0001529274-23-000020.txt : 20230213
0001529274-23-000020.hdr.sgml : 20230213
20230213175552
ACCESSION NUMBER: 0001529274-23-000020
CONFORMED SUBMISSION TYPE: 4/A
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20220405
FILED AS OF DATE: 20230213
DATE AS OF CHANGE: 20230213
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: SMITH BRIAN R
CENTRAL INDEX KEY: 0001106642
FILING VALUES:
FORM TYPE: 4/A
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-40321
FILM NUMBER: 23620514
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/A
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-40321
FILM NUMBER: 23620513
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/A
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-40321
FILM NUMBER: 23620512
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/A
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-40321
FILM NUMBER: 23620511
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/A
1
wf-form4a_167632893103284.xml
FORM 4/A
X0306
4/A
2022-04-05
2022-04-07
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
2022-04-05
4
A
0
1111
0
A
824610
D
Common Stock
18532824
I
See footnote
The reporting person elected to defer receipt of these shares under the terms of the 2021 Incentive Award Plan.
The Form 4 originally filed by Mr. Smith on April 7, 2022 (the "Original Form 4") inadvertently incorrectly stated the number of shares of Common Stock beneficially owned following the transaction reported therein due to an administrative error. The amounts reported in Column 5 of Table I herein have been corrected to reflect the number of shares beneficially owned as of April 5, 2022. This Form 4 is deemed to amend the Form 4s filed by the reporting person on May 20, 2022, July 6, 2022, October 7, 2022 and January 9, 2023 (the "Subsequent Form 4s") to increase the number of shares reported as beneficially owned after each reported transaction by 122,706 shares. As of the date of this filing, the reporting person beneficially owns 842,251 shares directly.
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. This Form 4 amends the Original Form 4, and is deemed to amend the Subsequent Form 4s, to include the shares reported as indirectly owned on this Form 4 and add S3 Fund III, S3 GPLP III and S3 III LLC as reporting persons.
/s/ Brian R. Smith
2023-02-13
/s/ Brian R. Smith for S3 Ventures Fund III, L.P.
2023-02-13
/s/ Brian R. Smith for S3 Ventures GPLP III, L.P.
2023-02-13
/s/ Brian R. Smith for S3 Ventures III, L.L.C.
2023-02-13