Alpha Teknova, Inc. — Director's Dealing 2022

Nov 17, 2022

SEC Form 4 — Statement of Changes in Beneficial Ownership

Issuer: Alpha Teknova, Inc. (TKNO)
CIK: 0001850902
Period of Report: 2022-05-13

Reporting Person: Hood Lisa (Chief People Officer)

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2022-05-13	Common Stock	P	772	$10.931	Acquired	31234	Direct
2022-11-14	Common Stock	P	2046	$4.233	Acquired	33280	Direct
2022-11-15	Common Stock	S	2046	$5.2841	Disposed	31234	Direct

Derivative Transactions

Date	Security	Exercise Price	Code	Shares	A/D	Expiration	Underlying	Ownership
2022-11-15	Non-Qualified Stock Option (right to buy)	$5.36	A	40498	Acquired	2032-11-15	Common Stock (40498)	Direct

Footnotes

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.