Form Type: 4

SEC EDGAR Link
Accession Number:0001529274-21-000069
Date:2021-10-05
Issuer: ALKAMI TECHNOLOGY, INC. (ALKT)
Original Submission Date:

Reporting Person:

SMITH BRIAN R
C/O S3 VENTURES, 6300 BRIDGE POINT PKWY
BUILDING 1, SUITE 405 AUSTIN, TX 78730

Reporting Person:

S3 VENTURES GPLP III, L.P.
6300 BRIDGE POINT PARKWAY
BUILDING 1, SUITE 405 AUSTIN, TX 78730

Reporting Person:

S3 VENTURES FUND III, L.P.
6300 BRIDGE POINT PARKWAY
BUILDING 1, SUITE 405 AUSTIN, TX 78730

Reporting Person:

S3 VENTURES III, L.L.C.
6300 BRIDGE POINT PARKWAY
BUILDING 1, SUITE 405 AUSTIN, TX 78730

Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
Title of SecurityTransaction Date2a. Deemed Execution Date Transaction CodeSharesAcquired or DisposedPrice per share 5. Amount of Securities Beneficially Owned Following Reported Transaction 6. Ownership Form Direct or IndirectNature of Indirect Ownership
COMMON STOCK 2021-10-05 A 590 a $0.00 822,786 direct
COMMON STOCK 2021-10-05 0 $0.00 18,532,824 indirect f2
Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, convertible securities
Title of Derivative Security Conversion or Exercise Price of Derivative Security Transaction Date Deemed Execution Date Transaction Code Number of Derivative Securities Acquired (A) or Disposed of (D) Date ExercisableExpiration Date Title and Amount of Securities Underlying Derivative Security Price of Derivative Security Number of derivative Securities Beneficially Owned Following Reported Transaction(s) Ownership Form: Direct (D) or Indirect (I) Nature of Indirect Beneficial Ownership
Footnotes
IDfootnote
f1 the reporting person elected to defer receipt of these shares under the terms of the 2021 incentive award plan.
f2 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.
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