · form4-03222024_090317.xml · derivative · entry 11

SUTTER HILL VENTURES · CIK 0000879051 · 10% owner

Pullara Samuel J III · CIK 0001561643 · 10% owner

Speiser Michael L · CIK 0001433644 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 9,672 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: 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.

F1 · derivative.exercise_date: 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.

F1 · derivative.expiration_date: 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.

F4 · ownership.direct: Shares held by Sutter Hill Ventures, a California Limited Partnership ("SHV"). Michael L. Speiser, Samuel J. Pullara III and Stefan A. Dyckerhoff are managing directors and members of the management committee of the general partner of SHV. The Reporting Persons disclaim beneficial ownership in these shares except as to the Reporting Persons' pecuniary interest therein. Mr. Dyckerhoff is a director of the Issuer and files separate Section 16 reports.

Read SEC document
March 22, 2024 Filed Mar 22, 2024 17:50 UTC Astera Labs, Inc. ALAB · Entity 1853 ConversionSeries A Preferred Stock · Derivative 130 $0.00 $0.00
Disclosure

SEC source: 0001415889-24-009008 · form4-03222024_090317.xml · derivative · entry 10

SUTTER HILL VENTURES · CIK 0000879051 · 10% owner

Pullara Samuel J III · CIK 0001561643 · 10% owner

Speiser Michael L · CIK 0001433644 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Indirect · By Trust (SJP)

Disclosed balance after: 0

Underlying: Common Stock · 130 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: 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.

F1 · derivative.exercise_date: 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.

F1 · derivative.expiration_date: 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.

F3 · ownership.nature: Shares held by a trust of which Samuel J. Pullara III is a Trustee. Mr. Pullara disclaims beneficial ownership in these shares except as to his pecuniary interest therein.

Read SEC document
March 22, 2024 Filed Mar 22, 2024 17:50 UTC Astera Labs, Inc. ALAB · Entity 1853 ConversionSeries A Preferred Stock · Derivative 864 $0.00 $0.00
Disclosure

SEC source: 0001415889-24-009008 · form4-03222024_090317.xml · derivative · entry 9

SUTTER HILL VENTURES · CIK 0000879051 · 10% owner

Pullara Samuel J III · CIK 0001561643 · 10% owner

Speiser Michael L · CIK 0001433644 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Indirect · By Trust (MLS)

Disclosed balance after: 0

Underlying: Common Stock · 864 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: 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.

F1 · derivative.exercise_date: 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.

F1 · derivative.expiration_date: 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.

F2 · ownership.nature: Shares held by a trust of which Michael L. Speiser is a Trustee. Mr. Speiser disclaims beneficial ownership in these shares except as to his pecuniary interest therein.

Read SEC document
March 22, 2024 Filed Mar 22, 2024 17:50 UTC Astera Labs, Inc. ALAB · Entity 1853 ConversionCommon Stock 210,013 Not disclosed Not disclosed
Disclosure

SEC source: 0001415889-24-009008 · form4-03222024_090317.xml · nonDerivative · entry 8

SUTTER HILL VENTURES · CIK 0000879051 · 10% owner

Pullara Samuel J III · CIK 0001561643 · 10% owner

Speiser Michael L · CIK 0001433644 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Indirect · By SHM Investments, LLC

Disclosed balance after: 210,013

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: 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.

F8 · ownership.nature: Shares held by SHM Investments, LLC ("SHMI"). Michael L. Speiser, Samuel J. Pullara III and Stefan A. Dyckerhoff are managing members of SHMI. The Reporting Persons disclaim beneficial ownership in these shares except as to the Reporting Persons' pecuniary interest therein. Mr. Dyckerhoff is a director of the Issuer and files separate Section 16 reports.

Read SEC document
March 22, 2024 Filed Mar 22, 2024 17:50 UTC Astera Labs, Inc. ALAB · Entity 1853 ConversionCommon Stock 130,831 Not disclosed Not disclosed
Disclosure

SEC source: 0001415889-24-009008 · form4-03222024_090317.xml · nonDerivative · entry 7

SUTTER HILL VENTURES · CIK 0000879051 · 10% owner

Pullara Samuel J III · CIK 0001561643 · 10% owner

Speiser Michael L · CIK 0001433644 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 130,831

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: 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.

F7 · ownership.direct: Shares held by Samuel J. Pullara III.

Read SEC document
March 22, 2024 Filed Mar 22, 2024 17:50 UTC Astera Labs, Inc. ALAB · Entity 1853 ConversionCommon Stock 1,815 Not disclosed Not disclosed
Disclosure

SEC source: 0001415889-24-009008 · form4-03222024_090317.xml · nonDerivative · entry 6

SUTTER HILL VENTURES · CIK 0000879051 · 10% owner

Pullara Samuel J III · CIK 0001561643 · 10% owner

Speiser Michael L · CIK 0001433644 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Indirect · By Irrevocable Trust (SRT)

Disclosed balance after: 1,815

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: 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.

F6 · ownership.nature: Shares held by an irrevocable trust of which Michael L. Speiser is a Trustee. Mr. Speiser disclaims beneficial ownership in these shares except as to his pecuniary interest therein.

