Insider filing report for Changes in Beneficial Ownership
- Schedule 13G & 13D forms are used to report a party's ownership of stock which exceeds 5% of a company's total stock issue.
- Schedule 13G is a shorter version of Schedule 13D with fewer reporting requirements.
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UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, D.C. 20549
SCHEDULE 13G
UNDER THE SECURITIES EXCHANGE ACT OF 1934
(Amendment No._)*
| Alpha Teknova, Inc. |
| (Name of Issuer) |
| Common Stock, par value $0.00001 |
| (Title of Class of Securities) |
| 02080L102 |
| (CUSIP Number) |
| December 31, 2021 |
| (Date of Event Which Requires Filing of this Statement) |
Check the appropriate box to designate the rule pursuant to which this Schedule is filed:
¨ Rule 13d-1(b)
x Rule 13d-1(c)
¨ Rule 13d-1(d)
| * | The remainder of this cover page shall be filled out for a reporting person’s initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter disclosures provided in a prior cover page. |
The information required on the remainder of this cover page shall not be deemed to be “filed” for the purpose of Section 18 of the Securities Exchange Act of 1934 (“Act”) or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act (however, see the Notes).
|
CUSIP No. 02080L102
| ||||
| 1. |
Name of Reporting Persons
Telegraph Hill Partners IV, L.P. | |||
| 2. |
Check the Appropriate Box if a Member of a Group (See Instructions) (a) ¨ (b) x | |||
| 3. |
SEC Use Only
| |||
| 4. |
Citizenship or Place of Organization
State of Delaware | |||
|
Number of Shares Beneficially Owned By Each Reporting Person With: |
5. |
Sole Voting Power 0 | ||
| 6. |
Shared Voting Power 17,512,685 (1) | |||
| 7. |
Sole Dispositive Power 0 | |||
| 8. |
Shared Dispositive Power 17,512,685 (1) | |||
| 9. |
Aggregate Amount Beneficially Owned by Each Reporting Person 17,512,685 (1) | |||
| 10. |
Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions) ¨
| |||
| 11. |
Percent of Class Represented by Amount in Row (9) 62.5%(1)(2) | |||
| 12. |
Type of Rep orting Person (See Instructions) PN | |||
| (1) | Includes (i) 14,941,823 shares of common stock held by Telegraph Hill Partners IV, L.P. and (ii) 2,570,862 shares of common stock held by THP IV Affiliates Fund, LLC. |
| (2) | Consists of 28,011,917 shares of Common Stock of the Issuer outstanding on November 9, 2021, based on information publicly disclosed by the Issuer. |
|
CUSIP No. 02080L102
| ||||
| 1. |
Name of Reporting Persons
THP IV Affiliates Fund, LLC | |||
| 2. |
Check the Appropriate Box if a Member of a Group (See Instructions) (a) ¨ (b) x | |||
| 3. |
SEC Use Only
| |||
| 4. |
Citizenship or Place of Organization
State of Delaware | |||
|
Number of Shares Beneficially Owned By Each Reporting Person With: |
5. |
Sole Voting Power 0 | ||
| 6. |
Shared Voting Power 17,512,685 (1) | |||
| 7. |
Sole Dispositive Power 0 | |||
| 8. |
Shared Dispositive Power 17,512,685 (1) | |||
| 9. |
Aggregate Amount Beneficially Owned by Each Reporting Person 17,512,685 (1) | |||
| 10. |
Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions) ¨
| |||
| 11. |
Percent of Class Represented by Amount in Row (9) 62.5%(1)(2) | |||
| 12. |
Type of Reporting Person (See Instructions) PN | |||
| (1) | Includes (i) 14,941,823 shares of common stock held by Telegraph Hill Partners IV, L.P. and (ii) 2,570,862 shares of common stock held by THP IV Affiliates Fund, LLC. |
| (2) | Consists of 28,011,917 shares of Common Stock of the Issuer outstanding on November 9, 2021, based on information publicly disclosed by the Issuer. |
|
CUSIP No. 02080L102
| ||||
| 1. |
Name of Reporting Persons
Telegraph Hill Partners IV Investment Management, LLC | |||
| 2. |
