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