Read SEC document
March 22, 2024 Filed Mar 22, 2024 17:50 UTC Astera Labs, Inc. ALAB · Entity 1853 ConversionCommon Stock 11,295 Not disclosed Not disclosed
Disclosure

SEC source: 0001415889-24-009008 · form4-03222024_090317.xml · nonDerivative · entry 5

SUTTER HILL VENTURES · CIK 0000879051 · 10% owner

Pullara Samuel J III · CIK 0001561643 · 10% owner

Speiser Michael L · CIK 0001433644 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Indirect · By Irrevocable Trust (SCT)

Disclosed balance after: 11,295

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: 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.

F6 · ownership.nature: Shares held by an irrevocable trust of which Michael L. Speiser is a Trustee. Mr. Speiser disclaims beneficial ownership in these shares except as to his pecuniary interest therein.

Read SEC document
March 22, 2024 Filed Mar 22, 2024 17:50 UTC Astera Labs, Inc. ALAB · Entity 1853 ConversionCommon Stock 1,573,520 Not disclosed Not disclosed
Disclosure

SEC source: 0001415889-24-009008 · form4-03222024_090317.xml · nonDerivative · entry 4

SUTTER HILL VENTURES · CIK 0000879051 · 10% owner

Pullara Samuel J III · CIK 0001561643 · 10% owner

Speiser Michael L · CIK 0001433644 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Indirect · By Limited Partnership (CHAT)

Disclosed balance after: 1,573,520

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: 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.

F5 · ownership.nature: Shares held by a limited partnership of which Michael L. Speiser is a trustee of a trust which is the general partner. Mr. Speiser disclaims beneficial ownership in these shares except as to his pecuniary interest therein.

Read SEC document
March 22, 2024 Filed Mar 22, 2024 17:50 UTC Astera Labs, Inc. ALAB · Entity 1853 ConversionCommon Stock 16,761,590 Not disclosed Not disclosed
Disclosure

SEC source: 0001415889-24-009008 · form4-03222024_090317.xml · nonDerivative · entry 3

SUTTER HILL VENTURES · CIK 0000879051 · 10% owner

Pullara Samuel J III · CIK 0001561643 · 10% owner

Speiser Michael L · CIK 0001433644 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 16,761,590

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: 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.

F4 · ownership.direct: Shares held by Sutter Hill Ventures, a California Limited Partnership ("SHV"). Michael L. Speiser, Samuel J. Pullara III and Stefan A. Dyckerhoff are managing directors and members of the management committee of the general partner of SHV. The Reporting Persons disclaim beneficial ownership in these shares except as to the Reporting Persons' pecuniary interest therein. Mr. Dyckerhoff is a director of the Issuer and files separate Section 16 reports.

Read SEC document
March 22, 2024 Filed Mar 22, 2024 17:50 UTC Astera Labs, Inc. ALAB · Entity 1853 ConversionCommon Stock 99,053 Not disclosed Not disclosed
Disclosure

SEC source: 0001415889-24-009008 · form4-03222024_090317.xml · nonDerivative · entry 2

SUTTER HILL VENTURES · CIK 0000879051 · 10% owner

Pullara Samuel J III · CIK 0001561643 · 10% owner

Speiser Michael L · CIK 0001433644 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Indirect · By Trust (SJP)

Disclosed balance after: 99,053

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: 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.

F3 · ownership.nature: Shares held by a trust of which Samuel J. Pullara III is a Trustee. Mr. Pullara disclaims beneficial ownership in these shares except as to his pecuniary interest therein.

Read SEC document
March 22, 2024 Filed Mar 22, 2024 17:50 UTC Astera Labs, Inc. ALAB · Entity 1853 ConversionCommon Stock 198,091 Not disclosed Not disclosed
Disclosure

SEC source: 0001415889-24-009008 · form4-03222024_090317.xml · nonDerivative · entry 1

SUTTER HILL VENTURES · CIK 0000879051 · 10% owner

Pullara Samuel J III · CIK 0001561643 · 10% owner

Speiser Michael L · CIK 0001433644 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Indirect · By Trust (MLS)

Disclosed balance after: 198,091

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: 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.

F2 · ownership.nature: Shares held by a trust of which Michael L. Speiser is a Trustee. Mr. Speiser disclaims beneficial ownership in these shares except as to his pecuniary interest therein.

Read SEC document
March 05, 2021 Filed Mar 8, 2021 21:50 UTC Snowflake Inc. SNOW · Entity 2425 OtherClass A Common Stock 27,309,222 $0.00 $0.00
Disclosure

SEC source: 0001225208-21-004874 · doc4.xml · nonDerivative · entry 1

SUTTER HILL VENTURES · CIK 0000879051 · Former 10% Holder

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

F1 · kind: Represents a pro rata distribution to its limited partners and its general partner for no additional consideration.

F1 · price: Represents a pro rata distribution to its limited partners and its general partner for no additional consideration.

Read SEC document
March 01, 2021 Filed Mar 3, 2021 20:07 UTC Snowflake Inc. SNOW · Entity 2425 ConversionClass B Common Stock · Derivative 27,309,222 $0.00 $0.00
Disclosure

SEC source: 0001225208-21-004635 · doc4.xml · derivative · entry 2

SUTTER HILL VENTURES · CIK 0000879051 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Class A Common Stock · 27,309,222 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: Effective as of 5:00 p.m. Eastern Time on March 1, 2021, the date specified by the holders of a majority of then-outstanding shares of the Issuer's Class B Common Stock, each share of the Issuer's Class B Common Stock automatically converted into one share of Class A Common Stock pursuant to the Issuer's amended and restated certificate of incorporation.

