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Alkami Technology (NASDAQ: ALKT) director awarded 1,160 shares, reports 14.2M indirect

Filing Impact
(Neutral)
Filing Sentiment
(Neutral)
Form Type
4

Rhea-AI Filing Summary

SMITH BRIAN R reported acquisition or exercise transactions in this Form 4 filing.

ALKAMI TECHNOLOGY director and 10% owner Brian R. Smith received a grant of 1,160 shares of Common Stock as a compensation award. The shares were granted at no cost under the 2021 Incentive Award Plan, and he elected to defer receipt of these shares.

After this award, Smith holds 553,185 shares directly. In addition, 14,218,240 shares are held indirectly through S3 Ventures Fund III, L.P., where related S3 entities and Smith may be deemed to share beneficial ownership, although each disclaims beneficial ownership beyond their pecuniary interest.

Positive

  • None.

Negative

  • None.
Insider SMITH BRIAN R, S3 VENTURES GPLP III, L.P., S3 VENTURES III, L.L.C., S3 Ventures Fund III, L.P.
Role Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | Director, 10% Owner
Type Security Shares Price Value
Grant/Award Common Stock 1,160 $0.00 --
holding Common Stock -- -- --
Holdings After Transaction: Common Stock — 553,185 shares (Direct); Common Stock — 14,218,240 shares (Indirect, See footnote)
Footnotes (1)
  1. The reporting person elected to defer receipt of these shares under the terms of the 2021 Incentive Award Plan. Shares held directly by Brian R. Smith. 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.
Stock award 1,160 shares Common Stock grant under 2021 Incentive Award Plan
Direct holdings after grant 553,185 shares Brian R. Smith direct Common Stock ownership post-transaction
Indirect holdings via S3 Ventures Fund III, L.P. 14,218,240 shares Common Stock held by S3 Ventures Fund III, L.P.
Grant price per share $0.0000 per share Reported price for 1,160-share stock award
2021 Incentive Award Plan financial
"The reporting person elected to defer receipt of these shares under the terms of the 2021 Incentive Award Plan."
beneficial ownership financial
"S3 GPLP III, S3 III LLC and Mr. Smith may be deemed to have beneficial ownership of the shares held by S3 Fund III."
Beneficial ownership means the person or entity that actually enjoys the benefits of owning shares or other assets — such as receiving dividends, voting rights, or price gains — even if the legal title is held in another name. For investors it matters because knowing who truly controls and profits from a company reveals who can influence decisions, exposes potential conflicts of interest or hidden concentration of power, and affects transparency and risk in the stock.
pecuniary interest financial
"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."
grant, award, or other acquisition financial
"transaction_code_description: Grant, award, or other acquisition"
Form 4 Insider Transactions: What Each Field Means →
SEC Form 4
FORM 4UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940
OMB APPROVAL
OMB Number:3235-0287
Estimated average burden
hours per response:0.5
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*
SMITH BRIAN R
(Last)(First)(Middle)
C/O S3 VENTURES, 6300 BRIDGE POINT PKWY
BUILDING 1, SUITE 405
(Street)
AUSTIN TEXAS 78730
(City)(State)(Zip)
UNITED STATES
(Country)		2. Issuer Name and Ticker or Trading Symbol
ALKAMI TECHNOLOGY, INC. [ ALKT ] 		5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
XDirectorX10% Owner
Officer (give title below)Other (specify below)
2a. Foreign Trading Symbol
3. Date of Earliest Transaction (Month/Day/Year)
04/05/2026		6. Individual or Joint/Group Filing (Check Applicable Line)
Form filed by One Reporting Person
XForm filed by More than One Reporting Person
4. If Amendment, Date of Original Filed (Month/Day/Year)

Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1. Title of Security (Instr. 3) 2. Transaction Date (Month/Day/Year)2A. Deemed Execution Date, if any (Month/Day/Year)3. Transaction Code (Instr. 8) 4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5) 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 7. Nature of Indirect Beneficial Ownership (Instr. 4)
CodeVAmount(A) or (D)Price
Common Stock04/05/2026A1,160(1)A$0553,185D(2)
Common Stock14,218,240ISee footnote(3)
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 3) 2. Conversion or Exercise Price of Derivative Security 3. Transaction Date (Month/Day/Year)3A. Deemed Execution Date, if any (Month/Day/Year)4. Transaction Code (Instr. 8) 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) 6. Date Exercisable and Expiration Date (Month/Day/Year)7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) 8. Price of Derivative Security (Instr. 5) 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) 10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 11. Nature of Indirect Beneficial Ownership (Instr. 4)
CodeV(A)(D)Date ExercisableExpiration DateTitleAmount or Number of Shares
1. Name and Address of Reporting Person*
SMITH BRIAN R
(Last)(First)(Middle)
C/O S3 VENTURES, 6300 BRIDGE POINT PKWY
BUILDING 1, SUITE 405
(Street)
AUSTIN TEXAS 78730
(City)(State)(Zip)
UNITED STATES
(Country)
Relationship of Reporting Person(s) to Issuer
XDirectorX10% Owner
Officer (give title below)Other (specify below)
1. Name and Address of Reporting Person*
S3 VENTURES GPLP III, L.P.
(Last)(First)(Middle)
6300 BRIDGE POINT PARKWAY
BUILDING 1, SUITE 405
(Street)
AUSTIN TEXAS 78730
(City)(State)(Zip)
UNITED STATES
(Country)
Relationship of Reporting Person(s) to Issuer
XDirectorX10% Owner
Officer (give title below)Other (specify below)
1. Name and Address of Reporting Person*
S3 VENTURES III, L.L.C.
(Last)(First)(Middle)
6300 BRIDGE POINT PARKWAY
BUILDING 1, SUITE 405
(Street)
AUSTIN TEXAS 78730
(City)(State)(Zip)
UNITED STATES
(Country)
Relationship of Reporting Person(s) to Issuer
XDirectorX10% Owner
Officer (give title below)Other (specify below)
1. Name and Address of Reporting Person*
S3 Ventures Fund III, L.P.
(Last)(First)(Middle)
6300 BRIDGE POINT PARKWAY
BUILDING 1, SUITE 405
(Street)
AUSTIN TEXAS 78730
(City)(State)(Zip)
UNITED STATES
(Country)
Relationship of Reporting Person(s) to Issuer
XDirectorX10% Owner
Officer (give title below)Other (specify below)
Explanation of Responses:
1. The reporting person elected to defer receipt of these shares under the terms of the 2021 Incentive Award Plan.
2. Shares held directly by Brian R. Smith.
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.
Remarks:
/s/ Douglas A. Linebarger as Attorney-in-Fact for Brian Smith04/07/2026
/s/ Brian R. Smith for S3 Ventures GPLP III, L.P.04/07/2026
/s/ Brian R. Smith for S3 Ventures III, L.L.C.04/07/2026
/s/ Brian R. Smith for S3 Ventures Fund III, L.P.04/07/2026
** Signature of Reporting PersonDate
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.
* Form 4: SEC 1474 (03-26)

Source: View Original Filing on SEC EDGAR

FAQ

What insider transaction did ALKT director Brian R. Smith report on this Form 4?

Brian R. Smith reported receiving a grant of 1,160 shares of ALKAMI TECHNOLOGY Common Stock. The award was made at no cost as a compensation grant and was deferred under the company’s 2021 Incentive Award Plan, rather than being an open-market purchase.

How many ALKT shares does Brian R. Smith hold directly after this grant?

Following the 1,160-share award, Brian R. Smith directly holds 553,185 ALKAMI TECHNOLOGY Common Stock shares. This figure reflects his personal direct ownership position after the reported grant-based acquisition under the company’s 2021 Incentive Award Plan.

What indirect ALKT holdings are associated with S3 Ventures and Brian R. Smith?

An indirect holding of 14,218,240 ALKAMI TECHNOLOGY shares is reported as held by S3 Ventures Fund III, L.P. Related S3 entities and Brian R. Smith may be deemed beneficial owners, but each disclaims beneficial ownership beyond their economic, or pecuniary, interest.

Is the 1,160-share ALKT transaction a market purchase or a compensation award?

The 1,160-share transaction is a compensation award, not a market purchase. It is classified as a grant or award acquisition under the 2021 Incentive Award Plan, with a reported price of $0.0000 per share, indicating no cash paid for the shares.

What does it mean that Brian R. Smith deferred receipt of his ALKT award shares?

Deferring receipt means Brian R. Smith chose to postpone taking delivery of the 1,160 award shares. This election was made under the terms of ALKAMI TECHNOLOGY’s 2021 Incentive Award Plan, affecting timing of when the granted stock is actually received.

How significant is the 1,160-share ALKT award relative to Brian R. Smith’s holdings?

The 1,160-share award is small compared with Brian R. Smith’s 553,185 directly held shares and the 14,218,240 shares reported as indirectly held through S3 Ventures Fund III, L.P. It represents a routine, incremental increase from a compensation program.