# EDGAR Filing Document

**Accession Number:** 0001106642
**File Stem:** 0001529274-23-000020
**Filing Date:** 2023-2
**Character Count:** 12219
**Document Hash:** 295e85699d655b848a33905dbac1b910
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0001529274-23-000020.hdr.sgml**: 20230213

**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

### UNITED STATES SECURITIES AND EXCHANGE COMMISSION
**Washington, D.C. 20549**

## FORM 4/A

### STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

[ ] Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).

[ ] Check this box to indicate that a transaction was made pursuant to a contract, instruction or written plan for the purchase or sale of equity securities of the issuer that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c). See Instruction 10.

---

| | | |
|:---|:---|:---|
| **1. Name and Address of Reporting Person**<sup>*</sup><br>SMITH BRIAN R<br><sub>(Last) (First) (Middle)</sub><br>C/O S3 VENTURES, 6300 BRIDGE POINT PKWY<br>BUILDING 1, SUITE 405<br><sub>(Street)</sub><br>AUSTIN, TX 78730<br><sub>(City) (State) (Zip)</sub> | **3. Date of Earliest Transaction (Month/Day/Year)**<br>2022-04-05 | **5. Relationship of Reporting Person(s) to Issuer**<br>(Check all applicable)<br>[X] Director [X] 10% Owner<br>[ ] Officer (give title below) [ ] Other (specify below)<br>_ _ |
| **2. Issuer Name and Ticker or Trading Symbol**<br>ALKAMI TECHNOLOGY, INC. [ ALKT ] | **4. If Amendment, Date of Original Filed (Month/Day/Year)**<br>  | **6. Individual or Joint/Group Filing (Check Applicable Line)**<br>[ ] Form filed by One Reporting Person<br>[X] Form filed by More than One Reporting Person |

---

---

| | | |
|:---|:---|:---|
| **1. Name and Address of Reporting Person**<sup>*</sup><br>S3 Ventures Fund III, L.P.<br><sub>(Last) (First) (Middle)</sub><br>6300 BRIDGE POINT PARKWAY<br>BUILDING 1, SUITE 405<br><sub>(Street)</sub><br>AUSTIN, TX 78730<br><sub>(City) (State) (Zip)</sub> | **3. Date of Earliest Transaction (Month/Day/Year)**<br>2022-04-05 | **5. Relationship of Reporting Person(s) to Issuer**<br>(Check all applicable)<br>[X] Director [X] 10% Owner<br>[ ] Officer (give title below) [ ] Other (specify below)<br>_ _ |
| **2. Issuer Name and Ticker or Trading Symbol**<br>ALKAMI TECHNOLOGY, INC. [ ALKT ] | **4. If Amendment, Date of Original Filed (Month/Day/Year)**<br>  | **6. Individual or Joint/Group Filing (Check Applicable Line)**<br>[ ] Form filed by One Reporting Person<br>[X] Form filed by More than One Reporting Person |

---

---

| | | |
|:---|:---|:---|
| **1. Name and Address of Reporting Person**<sup>*</sup><br>S3 VENTURES GPLP III, L.P.<br><sub>(Last) (First) (Middle)</sub><br>6300 BRIDGE POINT PARKWAY<br>BUILDING 1, SUITE 405<br><sub>(Street)</sub><br>AUSTIN, TX 78730<br><sub>(City) (State) (Zip)</sub> | **3. Date of Earliest Transaction (Month/Day/Year)**<br>2022-04-05 | **5. Relationship of Reporting Person(s) to Issuer**<br>(Check all applicable)<br>[X] Director [X] 10% Owner<br>[ ] Officer (give title below) [ ] Other (specify below)<br>_ _ |
| **2. Issuer Name and Ticker or Trading Symbol**<br>ALKAMI TECHNOLOGY, INC. [ ALKT ] | **4. If Amendment, Date of Original Filed (Month/Day/Year)**<br>  | **6. Individual or Joint/Group Filing (Check Applicable Line)**<br>[ ] Form filed by One Reporting Person<br>[X] Form filed by More than One Reporting Person |