F1 · derivative.exercise_date: Effective as of 5:00 p.m. Eastern Time on March 1, 2021, the date specified by the holders of a majority of then-outstanding shares of the Issuer's Class B Common Stock, each share of the Issuer's Class B Common Stock automatically converted into one share of Class A Common Stock pursuant to the Issuer's amended and restated certificate of incorporation.

F1 · derivative.expiration_date: Effective as of 5:00 p.m. Eastern Time on March 1, 2021, the date specified by the holders of a majority of then-outstanding shares of the Issuer's Class B Common Stock, each share of the Issuer's Class B Common Stock automatically converted into one share of Class A Common Stock pursuant to the Issuer's amended and restated certificate of incorporation.

Read SEC document
March 01, 2021 Filed Mar 3, 2021 20:07 UTC Snowflake Inc. SNOW · Entity 2425 ConversionClass A Common Stock 27,309,222 $0.00 $0.00
Disclosure

SEC source: 0001225208-21-004635 · doc4.xml · nonDerivative · entry 1

SUTTER HILL VENTURES · CIK 0000879051 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 27,309,222

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · kind: Effective as of 5:00 p.m. Eastern Time on March 1, 2021, the date specified by the holders of a majority of then-outstanding shares of the Issuer's Class B Common Stock, each share of the Issuer's Class B Common Stock automatically converted into one share of Class A Common Stock pursuant to the Issuer's amended and restated certificate of incorporation.

F1 · price: Effective as of 5:00 p.m. Eastern Time on March 1, 2021, the date specified by the holders of a majority of then-outstanding shares of the Issuer's Class B Common Stock, each share of the Issuer's Class B Common Stock automatically converted into one share of Class A Common Stock pursuant to the Issuer's amended and restated certificate of incorporation.

Read SEC document
September 18, 2020 Filed Sep 22, 2020 17:33 UTC Snowflake Inc. SNOW · Entity 2425 ConversionSeries Seed Preferred Stock · Derivative 2,121,351 $0.00 $0.00
Disclosure

SEC source: 0001225208-20-011752 · doc4.xml · derivative · entry 16

SUTTER HILL VENTURES · CIK 0000879051 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Class B Common Stock · 2,121,351 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F3 · derivative.exercise_price: Each share of Series Seed Preferred Stock, Series A Preferred Stock, Series B Preferred Stock, Series C Preferred Stock, Series D Preferred Stock, Series E Preferred Stock, Series F Preferred Stock, and Series G-1 Preferred Stock automatically converted into one share of Class B Common Stock immediately upon the closing of the Issuer's initial public offering (IPO), and had no expiration date.

F3 · derivative.exercise_date: Each share of Series Seed Preferred Stock, Series A Preferred Stock, Series B Preferred Stock, Series C Preferred Stock, Series D Preferred Stock, Series E Preferred Stock, Series F Preferred Stock, and Series G-1 Preferred Stock automatically converted into one share of Class B Common Stock immediately upon the closing of the Issuer's initial public offering (IPO), and had no expiration date.

F3 · derivative.expiration_date: Each share of Series Seed Preferred Stock, Series A Preferred Stock, Series B Preferred Stock, Series C Preferred Stock, Series D Preferred Stock, Series E Preferred Stock, Series F Preferred Stock, and Series G-1 Preferred Stock automatically converted into one share of Class B Common Stock immediately upon the closing of the Issuer's initial public offering (IPO), and had no expiration date.

Read SEC document
September 18, 2020 Filed Sep 22, 2020 17:33 UTC Snowflake Inc. SNOW · Entity 2425 ConversionSeries G-1 Preferred Stock · Derivative 727,185 $0.00 $0.00
Disclosure

SEC source: 0001225208-20-011752 · doc4.xml · derivative · entry 15

SUTTER HILL VENTURES · CIK 0000879051 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Class B Common Stock · 727,185 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F3 · derivative.exercise_price: Each share of Series Seed Preferred Stock, Series A Preferred Stock, Series B Preferred Stock, Series C Preferred Stock, Series D Preferred Stock, Series E Preferred Stock, Series F Preferred Stock, and Series G-1 Preferred Stock automatically converted into one share of Class B Common Stock immediately upon the closing of the Issuer's initial public offering (IPO), and had no expiration date.

F3 · derivative.exercise_date: Each share of Series Seed Preferred Stock, Series A Preferred Stock, Series B Preferred Stock, Series C Preferred Stock, Series D Preferred Stock, Series E Preferred Stock, Series F Preferred Stock, and Series G-1 Preferred Stock automatically converted into one share of Class B Common Stock immediately upon the closing of the Issuer's initial public offering (IPO), and had no expiration date.

F3 · derivative.expiration_date: Each share of Series Seed Preferred Stock, Series A Preferred Stock, Series B Preferred Stock, Series C Preferred Stock, Series D Preferred Stock, Series E Preferred Stock, Series F Preferred Stock, and Series G-1 Preferred Stock automatically converted into one share of Class B Common Stock immediately upon the closing of the Issuer's initial public offering (IPO), and had no expiration date.

Read SEC document
September 18, 2020 Filed Sep 22, 2020 17:33 UTC Snowflake Inc. SNOW · Entity 2425 ConversionSeries F Preferred Stock · Derivative 2,726,595 $0.00 $0.00
Disclosure

SEC source: 0001225208-20-011752 · doc4.xml · derivative · entry 14

SUTTER HILL VENTURES · CIK 0000879051 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Class B Common Stock · 2,726,595 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F3 · derivative.exercise_price: Each share of Series Seed Preferred Stock, Series A Preferred Stock, Series B Preferred Stock, Series C Preferred Stock, Series D Preferred Stock, Series E Preferred Stock, Series F Preferred Stock, and Series G-1 Preferred Stock automatically converted into one share of Class B Common Stock immediately upon the closing of the Issuer's initial public offering (IPO), and had no expiration date.

