0000947871-21-000440.txt : 20210419 0000947871-21-000440.hdr.sgml : 20210419 20210419162530 ACCESSION NUMBER: 0000947871-21-000440 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20210416 FILED AS OF DATE: 20210419 DATE AS OF CHANGE: 20210419 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: SMITH BRIAN R CENTRAL INDEX KEY: 0001106642 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-40321 FILM NUMBER: 21834901 MAIL ADDRESS: STREET 1: C/O CROSSROADS SYSTEMS INC STREET 2: 8300 N. MOPAC EXPRESSWAY CITY: AUSTIN STATE: TX ZIP: 78759 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: S3 Ventures Fund III, L.P. CENTRAL INDEX KEY: 0001490248 STATE OF INCORPORATION: DE FISCAL YEAR END: 0410 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-40321 FILM NUMBER: 21834900 BUSINESS ADDRESS: STREET 1: 6300 BRIDGE POINT PARKWAY STREET 2: BLDG. 1, SUITE 405 CITY: AUSTIN STATE: TX ZIP: 78730 BUSINESS PHONE: 512-258-1759 MAIL ADDRESS: STREET 1: 6300 BRIDGE POINT PARKWAY STREET 2: BLDG. 1, SUITE 405 CITY: AUSTIN STATE: TX ZIP: 78730 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: S3 VENTURES GPLP III, L.P. CENTRAL INDEX KEY: 0001855950 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-40321 FILM NUMBER: 21834899 BUSINESS ADDRESS: STREET 1: 6300 BRIDGE POINT PARKWAY STREET 2: BLDG. 1, SUITE 405 CITY: AUSTIN STATE: TX ZIP: 78730 BUSINESS PHONE: 512-258-1759 MAIL ADDRESS: STREET 1: 6300 BRIDGE POINT PARKWAY STREET 2: BLDG. 1, SUITE 405 CITY: AUSTIN STATE: TX ZIP: 78730 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: S3 VENTURES III, L.L.C. CENTRAL INDEX KEY: 0001855949 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-40321 FILM NUMBER: 21834898 BUSINESS ADDRESS: STREET 1: 6300 BRIDGE POINT PARKWAY STREET 2: BLDG. 1, SUITE 405 CITY: AUSTIN STATE: TX ZIP: 78730 BUSINESS PHONE: 512-258-1759 MAIL ADDRESS: STREET 1: 6300 BRIDGE POINT PARKWAY STREET 2: BLDG. 1, SUITE 405 CITY: AUSTIN STATE: TX ZIP: 78730 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: ALKAMI TECHNOLOGY, INC. CENTRAL INDEX KEY: 0001529274 STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-PREPACKAGED SOFTWARE [7372] IRS NUMBER: 453060776 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 5601 GRANITE PARKWAY STREET 2: SUITE 120 CITY: PLANO STATE: TX ZIP: 75024 BUSINESS PHONE: 972-200-1937 MAIL ADDRESS: STREET 1: 5601 GRANITE PARKWAY STREET 2: SUITE 120 CITY: PLANO STATE: TX ZIP: 75024 FORMER COMPANY: FORMER CONFORMED NAME: ALKAMI TECHNOLOGY, INC, DATE OF NAME CHANGE: 20110906 4 1 ownership.xml X0306 4 2021-04-16 0 0001529274 ALKAMI TECHNOLOGY, INC. ALKT 0001106642 SMITH BRIAN R C/O S3 VENTURES, 6300 BRIDGE POINT PKWY BUILDING 1, SUITE 405 AUSTIN TX 78730 1 0 1 0 0001490248 S3 Ventures Fund III, L.P. 6300 BRIDGE POINT PARKWAY BUILDING 1, SUITE 405 AUSTIN TX 78730 1 0 1 0 0001855950 S3 VENTURES GPLP III, L.P. 6300 BRIDGE POINT PARKWAY BUILDING 1, SUITE 405 AUSTIN TX 78730 1 0 1 0 0001855949 S3 VENTURES III, L.L.C. 6300 BRIDGE POINT PARKWAY BUILDING 1, SUITE 405 AUSTIN TX 78730 1 0 1 0 Common Stock 2021-04-16 4 C 0 6844621 A 6844621 I See footnote Common Stock 2021-04-16 4 C 0 2038544 A 8883165 I See footnote Common Stock 2021-04-16 4 C 0 8148463 A 17031628 I See footnote Common Stock 2021-04-16 4 C 0 1501196 A 18532824 I See footnote Common Stock 2021-04-16 4 C 0 285907 A 285907 D Common Stock 2021-04-16 4 C 0 156250 A 442157 D Common Stock 2021-04-16 4 C 0 242421 A 684578 D Common Stock 2021-04-16 4 C 0 137215 A 821793 D Series A Preferred Stock 2021-04-16 4 C 0 6844621 D Common Stock 6844621 0 I See footnote Series A Preferred Stock 2021-04-16 4 C 0 285907 D Common Stock 285907 0 D Series B Preferred Stock 2021-04-16 4 C 0 2038544 D Common Stock 2038544 0 I See footnote Series B Preferred Stock 2021-04-16 4 C 0 156250 D Common Stock 156250 0 D Series C Preferred Stock 2021-04-16 4 C 0 8148463 D Common Stock 8148463 0 I See footnote Series C Preferred Stock 2021-04-16 4 C 0 242421 D Common Stock 242421 0 D Series E Preferred Stock 2021-04-16 4 C 0 1501196 D Common Stock 1501196 0 I See footnote Series E Preferred Stock 2021-04-16 4 C 0 137215 D Common Stock 137215 0 D Each share of Series A Preferred Stock was automatically converted on a 1-for-1 basis into Common Stock immediately prior to the closing of the Issuer's initial public offering. Shares held directly by S3 Ventures Fund III, L.P. ("S3 Fund III"). S3 Ventures GPLP III, L.P. ("S3 GPLP III") is the general partner of S3 Fund III. S3 Ventures III, L.L.C. ("S3 III LLC") is the General Partner of S3 GPLP III. Brian R. Smith is the Managing Director of S3 III LLC. S3 GPLP III, S3 III LLC and Mr. Smith may be deemed to have beneficial ownership of the shares held by S3 Fund III. S3 GPLP III, S3 III LLC and Mr. Smith each disclaims beneficial ownership of all such shares except to the extent of its or his pecuniary interest therein. Shares held directly by Brian R. Smith. Each share of Series B Preferred Stock was automatically converted on a 1-for-1 basis into Common Stock immediately prior to the closing of the Issuer's initial public offering. Each share of Series C Preferred Stock was automatically converted on a 1-for-1 basis into Common Stock immediately prior to the closing of the Issuer's initial public offering. Each share of Series E Preferred Stock was automatically converted on a 1-for-1 basis into Common Stock immediately prior to the closing of the Issuer's initial public offering. /s/ Brian R. Smith 2021-04-19 /s/ Brian R. Smith for S3 Ventures Fund III, L.P. 2021-04-19 /s/ Brian R. Smith for S3 Ventures GPLP III, L.P. 2021-04-19 /s/ Brian R. Smith for S3 Ventures III, L.L.C. 2021-04-19