Lisa Hood - May 13, 2022 Form 4 Insider Report for Alpha Teknova, Inc. (TKNO)

Role
Chief People Officer
Signature
By: Damon Terrill For: Lisa Hood
Stock symbol
TKNO
Transactions as of
May 13, 2022
Transactions value $
$6,288
Form type
4
Date filed
11/17/2022, 06:46 PM
Previous filing
Feb 17, 2022
Next filing
Mar 1, 2023

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction TKNO Common Stock Purchase $8.44K +772 +2.53% $10.93 31.2K May 13, 2022 Direct F1
transaction TKNO Common Stock Purchase $8.66K +2.05K +6.55% $4.23 33.3K Nov 14, 2022 Direct F2
transaction TKNO Common Stock Sale -$10.8K -2.05K -6.15% $5.28 31.2K Nov 15, 2022 Direct 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 Non-Qualified Stock Option (right to buy) Award $0 +40.5K $0.00 40.5K Nov 15, 2022 Common Stock 40.5K $5.36 Direct F4
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 The reporting person is voluntarily reporting the acquisition of shares of the Issuer's common stock pursuant to the Alpha Teknova, Inc. 2021 Employee Stock Purchase Plan (the ESPP), for the ESPP purchase period commencing on November 15, 2021, and ending on May 14, 2022 (the Prior Purchase Period). This transaction is also exempt from Rule 16b-3(c). In accordance with the ESPP, these shares were purchased at the lesser of (i) 85% of fair market value on the first trading day of the Prior Purchase Period, and (ii) 85% of fair market value on the last day of the Prior Purchase Period, in each case rounded up to the nearest whole cent per share.
F2 The reporting person is voluntarily reporting the acquisition of shares of the Issuer's common stock pursuant to the Alpha Teknova, Inc. 2021 Employee Stock Purchase Plan (the ESPP), for the ESPP purchase period commencing on May 15, 2022, and ending on November 14, 2022 (the Purchase Period). This transaction is also exempt from Rule 16b-3(c). In accordance with the ESPP, these shares were purchased at the lesser of (i) 85% of fair market value on the first trading day of the Purchase Period, and (ii) 85% of fair market value on the last day of the Purchase Period, in each case rounded up to the nearest whole cent per share.
F3 The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $5.27 to $5.36, inclusive. The Reporting Person undertakes to provide the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this Footnote to this Form 4.
F4 The number of shares subject to the option shall vest in 48 equal monthly installments on the same day of each month after November 15, 2022, the date of grant.