F3 · derivative.exercise_date: Each share of Series Seed Preferred Stock, Series A Preferred Stock, Series B Preferred Stock, Series C Preferred Stock, Series D Preferred Stock, Series E Preferred Stock, Series F Preferred Stock, and Series G-1 Preferred Stock automatically converted into one share of Class B Common Stock immediately upon the closing of the Issuer's initial public offering (IPO), and had no expiration date.

F3 · derivative.expiration_date: Each share of Series Seed Preferred Stock, Series A Preferred Stock, Series B Preferred Stock, Series C Preferred Stock, Series D Preferred Stock, Series E Preferred Stock, Series F Preferred Stock, and Series G-1 Preferred Stock automatically converted into one share of Class B Common Stock immediately upon the closing of the Issuer's initial public offering (IPO), and had no expiration date.

Read SEC document
September 18, 2020 Filed Sep 22, 2020 17:33 UTC Snowflake Inc. SNOW · Entity 2425 ConversionSeries E Preferred Stock · Derivative 69,370 $0.00 $0.00
Disclosure

SEC source: 0001225208-20-011752 · doc4.xml · derivative · entry 13

SUTTER HILL VENTURES · CIK 0000879051 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Class B Common Stock · 69,370 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F3 · derivative.exercise_price: Each share of Series Seed Preferred Stock, Series A Preferred Stock, Series B Preferred Stock, Series C Preferred Stock, Series D Preferred Stock, Series E Preferred Stock, Series F Preferred Stock, and Series G-1 Preferred Stock automatically converted into one share of Class B Common Stock immediately upon the closing of the Issuer's initial public offering (IPO), and had no expiration date.

F3 · derivative.exercise_date: Each share of Series Seed Preferred Stock, Series A Preferred Stock, Series B Preferred Stock, Series C Preferred Stock, Series D Preferred Stock, Series E Preferred Stock, Series F Preferred Stock, and Series G-1 Preferred Stock automatically converted into one share of Class B Common Stock immediately upon the closing of the Issuer's initial public offering (IPO), and had no expiration date.

F3 · derivative.expiration_date: Each share of Series Seed Preferred Stock, Series A Preferred Stock, Series B Preferred Stock, Series C Preferred Stock, Series D Preferred Stock, Series E Preferred Stock, Series F Preferred Stock, and Series G-1 Preferred Stock automatically converted into one share of Class B Common Stock immediately upon the closing of the Issuer's initial public offering (IPO), and had no expiration date.

Read SEC document
September 18, 2020 Filed Sep 22, 2020 17:33 UTC Snowflake Inc. SNOW · Entity 2425 ConversionSeries D Preferred Stock · Derivative 2,170,228 $0.00 $0.00
Disclosure

SEC source: 0001225208-20-011752 · doc4.xml · derivative · entry 12

SUTTER HILL VENTURES · CIK 0000879051 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Class B Common Stock · 2,170,228 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F3 · derivative.exercise_price: Each share of Series Seed Preferred Stock, Series A Preferred Stock, Series B Preferred Stock, Series C Preferred Stock, Series D Preferred Stock, Series E Preferred Stock, Series F Preferred Stock, and Series G-1 Preferred Stock automatically converted into one share of Class B Common Stock immediately upon the closing of the Issuer's initial public offering (IPO), and had no expiration date.

F3 · derivative.exercise_date: Each share of Series Seed Preferred Stock, Series A Preferred Stock, Series B Preferred Stock, Series C Preferred Stock, Series D Preferred Stock, Series E Preferred Stock, Series F Preferred Stock, and Series G-1 Preferred Stock automatically converted into one share of Class B Common Stock immediately upon the closing of the Issuer's initial public offering (IPO), and had no expiration date.

F3 · derivative.expiration_date: Each share of Series Seed Preferred Stock, Series A Preferred Stock, Series B Preferred Stock, Series C Preferred Stock, Series D Preferred Stock, Series E Preferred Stock, Series F Preferred Stock, and Series G-1 Preferred Stock automatically converted into one share of Class B Common Stock immediately upon the closing of the Issuer's initial public offering (IPO), and had no expiration date.

Read SEC document
September 18, 2020 Filed Sep 22, 2020 17:33 UTC Snowflake Inc. SNOW · Entity 2425 ConversionSeries C Preferred Stock · Derivative 7,464,467 $0.00 $0.00
Disclosure

SEC source: 0001225208-20-011752 · doc4.xml · derivative · entry 11

SUTTER HILL VENTURES · CIK 0000879051 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Class B Common Stock · 7,464,467 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F3 · derivative.exercise_price: Each share of Series Seed Preferred Stock, Series A Preferred Stock, Series B Preferred Stock, Series C Preferred Stock, Series D Preferred Stock, Series E Preferred Stock, Series F Preferred Stock, and Series G-1 Preferred Stock automatically converted into one share of Class B Common Stock immediately upon the closing of the Issuer's initial public offering (IPO), and had no expiration date.

