Item 5. Other Information
Item 5 . Other Information.
None.
71
Item 6 . Exhibits.
Exhibit
Number
Description
3.1
Amended and Restated Certificate of Incorporation of Alpha Teknova, Inc. (incorporated by reference to Exhibit 3.1 to
the Registrant’s Current Report on Form 8-K filed with the SEC on June 29, 2021).
3.2
Amended and Restated Bylaws of Alpha Teknova, Inc. (incorporated by reference to Exhibit 3.2 to the Registrant’s
Current Report on Form 8-K filed with the SEC on June 29, 2021) .
4.1
Form of Common Stock Certificate (incorporated by reference to Exhibit 4.1 to the Registrant’s Registration Statement
on Form S-1 (File No. 333-256795 filed with the SEC on June 21, 2021).
4.2
Investors’ Rights Agreement, dated as of January 14, 2019, by and among Alpha Teknova, Inc., and certain of its
stockholders (incorporated by reference to Exhibit 4.2 to the Registrant’s Registration Statement on Form S-1 (File No.
333-256795 filed with the SEC on June 4, 2021).
10.1 +
Alpha Teknova, Inc. 2021 Equity Incentive Plan (incorporated by reference to Exhibit 10.5 to Amendment No. 1 to the
Registrant’s Registration Statement on Form S-1/A (File No. 333-256795 filed with the SEC on June 21, 2021).
10.2 +
Alpha Teknova, Inc. 2021 Equity Incentive Plan Form of Stock Option Agreement (incorporated by reference to Exhibit
10.6 to Amendment No. 1 to the Registrant’s Registration Statement on Form S-1 (File No. 333-256795), filed on June 21,
2021).
10.3 +
Alpha Teknova, Inc. 2021 Equity Incentive Plan Form of Restricted Stock Unit Award Agreement (incorporated by
reference to Exhibit 10.7 to Amendment No. 1 to the Registrant’s Registration Statement on Form S-1 (File No.
333-256795), filed on June 21, 2021).
10.4 +
Alpha Teknova, Inc. Employee Stock Purchase Plan (incorporated by reference to Exhibit 10.8 to Amendment No. 1 to
the Registrant’s Registration Statement on Form S-1/A (File No. 333-256795 filed with the SEC on June 21, 2021).
10.5 +
Form of Indemnification Agreement between Alpha Teknova, Inc. and each of its directors and officers (incorporated by
reference to Exhibit 10.16 to Amendment No. 1 to the Registrant’s Registration Statement on Form S-1/A (File No.
333-256795 filed with the SEC on June 21, 2021).
10.6+
Alpha Teknova, Inc. Annual Incentive Bonus Plan (incorporated by reference to Exhibit 10.17 to Amendment No. 1 to
the Registrant’s Registration Statement on Form S-1/A (File No. 333-256795 filed with the SEC on June 21, 2021).
10.7 +
Alpha Teknova, Inc. Executive Severance and Change in Control Plan (incorporated by reference to exhibit 10.26 to
Amendment No. 1 to the Registrant’s Registration Statement on Form S-1/A (File No. 333-256795 filed with the SEC
on June 21, 2021).
31.1*
Certification of Principal Executive Officer Pursuant to Rules 13a-14(a) and 15d-14(a) under the Securities Exchange Act of 1934, as adopted Pursuant to Section 302 of the Sarbanes-Oxley Act of 2002.
31.2*
Certification of Principal Financial Officer Pursuant to Rules 13a-14(a) and 15d-14(a) under the Securities Exchange Act of 1934, as adopted Pursuant to Section 302 of the Sarbanes-Oxley Act of 2002.
32.1*
Certification of Principal Executive Officer and Principal Financial Officer Pursuant to 18 U.S.C. Section 1350, as adopted Pursuant to Section 906 of the Sarbanes-Oxley Act of 2002.
101.INS
Inline XBRL Instance Document – the instance document does not appear in the Interactive Data File because XBRL tags are embedded within the Inline XBRL document.
101.SCH
Inline XBRL Taxonomy Extension Schema Document
101.CAL
Inline XBRL Taxonomy Extension Calculation Linkbase Document
101.DEF
Inline XBRL Taxonomy Extension Definition Linkbase Document
101.LAB
Inline XBRL Taxonomy Extension Label Linkbase Document
101.PRE
Inline XBRL Taxonomy Extension Presentation Linkbase Document
104
Cover Page Interactive Data File (embedded within the Inline XBRL document)
* Filed herewith.
+ Management contract or compensatory plan or arrangement.
72
SIG NATURES
Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned thereunto duly authorized.
ALPHA TEKNOVA INC.
Date: August 13, 2021
By:
/s/ STEPHEN GUNSTREAM
Stephen Gunstream
President and Chief Executive Officer
(Principal Executive Officer)
Date: August 13, 2021
By:
/s/ MATTHEW LOWELL
Matthew Lowell
Chief Financial Officer
(Principal Financial Officer)
73
Text extracted from the filing as submitted to EDGAR. Formatting, tables and exhibits are simplified for reading; the original document is authoritative for anything you rely on.