Telegraph Hill Partners IV, L.P. - 28 Jun 2021 Form 4 Insider Report for Alpha Teknova, Inc. (TKNO)

Role
10%+ Owner
Signature
Telegraph Hill Partners IV, L.P., By: Telegraph Hill Partners IV Investment Management, LLC, its general partner, By: Telegraph Hill Partners Management Company, LLC, its manager, By: /s/ Jeanette Welsh, Title: Partner
Issuer symbol
TKNO
Transactions as of
28 Jun 2021
Net transactions value
$0
Form type
4
Filing time
29 Jun 2021, 21:17:40 UTC
Previous filing
24 Jun 2021
Next filing
21 Sep 2023
SEC
View on sec.gov

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction TKNO Common Stock Conversion of derivative security +14,941,823 14,941,823 28 Jun 2021 Direct F1, F2
transaction TKNO Common Stock Conversion of derivative security +2,570,862 2,570,862 28 Jun 2021 See Footnote F1, F3

Derivative Securities (e.g., puts, calls, warrants, options, convertible securities)

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Underlying Class Amount Exercise Price Ownership Footnotes
transaction TKNO Series A Convertible Preferred Stock Conversion of derivative security $0 -7,970,673 -100% $0.000000* 0 28 Jun 2021 Common Stock 14,941,823 Direct F1, F2
transaction TKNO Series A Convertible Preferred Stock Conversion of derivative security $0 -1,371,419 -100% $0.000000* 0 28 Jun 2021 Common Stock 2,570,862 See Footnote F1, F3
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 The Series A Convertible Preferred Stock was converted on June 28, 2021, at the election of the holder and in accordance with the Company's then-current amended and restated certificate of incorporation, and has no expiration date. The Series A Convertible Preferred Stock converted into shares of the Company's common stock on a 1-for-1.8746 basis.
F2 Shares held directly by Telegraph Hill Partners IV, L.P ("THP IV"). Telegraph Hill Partners IV Investment Management, LLC ("THP IM") is the general partner of THP IV. Telegraph Hill Partners Management Company, LLC ("THPMC") is the manager of THP IM. As such, THP IM and THPMC may be deemed to have beneficial ownership of the shares held by THP IV.
F3 Shares held directly by THP IV Affiliates Fund, LLC ("THP IV AFF"). THP IM is the manager of of THP IV AFF. THPMC is the manager of THP IM. As such, THP IM and THPMC may be deemed to have beneficial ownership of the shares held by THP IV AFF.