F3 · derivative.exercise_date: Each share of Series Seed Preferred Stock, Series A Preferred Stock, Series B Preferred Stock, Series C Preferred Stock, Series D Preferred Stock, Series E Preferred Stock, Series F Preferred Stock, and Series G-1 Preferred Stock automatically converted into one share of Class B Common Stock immediately upon the closing of the Issuer's initial public offering (IPO), and had no expiration date.

F3 · derivative.expiration_date: Each share of Series Seed Preferred Stock, Series A Preferred Stock, Series B Preferred Stock, Series C Preferred Stock, Series D Preferred Stock, Series E Preferred Stock, Series F Preferred Stock, and Series G-1 Preferred Stock automatically converted into one share of Class B Common Stock immediately upon the closing of the Issuer's initial public offering (IPO), and had no expiration date.

Read SEC document
September 18, 2020 Filed Sep 22, 2020 17:33 UTC Snowflake Inc. SNOW · Entity 2425 ConversionSeries B Preferred Stock · Derivative 4,163,543 $0.00 $0.00
Disclosure

SEC source: 0001225208-20-011752 · doc4.xml · derivative · entry 10

SUTTER HILL VENTURES · CIK 0000879051 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Class B Common Stock · 4,163,543 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F3 · derivative.exercise_price: Each share of Series Seed Preferred Stock, Series A Preferred Stock, Series B Preferred Stock, Series C Preferred Stock, Series D Preferred Stock, Series E Preferred Stock, Series F Preferred Stock, and Series G-1 Preferred Stock automatically converted into one share of Class B Common Stock immediately upon the closing of the Issuer's initial public offering (IPO), and had no expiration date.

F3 · derivative.exercise_date: Each share of Series Seed Preferred Stock, Series A Preferred Stock, Series B Preferred Stock, Series C Preferred Stock, Series D Preferred Stock, Series E Preferred Stock, Series F Preferred Stock, and Series G-1 Preferred Stock automatically converted into one share of Class B Common Stock immediately upon the closing of the Issuer's initial public offering (IPO), and had no expiration date.

F3 · derivative.expiration_date: Each share of Series Seed Preferred Stock, Series A Preferred Stock, Series B Preferred Stock, Series C Preferred Stock, Series D Preferred Stock, Series E Preferred Stock, Series F Preferred Stock, and Series G-1 Preferred Stock automatically converted into one share of Class B Common Stock immediately upon the closing of the Issuer's initial public offering (IPO), and had no expiration date.

Read SEC document
September 18, 2020 Filed Sep 22, 2020 17:33 UTC Snowflake Inc. SNOW · Entity 2425 ConversionSeries A Preferred Stock · Derivative 7,822,231 $0.00 $0.00
Disclosure

SEC source: 0001225208-20-011752 · doc4.xml · derivative · entry 9

SUTTER HILL VENTURES · CIK 0000879051 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Class B Common Stock · 7,822,231 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F3 · derivative.exercise_price: Each share of Series Seed Preferred Stock, Series A Preferred Stock, Series B Preferred Stock, Series C Preferred Stock, Series D Preferred Stock, Series E Preferred Stock, Series F Preferred Stock, and Series G-1 Preferred Stock automatically converted into one share of Class B Common Stock immediately upon the closing of the Issuer's initial public offering (IPO), and had no expiration date.

F3 · derivative.exercise_date: Each share of Series Seed Preferred Stock, Series A Preferred Stock, Series B Preferred Stock, Series C Preferred Stock, Series D Preferred Stock, Series E Preferred Stock, Series F Preferred Stock, and Series G-1 Preferred Stock automatically converted into one share of Class B Common Stock immediately upon the closing of the Issuer's initial public offering (IPO), and had no expiration date.

F3 · derivative.expiration_date: Each share of Series Seed Preferred Stock, Series A Preferred Stock, Series B Preferred Stock, Series C Preferred Stock, Series D Preferred Stock, Series E Preferred Stock, Series F Preferred Stock, and Series G-1 Preferred Stock automatically converted into one share of Class B Common Stock immediately upon the closing of the Issuer's initial public offering (IPO), and had no expiration date.

Read SEC document
September 18, 2020 Filed Sep 22, 2020 17:33 UTC Snowflake Inc. SNOW · Entity 2425 ConversionClass B Common Stock · Derivative 69,370 $0.00 $0.00
Disclosure

SEC source: 0001225208-20-011752 · doc4.xml · derivative · entry 8

SUTTER HILL VENTURES · CIK 0000879051 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 27,309,222

Underlying: Class A Common Stock · 69,370 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: Each share of Class B Common Stock held by the Reporting Person will automatically convert into one share of Class A Common Stock, upon the following: (1) the sale or transfer of such share of Class B Common Stock; (2) the death of the Reporting Person; and (3) on the final conversion date, defined as the earlier of (a) the first trading day falling nine months after the date on which the outstanding shares of Class B Common Stock represents less than 10% of the then outstanding Class A and Class B Common Stock; (b) the seventh anniversary of the effectiveness of the registration statement in connection with the Issuer's IPO; or (c) the date specified by a vote of the holders of a majority of the outstanding shares of Class B Common Stock, voting as a single class.

F2 · derivative.exercise_date: Each share of Class B Common Stock is convertible at any time at the option of the Reporting Person into one share of Class A Common Stock, and has no expiration date. On any transfer of shares of Class B Common Stock, each such transferred share will automatically convert into one share of Class A Common Stock, except for certain "Permitted Transfers" described in the Issuer's amended and restated certificate of incorporation.

