0001529274-23-000106.txt : 20230519 0001529274-23-000106.hdr.sgml : 20230519 20230519161750 ACCESSION NUMBER: 0001529274-23-000106 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20230517 FILED AS OF DATE: 20230519 DATE AS OF CHANGE: 20230519 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: 23940324 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: 23940321 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: 23940323 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: 23940322 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 wf-form4_168452745133391.xml FORM 4 X0407 4 2023-05-17 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 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 0001490248 S3 Ventures Fund III, L.P. 6300 BRIDGE POINT PARKWAY BUILDING 1, SUITE 405 AUSTIN TX 78730 1 0 1 0 0 Common Stock 2023-05-17 4 A 0 13699 0 A 857137 D Common Stock 18532824 I See footnote Represents restricted stock units (RSUs) which vest in full on the earlier of (i) the first anniversary of the grant date and (ii) immediately before the Annual Meeting following the grant date. Each RSU represents a contingent right to receive one share of common stock. The reporting person elected to defer receipt of these shares under the terms of the 2021 Incentive Award Plan. 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. /s/ Brian R. Smith 2023-05-17 /s/ Brian R. Smith 2023-05-17 /s/ Brian R. Smith 2023-05-17 /s/ Brian R. Smith 2023-05-17