Entry into a Material Definitive Agreement · Unregistered Sales of Equity Securities
Item 1.01 Entry into a Material Definitive Agreement. On February 5, 2026, Astera Labs, Inc. (the “Company”) and Amazon.com, Inc. (“Parent”) entered into a Transaction Agreement (the “Transaction Agreement”) and the Company entered into a Warrant Agreement with Amazon.com NV Investment Holdings LLC (“Warrantholder”), to acquire up to an aggregate of 3,262,299 shares of common stock, par value $0.0…
Filed Feb 10, 2026Accepted Feb 10, 2026, 4:03 PM ESTCIK 1736297Accession 0001104659-26-012606
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Item 1.01Item 1.01 - Entry into Material Agreement
Item 1.01 Entry into a Material Definitive Agreement.
On February 5, 2026, Astera Labs, Inc. (the “Company”)
and Amazon.com, Inc. (“Parent”) entered into a Transaction Agreement (the “Transaction Agreement”) and the Company
entered into a Warrant Agreement with Amazon.com NV Investment Holdings LLC (“Warrantholder”), to acquire up to an aggregate
of 3,262,299 shares of common stock, par value $0.0001 per share (the “Common Stock”), of the Company (the “Warrant
Shares”) at an exercise price of $142.82 per share (the “Warrant”). The Parent is a customer of the Company and holds
a warrant issued in October 2022, as amended in October 2023.
The Warrant allows for cashless exercise and has an exercise period
through February 5, 2033. Warrant Shares vest upon the achievement of performance conditions, comprised of specified tranches of payments
(as specified in the Warrant) by or on behalf of the Parent and its affiliates, for the purchase up to a total of $6.5 billion, of our
smart fabric switch products, signal conditioning products and optical engine products.
The exercise price and the number of Warrant Shares are subject to
customary anti-dilution adjustments. Upon the consummation of certain delineated transactions (as defined in the Warrant), subject to
certain exceptions, the unvested portion of the Warrant will vest in full. So long as the Warrant is unexercised, the Warrant does not
entitle the Warrantholder to any voting rights or any other shareholder rights. The Transaction Agreement contains customary registration
rights with respect to the Warrant, representations and warranties and covenants of the Company and Parent, and certain restrictions on
the Warrantholder’s ability to transfer the Warrant and the Warrant Shares.
The issuance of the Warrant and the Warrant Shares have not been registered
under the Securities Act of 1933, as amended (the “Securities Act”) or under any state securities law. The Company believes
that the transaction is exempt from registration under Section 4(a)(2) of the Securities Act, and customary legends will be affixed
to the Warrant and the Warrant Shares.
The foregoing summaries of the Warrant and the Transaction Agreement
are qualified in their entirety by reference to the complete text of the Warrant, which is filed as Exhibit 4.1 hereto, and the Transaction
Agreement, which is filed as Exhibit 10.1 hereto, each of which are incorporated herein by reference.
Item 3.02Item 3.02 - Unregistered Sales of Equity
Item 3.02 Unregistered Sales of Equity Securities.
The information provided under Item 1.01 of this Current Report on
Form 8-K with respect to the issuance of the Warrant is incorporated by reference into this Item 3.02.
Filed exhibits (1)
EX-4.1 (by filename) tm265461d1_ex4-1.htm
Exhibit 4.1
CERTAIN IDENTIFIED INFORMATION HAS BEEN
EXCLUDED FROM THIS EXHIBIT BECAUSE IT IS BOTH (I) NOT MATERIAL AND (II) THE TYPE OF INFORMATION THAT THE REGISTRANT TREATS
AS PRIVATE OR CONFIDENTIAL AND HAS BEEN MARKED WITH “[***]” TO INDICATE WHERE OMISSIONS HAVE BEEN MADE.
WARRANT
TO PURCHASE COMMON STOCK
THE SECURITIES REPRESENTED BY THIS INSTRUMENT HAVE NOT BEEN REGISTERED
UNDER THE SECURITIES ACT OF 1933, AS AMENDED, OR THE SECURITIES LAWS OF ANY STATE AND MAY NOT BE TRANSFERRED, SOLD, OR OTHERWISE
DISPOSED OF EXCEPT IN CONNECTION WITH AN EFFECTIVE REGISTRATION STATEMENT UNDER SUCH ACT AND APPLICABLE STATE SECURITIES LAWS OR UNDER
AN EXEMPTION FROM REGISTRATION UNDER SUCH ACT OR SUCH LAWS.
THIS INSTRUMENT IS ISSUED IN CONNECTION WITH AND SUBJECT TO THE RESTRICTIONS
ON TRANSFER AND OTHER PROVISIONS OF A TRANSACTION AGREEMENT, DATED AS OF FEBRUARY 5, 2026, BY AND BETWEEN THE ISSUER OF THESE SECURITIES
AND AMAZON. COM, INC., A DELAWARE CORPORATION, A COPY OF WHICH IS ON FILE WITH THE ISSUER. THE SECURITIES REPRESENTED BY THIS INSTRUMENT
MAY NOT BE SOLD OR OTHERWISE TRANSFERRED EXCEPT IN COMPLIANCE WITH SAID AGREEMENT. ANY SALE OR OTHER TRANSFER NOT IN COMPLIANCE
WITH SAID …