F2 · derivative.expiration_date: Each share of Class B Common Stock is convertible at any time at the option of the Reporting Person into one share of Class A Common Stock, and has no expiration date. On any transfer of shares of Class B Common Stock, each such transferred share will automatically convert into one share of Class A Common Stock, except for certain "Permitted Transfers" described in the Issuer's amended and restated certificate of incorporation.

Read SEC document
September 18, 2020 Filed Sep 22, 2020 17:33 UTC Snowflake Inc. SNOW · Entity 2425 ConversionClass B Common Stock · Derivative 727,185 $0.00 $0.00
Disclosure

SEC source: 0001225208-20-011752 · doc4.xml · derivative · entry 7

SUTTER HILL VENTURES · CIK 0000879051 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 27,239,852

Underlying: Class A Common Stock · 727,185 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: Each share of Class B Common Stock held by the Reporting Person will automatically convert into one share of Class A Common Stock, upon the following: (1) the sale or transfer of such share of Class B Common Stock; (2) the death of the Reporting Person; and (3) on the final conversion date, defined as the earlier of (a) the first trading day falling nine months after the date on which the outstanding shares of Class B Common Stock represents less than 10% of the then outstanding Class A and Class B Common Stock; (b) the seventh anniversary of the effectiveness of the registration statement in connection with the Issuer's IPO; or (c) the date specified by a vote of the holders of a majority of the outstanding shares of Class B Common Stock, voting as a single class.

F2 · derivative.exercise_date: Each share of Class B Common Stock is convertible at any time at the option of the Reporting Person into one share of Class A Common Stock, and has no expiration date. On any transfer of shares of Class B Common Stock, each such transferred share will automatically convert into one share of Class A Common Stock, except for certain "Permitted Transfers" described in the Issuer's amended and restated certificate of incorporation.

F2 · derivative.expiration_date: Each share of Class B Common Stock is convertible at any time at the option of the Reporting Person into one share of Class A Common Stock, and has no expiration date. On any transfer of shares of Class B Common Stock, each such transferred share will automatically convert into one share of Class A Common Stock, except for certain "Permitted Transfers" described in the Issuer's amended and restated certificate of incorporation.

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September 18, 2020 Filed Sep 22, 2020 17:33 UTC Snowflake Inc. SNOW · Entity 2425 ConversionClass B Common Stock · Derivative 2,121,351 $0.00 $0.00
Disclosure

SEC source: 0001225208-20-011752 · doc4.xml · derivative · entry 6

SUTTER HILL VENTURES · CIK 0000879051 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 26,512,667

Underlying: Class A Common Stock · 2,121,351 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: Each share of Class B Common Stock held by the Reporting Person will automatically convert into one share of Class A Common Stock, upon the following: (1) the sale or transfer of such share of Class B Common Stock; (2) the death of the Reporting Person; and (3) on the final conversion date, defined as the earlier of (a) the first trading day falling nine months after the date on which the outstanding shares of Class B Common Stock represents less than 10% of the then outstanding Class A and Class B Common Stock; (b) the seventh anniversary of the effectiveness of the registration statement in connection with the Issuer's IPO; or (c) the date specified by a vote of the holders of a majority of the outstanding shares of Class B Common Stock, voting as a single class.

F2 · derivative.exercise_date: Each share of Class B Common Stock is convertible at any time at the option of the Reporting Person into one share of Class A Common Stock, and has no expiration date. On any transfer of shares of Class B Common Stock, each such transferred share will automatically convert into one share of Class A Common Stock, except for certain "Permitted Transfers" described in the Issuer's amended and restated certificate of incorporation.

F2 · derivative.expiration_date: Each share of Class B Common Stock is convertible at any time at the option of the Reporting Person into one share of Class A Common Stock, and has no expiration date. On any transfer of shares of Class B Common Stock, each such transferred share will automatically convert into one share of Class A Common Stock, except for certain "Permitted Transfers" described in the Issuer's amended and restated certificate of incorporation.

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September 18, 2020 Filed Sep 22, 2020 17:33 UTC Snowflake Inc. SNOW · Entity 2425 ConversionClass B Common Stock · Derivative 2,170,228 $0.00 $0.00
Disclosure

SEC source: 0001225208-20-011752 · doc4.xml · derivative · entry 5

SUTTER HILL VENTURES · CIK 0000879051 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 24,391,316

Underlying: Class A Common Stock · 2,170,228 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: Each share of Class B Common Stock held by the Reporting Person will automatically convert into one share of Class A Common Stock, upon the following: (1) the sale or transfer of such share of Class B Common Stock; (2) the death of the Reporting Person; and (3) on the final conversion date, defined as the earlier of (a) the first trading day falling nine months after the date on which the outstanding shares of Class B Common Stock represents less than 10% of the then outstanding Class A and Class B Common Stock; (b) the seventh anniversary of the effectiveness of the registration statement in connection with the Issuer's IPO; or (c) the date specified by a vote of the holders of a majority of the outstanding shares of Class B Common Stock, voting as a single class.

F2 · derivative.exercise_date: Each share of Class B Common Stock is convertible at any time at the option of the Reporting Person into one share of Class A Common Stock, and has no expiration date. On any transfer of shares of Class B Common Stock, each such transferred share will automatically convert into one share of Class A Common Stock, except for certain "Permitted Transfers" described in the Issuer's amended and restated certificate of incorporation.