Check the Appropriate Box if a Member of a Group (See Instructions) (a) ¨ (b) x | |||
| 3. |
SEC Use Only
| |||
| 4. |
Citizenship or Place of Organization
State of Delaware | |||
|
Number of Shares Beneficially Owned By Each Reporting Person With: |
5. |
Sole Voting Power 0 | ||
| 6. |
Shared Voting Power 17,512,685 (1) | |||
| 7. |
Sole Dispositive Power 0 | |||
| 8. |
Shared Dispositive Power 17,512,685 (1) | |||
| 9. |
Aggregate Amount Beneficially Owned by Each Reporting Person 17,512,685 (1) | |||
| 10. |
Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions) ¨
| |||
| 11. |
Percent of Class Represented by Amount in Row (9) 62.5%(1)(2) | |||
| 12. |
Type of Reporting Person (See Instructions) PN | |||
| (1) | Includes (i) 14,941,823 shares of common stock held by Telegraph Hill Partners IV, L.P. and (ii) 2,570,862 shares of common stock held by THP IV Affiliates Fund, LLC. |
| (2) | Consists of 28,011,917 shares of Common Stock of the Issuer outstanding on November 9, 2021, based on information publicly disclosed by the Issuer. |
|
CUSIP No. 02080L102
| ||||
| 1. |
Name of Reporting Persons
Telegraph Hill Partners Management Company, LLC | |||
| 2. |
Check the Appropriate Box if a Member of a Group (See Instructions) (a) ¨ (b) x | |||
| 3. |
SEC Use Only
| |||
| 4. |
Citizenship or Place of Organization
State of Delaware | |||
|
Number of Shares Beneficially Owned By Each Reporting Person With: |
5. |
Sole Voting Power 0 | ||
| 6. |
Shared Voting Power 17,512,685 (1) | |||
| 7. |
Sole Dispositive Power 0 | |||
| 8. |
Shared Dispositive Power 17,512,685 (1) | |||
| 9. |
Aggregate Amount Beneficially Owned by Each Reporting Person 17,512,685 (1) | |||
| 10. |
Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions) ¨
| |||
| 11. |
Percent of Class Represented by Amount in Row (9) 62.5%(1)(2) | |||
| 12. |
Type of Reporting Person (See Instructions) PN | |||
| (1) | Includes (i) 14,941,823 shares of common stock held by Telegraph Hill Partners IV, L.P. and (ii) 2,570,862 shares of common stock held by THP IV Affiliates Fund, LLC. |
| (2) | Consists of 28,011,917 shares of Common Stock of the Issuer outstanding on November 9, 2021, based on information publicly disclosed by the Issuer. |
| Item 1(a). | Name of Issuer |
| Alpha Teknova, Inc. (the “Issuer”) | |
| Item 1(b). | Address of the Issuer’s Principal Executive Offices |
| 2290 Bert Drive, Hollister, California 95023 | |
| Item 2(a). | Names of Persons Filing |
| This Statement is filed on behalf of each of the following persons (collectively, the “Reporting Persons”): |
| (i) | Telegraph Hill Partners IV, L.P. | |
| (ii) | THP IV Affiliates Fund, LLC | |
| (iii) | Telegraph Hill Partners IV Investment Management, LLC | |
| (iv) | Telegraph Hill Partners Management Company, LLC |
| Item 2(b). | Address of the Principal Business Office, or if none, Residence: |
| The address of the principal business and principal office of each of the Reporting Persons is 360 Post Street, Suite 601, San Francisco, California 94108. | |
| Item 2(c). | Citizenship |
| (i) | Telegraph Hill Partners IV, L.P. is a Delaware limited partnership. | |
| (ii) | THP IV Affiliates Fund, LLC is a Delaware limited liability company. | |
| (iii) | Telegraph Hill Partners IV Investment Management, LLC is a Delaware limited liability company. | |
| (iv) | Telegraph Hill Partners Management Company, LLC is a Delaware limited liability company. |
| Item 2(d). | Title of Class of Securities |
| Common stock, par value $0.00001 per share |
| Item 2(e). | CUSIP Number |
| 02080L102 |
| Item 3. | If this statement is filed pursuant to Rules 13d-1(b), or 13d-2(b) or (c), check whether the person filing is a: |
| Not applicable. |
| Item 4. |
Ownership
(a) Amount Beneficially Owned:
Telegraph Hill Partners IV, L.P.