---

---

| | | |
|:---|:---|:---|
| **1. Name and Address of Reporting Person**<sup>*</sup><br>S3 VENTURES III, L.L.C.<br><sub>(Last) (First) (Middle)</sub><br>6300 BRIDGE POINT PARKWAY<br>BUILDING 1, SUITE 405<br><sub>(Street)</sub><br>AUSTIN, TX 78730<br><sub>(City) (State) (Zip)</sub> | **3. Date of Earliest Transaction (Month/Day/Year)**<br>2022-04-05 | **5. Relationship of Reporting Person(s) to Issuer**<br>(Check all applicable)<br>[X] Director [X] 10% Owner<br>[ ] Officer (give title below) [ ] Other (specify below)<br>_ _ |
| **2. Issuer Name and Ticker or Trading Symbol**<br>ALKAMI TECHNOLOGY, INC. [ ALKT ] | **4. If Amendment, Date of Original Filed (Month/Day/Year)**<br>  | **6. Individual or Joint/Group Filing (Check Applicable Line)**<br>[ ] Form filed by One Reporting Person<br>[X] Form filed by More than One Reporting Person |

---

## Table I - Non-Derivative Securities

---

|  |  |  |  |  |  |  |  |  |  |  |
| --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- |
| 1. Title of Security | 2. Transaction Date | 2A. Deemed Execution Date | 3. Transaction Code (V) | 3. Transaction Code (V) | 4. Securities Acquired (A) or Disposed of (D) | 4. Securities Acquired (A) or Disposed of (D) | 4. Securities Acquired (A) or Disposed of (D) | 5. Amount of Securities Beneficially Owned | 6. Ownership Form | 7. Nature of Indirect Beneficial Ownership |
| 1. Title of Security | 2. Transaction Date | 2A. Deemed Execution Date | Code | V | Amount | (A) or (D) | Price | 5. Amount of Securities Beneficially Owned | 6. Ownership Form | 7. Nature of Indirect Beneficial Ownership |
| Common Stock | 2022-04-05 |  | A |  | 1111<sup>(1)</sup> | A | $0 | 824610<sup>(2)</sup> | D |  |
| Common Stock |  |  |  |  |  |  |  | 18532824 | I | See footnote<sup>(3)</sup> |

---

## Table II - Derivative Securities

---

|  |  |  |  |  |  |  |  |  |  |  |  |  |  |  |  |
| --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- |
| 1. Title of Derivative Security | 2. Conversion or Exercise Price | 3. Transaction Date | 3A. Deemed Execution Date | 4. Transaction Code (V) | 4. Transaction Code (V) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) | 6. Date Exercisable and Expiration Date | 6. Date Exercisable and Expiration Date | 7. Title and Amount of Underlying Securities | 7. Title and Amount of Underlying Securities | 8. Price of Derivative Security | 9. Number of Derivative Securities Beneficially Owned | 10. Ownership Form | 11. Nature of Indirect Beneficial Ownership |
| 1. Title of Derivative Security | 2. Conversion or Exercise Price | 3. Transaction Date | 3A. Deemed Execution Date | Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | 8. Price of Derivative Security | 9. Number of Derivative Securities Beneficially Owned | 10. Ownership Form | 11. Nature of Indirect Beneficial Ownership |
|  |  |  |  |  |  |  |  |  |  |  |  |  |  |  |  |

---

### Footnotes:

(1) The reporting person elected to defer receipt of these shares under the terms of the 2021 Incentive Award Plan.

(2) 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.

(3) 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.

**Signature:** /s/ Brian R. Smith  
**Date:** 2023-02-13

**Signature:** /s/ Brian R. Smith for S3 Ventures Fund III, L.P.  
**Date:** 2023-02-13

**Signature:** /s/ Brian R. Smith for S3 Ventures GPLP III, L.P.  
**Date:** 2023-02-13

**Signature:** /s/ Brian R. Smith for S3 Ventures III, L.L.C.  
**Date:** 2023-02-13

### Remarks:

Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.

* If the form is filed by more than one reporting person, see Instruction 4 (b)(v).

** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).

Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.

**Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number.**