F2 · derivative.expiration_date: Each share of Class B Common Stock is convertible at any time at the option of the Reporting Person into one share of Class A Common Stock, and has no expiration date. On any transfer of shares of Class B Common Stock, each such transferred share will automatically convert into one share of Class A Common Stock, except for certain "Permitted Transfers" described in the Issuer's amended and restated certificate of incorporation.

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September 18, 2020 Filed Sep 22, 2020 17:33 UTC Snowflake Inc. SNOW · Entity 2425 ConversionClass B Common Stock · Derivative 2,726,595 $0.00 $0.00
Disclosure

SEC source: 0001225208-20-011752 · doc4.xml · derivative · entry 4

SUTTER HILL VENTURES · CIK 0000879051 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 22,221,088

Underlying: Class A Common Stock · 2,726,595 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: Each share of Class B Common Stock held by the Reporting Person will automatically convert into one share of Class A Common Stock, upon the following: (1) the sale or transfer of such share of Class B Common Stock; (2) the death of the Reporting Person; and (3) on the final conversion date, defined as the earlier of (a) the first trading day falling nine months after the date on which the outstanding shares of Class B Common Stock represents less than 10% of the then outstanding Class A and Class B Common Stock; (b) the seventh anniversary of the effectiveness of the registration statement in connection with the Issuer's IPO; or (c) the date specified by a vote of the holders of a majority of the outstanding shares of Class B Common Stock, voting as a single class.

F2 · derivative.exercise_date: Each share of Class B Common Stock is convertible at any time at the option of the Reporting Person into one share of Class A Common Stock, and has no expiration date. On any transfer of shares of Class B Common Stock, each such transferred share will automatically convert into one share of Class A Common Stock, except for certain "Permitted Transfers" described in the Issuer's amended and restated certificate of incorporation.

F2 · derivative.expiration_date: Each share of Class B Common Stock is convertible at any time at the option of the Reporting Person into one share of Class A Common Stock, and has no expiration date. On any transfer of shares of Class B Common Stock, each such transferred share will automatically convert into one share of Class A Common Stock, except for certain "Permitted Transfers" described in the Issuer's amended and restated certificate of incorporation.

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September 18, 2020 Filed Sep 22, 2020 17:33 UTC Snowflake Inc. SNOW · Entity 2425 ConversionClass B Common Stock · Derivative 4,163,543 $0.00 $0.00
Disclosure

SEC source: 0001225208-20-011752 · doc4.xml · derivative · entry 3

SUTTER HILL VENTURES · CIK 0000879051 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 19,494,493

Underlying: Class A Common Stock · 4,163,543 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: Each share of Class B Common Stock held by the Reporting Person will automatically convert into one share of Class A Common Stock, upon the following: (1) the sale or transfer of such share of Class B Common Stock; (2) the death of the Reporting Person; and (3) on the final conversion date, defined as the earlier of (a) the first trading day falling nine months after the date on which the outstanding shares of Class B Common Stock represents less than 10% of the then outstanding Class A and Class B Common Stock; (b) the seventh anniversary of the effectiveness of the registration statement in connection with the Issuer's IPO; or (c) the date specified by a vote of the holders of a majority of the outstanding shares of Class B Common Stock, voting as a single class.

F2 · derivative.exercise_date: Each share of Class B Common Stock is convertible at any time at the option of the Reporting Person into one share of Class A Common Stock, and has no expiration date. On any transfer of shares of Class B Common Stock, each such transferred share will automatically convert into one share of Class A Common Stock, except for certain "Permitted Transfers" described in the Issuer's amended and restated certificate of incorporation.

F2 · derivative.expiration_date: Each share of Class B Common Stock is convertible at any time at the option of the Reporting Person into one share of Class A Common Stock, and has no expiration date. On any transfer of shares of Class B Common Stock, each such transferred share will automatically convert into one share of Class A Common Stock, except for certain "Permitted Transfers" described in the Issuer's amended and restated certificate of incorporation.

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September 18, 2020 Filed Sep 22, 2020 17:33 UTC Snowflake Inc. SNOW · Entity 2425 ConversionClass B Common Stock · Derivative 7,464,467 $0.00 $0.00
Disclosure

SEC source: 0001225208-20-011752 · doc4.xml · derivative · entry 2

SUTTER HILL VENTURES · CIK 0000879051 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,330,950

Underlying: Class A Common Stock · 7,464,467 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: Each share of Class B Common Stock held by the Reporting Person will automatically convert into one share of Class A Common Stock, upon the following: (1) the sale or transfer of such share of Class B Common Stock; (2) the death of the Reporting Person; and (3) on the final conversion date, defined as the earlier of (a) the first trading day falling nine months after the date on which the outstanding shares of Class B Common Stock represents less than 10% of the then outstanding Class A and Class B Common Stock; (b) the seventh anniversary of the effectiveness of the registration statement in connection with the Issuer's IPO; or (c) the date specified by a vote of the holders of a majority of the outstanding shares of Class B Common Stock, voting as a single class.

F2 · derivative.exercise_date: Each share of Class B Common Stock is convertible at any time at the option of the Reporting Person into one share of Class A Common Stock, and has no expiration date. On any transfer of shares of Class B Common Stock, each such transferred share will automatically convert into one share of Class A Common Stock, except for certain "Permitted Transfers" described in the Issuer's amended and restated certificate of incorporation.