14,941,823 shares of common stock are held of record 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.
THP IV Affiliates Fund, LLC
2,570,862 shares of common stock are held of record by THP IV Affiliates Fund, LLC (“THP IV AFF”). THP IM is the manager of THP IV AFF. THPMC is the manager of THP IM. |
| Item 5. | Ownership of Five Percent or Less of a Class |
| If this statement is being filed to report the fact that as of the date hereof the reporting person has ceased to be the beneficial owner of more than five percent of the class of securities, check the following ☐. | |
| Item 6. | Ownership of More than Five Percent on Behalf of Another Person |
| Not applicable. | |
| Item 7. | Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on By the Parent Holding Company or Control Person |
| Not applicable. | |
| Item 8. | Identification and Classification of Members of the Group |
| See Exhibit B. | |
| Item 9. | Notice of Dissolution of Group |
| Not applicable. | |
| Item 10. | Certification |
| By signing below each of the undersigned certifies that, to the best of its or his knowledge and belief, the securities referred to above were not acquired and are not held for the purpose of or with the effect of changing or influencing the control of the issuer of the securities and were not acquired and are not held in connection with or as a participant in any transaction having that purpose or effect, other than activities solely in connection with a nomination under § 240.14a-11. |
SIGNATURE
After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct.
DATE: February 11, 2022
|
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/ Rob Hart | |
| Rob Hart | ||
| Partner |
|
THP IV Affiliates Fund, LLC By: Telegraph Hill Partners IV Investment Management, LLC Its: Manager By: Telegraph Hill Partners Management Company LLC Its: Manager |
| By: | /s/ Rob Hart | |
| Rob Hart | ||
| Partner |
|
Telegraph Hill Partners IV Investment Management, LLC By: Telegraph Hill Partners Management Company LLC Its: Manager |
| By: | /s/ Rob Hart | |
| Rob Hart | ||
| Partner |
|
Telegraph Hill Partners Management Company, LLC
|
| By: | /s/ Rob Hart | |
| Rob Hart | ||
| Partner |
Attention: Intentional misstatements or omissions of fact constitute Federal criminal violations
(See 18 U.S.C. 1001)
EXHIBIT A
JOINT FILING AGREEMENT
In accordance with Rule 13d-1(k) under the Securities Exchange Act of 1934, as amended, the undersigned agree to the joint filing on behalf of each of them of a Statement on Schedule 13G (including any and all amendments thereto) with respect to the shares of common stock, $0.00001 par value per share, of Alpha Teknova, Inc., and further agree that this Joint Filing Agreement shall be included as an exhibit to such joint filings.
The undersigned further agree that each party hereto is responsible for the timely filing of such Statement on Schedule 13G and any amendments thereto, and for the accuracy and completeness of the information concerning such party contained therein; provided, however, that no party is responsible for the accuracy or completeness of the information concerning any other party, unless such party knows or has reason to believe that such information is inaccurate.
This Joint Filing Agreement may be signed in counterparts with the same effect as if the signature on each counterpart were upon the same instrument.
IN WITNESS WHEREOF, the undersigned have executed this Agreement as of February 11, 2022.
|
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/ Rob Hart | |
| Rob Hart | ||
| Partner |
|
THP IV Affiliates Fund, LLC By: Telegraph Hill Partners IV Investment Management, LLC Its: Manager By: Telegraph Hill Partners Management Company LLC Its: Manager |
| By: | /s/ Rob Hart | |
| Rob Hart | ||
| Partner |
|
Telegraph Hill Partners IV Investment Management, LLC By: Telegraph Hill Partners Management Company LLC Its: Manager |
| By: | /s/ Rob Hart | |
| Rob Hart | ||
| Partner |
|
Telegraph Hill Partners Management Company, LLC
|
| By: | /s/ Rob Hart | |
| Rob Hart | ||
| Partner |
Exhibit B
Due to the relationships between them, the reporting persons hereunder may be deemed to constitute a “group” with one another for purposes of Section 13(d)(3) of the Securities Exchange Act of 1934.