Sec Form 13G Filing - Davis Ted filing for ALPHA TEKNOVA INC (TKNO) - 2022-02-14

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 the disclosures provided in a prior cover page.

  NAMES OF REPORTING PERSONS

  Ted Davis

  CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS)

  (A)  ☐        (B)  ☐

  SEC USE ONLY

  CITIZENSHIP OR PLACE OF ORGANIZATION

  United States

NUMBER OF

SHARES

 BENEFICIALLY 

OWNED BY

EACH

REPORTING

PERSON

WITH

  SOLE VOTING POWER

  0

  SHARED VOTING POWER

  3,573,559 ⁽¹⁾

  SOLE DISPOSITIVE POWER

  0

  SHARED DISPOSITIVE POWER

  3,573,559 ⁽¹⁾

  AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

  3,573,559 ⁽¹⁾

  CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS)

  ☐

  PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)

  12.8% ⁽²⁾

  TYPE OF REPORTING PERSON (SEE INSTRUCTIONS)

  IN

Includes: (a) 1,886,419 shares of common stock of the Issuer owned directly by Mr. Davis and (b) 1,687,140 shares of common stock of the Issuer owned directly by Irene Davis, Mr. Davis’ spouse. Mr. Davis and Mrs. Davis are husband and wife and each of them may be deemed to have shared voting power and dispositive power over the shares of common stock of the Issuer held by each other. Mr. and Mrs. Davis are also both directors of the Issuer.

Percentage based on 28,011,917 shares of the Issuer’s Common Stock outstanding as of November 9, 2021, as reported in the Issuer’s Quarterly Report on Form 10-Q filed with the Securities and Exchange Commission on November 12, 2021.

  NAMES OF REPORTING PERSONS

  Irene Davis

  CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS)

  (A)  ☐        (B)  ☐

  SEC USE ONLY

  CITIZENSHIP OR PLACE OF ORGANIZATION

  United States

NUMBER OF

SHARES

 BENEFICIALLY 

OWNED BY

EACH

REPORTING

PERSON

WITH

  SOLE VOTING POWER

  0

  SHARED VOTING POWER

  3,573,559 ⁽¹⁾

  SOLE DISPOSITIVE POWER

  0

  SHARED DISPOSITIVE POWER

  3,573,559 ⁽¹⁾

  AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

  3,573,559 ⁽¹⁾

  CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS)

  ☐

  PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)

  12.8% ⁽²⁾

  TYPE OF REPORTING PERSON (SEE INSTRUCTIONS)

  IN

Includes: (i) 1,687,140 shares of common stock of the Issuer owned directly by Mrs. Davis and (ii) 1,886,419 shares of common stock of the Issuer owned directly by Ted Davis, Mrs. Davis’ spouse. Mr. Davis and Mrs. Davis are husband and wife and each of them may be deemed to have shared voting power and dispositive power over the shares of common stock of the Issuer held by each other. Mr. and Mrs. Davis are also both directors of the Issuer.

Percentage based on 28,011,917 shares of the Issuer’s Common Stock outstanding as of November 9, 2021, as reported in the Issuer’s Quarterly Report on Form 10-Q filed with the Securities and Exchange Commission on November 12, 2021.

Name of Issuer

Alpha Teknova, Inc.

Address of Issuer’s Principal Executive Offices

    2290 Bert Dr.

    Hollister, California 95023

Name of Persons Filing

(i) Ted Davis

(ii) Irene Davis (together, the “Reporting Persons”)

Address of Principal Business office or, if None, Residence

    2290 Bert Dr.

    Hollister, California 95023

Citizenship

The Reporting Persons are citizens of the United States.

Title of Class of Securities

Common Stock, $0.00001 par value

CUSIP Number

02080L 102

If this statement is filed pursuant to §§ 240.13d-1(b) or 240.13d-2(b) or (c), check whether the person filing is a:

☐    Broker or dealer registered under section 15 of the Act (15 U.S.C. 78o);

☐    Bank as defined in section 3(a)(6) of the Act (15 U.S.C. 78c);

☐    Insurance company as defined in section 3(a)(19) of the Act (15 U.S.C. 78c);

☐    Investment company registered under section 8 of the Investment Company Act of 1940 (15 U.S.C 80a-8);

☐    An investment adviser in accordance with § 240.13d-1(b)(1)(ii)(E);

☐    An employee benefit plan or endowment fund in accordance with § 240.13d-1(b)(1)(ii)(F);

☐    A parent holding company or control person in accordance with § 240.13d-1(b)(1)(ii)(G);

☐    A savings associations as defined in Section 3(b) of the Federal Deposit Insurance Act (12 U.S.C. 1813);

☐    A church plan that is excluded from the definition of an investment company under section 3(c)(14) of the Investment Company

       Act of 1940 (15 U.S.C. 80a-3);

☐    A non-U.S. institution in accordance with § 240.13d-1(b)(1)(ii)(J);

☐    Group, in accordance with § 240.13d-1(b)(1)(ii)(K).

If filing as a non-U.S. institution in accordance with § 240.13d-1(b)(1)(ii)(J), please specify the type of institution:                     .

Ownership.

(i) Ted Davis

Amount beneficially owned: 3,573,559

Percent of class:

12.8%*

Number of shares as to which the person has:

Sole power to vote or to direct the vote:

0

Shared power to vote or to direct the vote:

3,573,559 ⁽¹⁾

Sole power to dispose or to direct the disposition of:

0

Shared power to dispose or to direct the disposition of:

3,573,559 ⁽¹⁾

Includes: (i) 1,886,419 shares of common stock of the Issuer owned directly by Mr. Davis and (ii) 1,687,140 shares of common stock of the Issuer owned directly by Irene Davis, Mr. Davis’ spouse. Mr. Davis and Mrs. Davis are husband and wife and each of them may be deemed to have shared voting power and dispositive power over the shares of common stock of the Issuer held by each other. Mr. and Mrs. Davis are also both directors of the Issuer.

Percentage based on 28,011,917 shares of the Issuer’s Common Stock outstanding as of November 9, 2021, as reported in the Issuer’s Quarterly Report on Form 10-Q filed with the Securities and Exchange Commission on November 12, 2021.

(i) Irene Davis

Amount beneficially owned: 3,573,559

Percent of class:

12.8%*

Number of shares as to which the person has:

Sole power to vote or to direct the vote:

0

Shared power to vote or to direct the vote:

3,573,559 ⁽¹⁾

Sole power to dispose or to direct the disposition of:

0

Shared power to dispose or to direct the disposition of:

3,573,559 ⁽¹⁾

Includes: (i) 1,687,140 shares of common stock of the Issuer owned directly by Mrs. Davis and (ii) 1,886,419 shares of common stock of the Issuer owned directly by Ted Davis, Mrs. Davis’ spouse. Mr. Davis and Mrs. Davis are husband and wife and each of them may be deemed to have shared voting power and dispositive power over the shares of common stock of the Issuer held by each other. Mr. and Mrs. Davis are also both directors of the Issuer.

Percentage based on 28,011,917 shares of the Issuer’s Common Stock outstanding as of November 9, 2021, as reported in the Issuer’s Quarterly Report on Form 10-Q filed with the Securities and Exchange Commission on November 12, 2021.

Ownership of Five Percent or Less of a Class.

Ownership of More than Five Percent on Behalf of Another Person.

Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on By the Parent Holding Company or Control Person.

Identification and Classification of Members of the Group.

Notice of Dissolution of Group.

Certifications.

/s/ Damon Terrill, as attorney-in-fact for Ted Davis

/s/ Damon Terrill, as attorney-in-fact for Irene Davis

Filed herewith.