F2 · derivative.expiration_date: Each share of Class B Common Stock is convertible at any time at the option of the Reporting Person into one share of Class A Common Stock, and has no expiration date. On any transfer of shares of Class B Common Stock, each such transferred share will automatically convert into one share of Class A Common Stock, except for certain "Permitted Transfers" described in the Issuer's amended and restated certificate of incorporation.

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September 18, 2020 Filed Sep 22, 2020 17:33 UTC Snowflake Inc. SNOW · Entity 2425 ConversionClass B Common Stock · Derivative 7,822,231 $0.00 $0.00
Disclosure

SEC source: 0001225208-20-011752 · doc4.xml · derivative · entry 1

SUTTER HILL VENTURES · CIK 0000879051 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,866,483

Underlying: Class A Common Stock · 7,822,231 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: Each share of Class B Common Stock held by the Reporting Person will automatically convert into one share of Class A Common Stock, upon the following: (1) the sale or transfer of such share of Class B Common Stock; (2) the death of the Reporting Person; and (3) on the final conversion date, defined as the earlier of (a) the first trading day falling nine months after the date on which the outstanding shares of Class B Common Stock represents less than 10% of the then outstanding Class A and Class B Common Stock; (b) the seventh anniversary of the effectiveness of the registration statement in connection with the Issuer's IPO; or (c) the date specified by a vote of the holders of a majority of the outstanding shares of Class B Common Stock, voting as a single class.

F2 · derivative.exercise_date: Each share of Class B Common Stock is convertible at any time at the option of the Reporting Person into one share of Class A Common Stock, and has no expiration date. On any transfer of shares of Class B Common Stock, each such transferred share will automatically convert into one share of Class A Common Stock, except for certain "Permitted Transfers" described in the Issuer's amended and restated certificate of incorporation.

F2 · derivative.expiration_date: Each share of Class B Common Stock is convertible at any time at the option of the Reporting Person into one share of Class A Common Stock, and has no expiration date. On any transfer of shares of Class B Common Stock, each such transferred share will automatically convert into one share of Class A Common Stock, except for certain "Permitted Transfers" described in the Issuer's amended and restated certificate of incorporation.

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July 02, 2018 Filed Jul 3, 2018 19:42 UTC Forty Seven, Inc. FTSV · Entity 16035 ConversionSeries B Preferred Stock · Derivative 945,326 Not disclosed Not disclosed
Disclosure

SEC source: 0001225208-18-011387 · doc4.xml · derivative · entry 7

SUTTER HILL VENTURES · CIK 0000879051 · Former 10% Holder

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 945,326 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: The issuer's preferred stock automatically converted into issuer's common stock on a one-to-one basis immediately upon the closing of the issuer's initial public offering and has no expiration date.

F1 · price: The issuer's preferred stock automatically converted into issuer's common stock on a one-to-one basis immediately upon the closing of the issuer's initial public offering and has no expiration date.

F1 · derivative.exercise_date: The issuer's preferred stock automatically converted into issuer's common stock on a one-to-one basis immediately upon the closing of the issuer's initial public offering and has no expiration date.

F1 · derivative.expiration_date: The issuer's preferred stock automatically converted into issuer's common stock on a one-to-one basis immediately upon the closing of the issuer's initial public offering and has no expiration date.

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July 02, 2018 Filed Jul 3, 2018 19:42 UTC Forty Seven, Inc. FTSV · Entity 16035 ConversionSeries A-2 Preferred Stock · Derivative 774,165 Not disclosed Not disclosed
Disclosure

SEC source: 0001225208-18-011387 · doc4.xml · derivative · entry 6

SUTTER HILL VENTURES · CIK 0000879051 · Former 10% Holder

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 774,165 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: The issuer's preferred stock automatically converted into issuer's common stock on a one-to-one basis immediately upon the closing of the issuer's initial public offering and has no expiration date.

F1 · price: The issuer's preferred stock automatically converted into issuer's common stock on a one-to-one basis immediately upon the closing of the issuer's initial public offering and has no expiration date.

F1 · derivative.exercise_date: The issuer's preferred stock automatically converted into issuer's common stock on a one-to-one basis immediately upon the closing of the issuer's initial public offering and has no expiration date.

F1 · derivative.expiration_date: The issuer's preferred stock automatically converted into issuer's common stock on a one-to-one basis immediately upon the closing of the issuer's initial public offering and has no expiration date.

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July 02, 2018 Filed Jul 3, 2018 19:42 UTC Forty Seven, Inc. FTSV · Entity 16035 ConversionSeries A-1 Preferred Stock · Derivative 1,052,146 Not disclosed Not disclosed
Disclosure

SEC source: 0001225208-18-011387 · doc4.xml · derivative · entry 5

SUTTER HILL VENTURES · CIK 0000879051 · Former 10% Holder

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 1,052,146 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: The issuer's preferred stock automatically converted into issuer's common stock on a one-to-one basis immediately upon the closing of the issuer's initial public offering and has no expiration date.

F1 · price: The issuer's preferred stock automatically converted into issuer's common stock on a one-to-one basis immediately upon the closing of the issuer's initial public offering and has no expiration date.

F1 · derivative.exercise_date: The issuer's preferred stock automatically converted into issuer's common stock on a one-to-one basis immediately upon the closing of the issuer's initial public offering and has no expiration date.

F1 · derivative.expiration_date: The issuer's preferred stock automatically converted into issuer's common stock on a one-to-one basis immediately upon the closing of the issuer's initial public offering and has no expiration date.

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Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.