Alkami director Brian R. Smith awarded 1,085 shares

The 14,218,240 shares were held directly by S3 Ventures Fund III; related entities and Smith disclaimed beneficial ownership except for pecuniary interests.

Rhea-AI Filing Summary

Alkami Technology, Inc. (ALKT) director and 10% owner Brian R. Smith reported an award acquisition of 1,085 common shares on October 5, 2026, with receipt deferred under the 2021 Incentive Award Plan. His direct holdings following the transaction were 566,807 shares. Separately, S3 Ventures Fund III, L.P. held 14,218,240 shares directly. S3 Ventures GPLP III, L.P., S3 Ventures III, L.L.C., and Smith may be deemed beneficial owners of the fund-held shares; each disclaims beneficial ownership except to the extent of its or his pecuniary interest.

Insider Trade Summary

Grant/Award: 1,085 shares

Grant/Award 2 txns

Insider SMITH BRIAN R, S3 VENTURES III, L.L.C., S3 Ventures Fund III, L.P., S3 VENTURES GPLP 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 F1, F2	1,085	$0.00	$0.00
holding	Common Stock F3	--	--	--

Holdings After Transaction: Common Stock — 566,807 shares (Direct); Common Stock — 14,218,240 shares (Indirect, See footnote)

Footnotes (3)

1. F1. The reporting person elected to defer receipt of these shares under the terms of the 2021 Incentive Award Plan.
2. F2. Shares held directly by Brian R. Smith.
3. F3. 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.

Key Figures

Common shares awarded: 1,085 shares Direct common shares following transaction: 566,807 shares Fund-held common shares: 14,218,240 shares

3 metrics

Common shares awarded 1,085 shares October 5, 2026; receipt deferred under the 2021 Incentive Award Plan

Direct common shares following transaction 566,807 shares Brian R. Smith's reported position after the award

Fund-held common shares 14,218,240 shares Held directly by S3 Ventures Fund III, L.P.

Key Terms

2021 Incentive Award Plan, beneficial ownership, pecuniary interest, general partner

4 terms

2021 Incentive Award Plan technical

"defer receipt of these shares under the terms of the 2021 Incentive Award Plan"

beneficial ownership regulatory

"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

"except to the extent of its or his pecuniary interest therein"

general partner financial

"S3 Ventures GPLP III, L.P. is the general partner of S3 Fund III"

A general partner is the person or firm that runs an investment partnership and legally represents it — they make the day-to-day decisions, choose which assets to buy or sell, and are responsible for the partnership’s obligations. Investors care because the general partner’s judgment, risk-taking and fee and profit-sharing arrangements determine both the potential returns and the level of exposure to losses; think of the GP as the ship’s captain whose skill and honesty shape the voyage’s outcome.

FAQ

AI-generated questions and answers. How Rhea-AI works. Not financial advice.

How many ALKT shares were awarded to Brian R. Smith?

The reported award was for 1,085 ALKT common shares on October 5, 2026; Brian R. Smith elected to defer receipt under the 2021 Incentive Award Plan. His direct holdings following the transaction were 566,807 shares.

How many ALKT shares does S3 Ventures Fund III hold?

S3 Ventures Fund III, L.P. held 14,218,240 shares directly. S3 Ventures GPLP III, L.P. is the fund's general partner, S3 Ventures III, L.L.C. is the general partner of GPLP III, and Brian R. Smith is managing director of S3 III LLC. The entities and Smith may be deemed beneficial owners; each disclaims beneficial ownership except to the extent of its or his pecuniary interest.

AI-generated analysis. How Rhea-AI works. Not financial advice.

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Available on EDGAR 10/07/2026 - 05:19 PM Accepted by SEC EDGAR 10/07/2026 - 05:19 PM Learn about SEC filing dates

SEC Form 4

FORM 4

UNITED 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)

X	Director	X	10% Owner
	Officer (give title below)		Other (specify below)

2a. Foreign Trading Symbol

3. Date of Earliest Transaction (Month/Day/Year)
10/05/2026

6. Individual or Joint/Group Filing (Check Applicable Line)

	Form filed by One Reporting Person
X	Form 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)
			Code	V	Amount	(A) or (D)	Price
Common Stock	10/05/2026		A		1,085(1)	A	$0	566,807	D(2)
Common Stock								14,218,240	I	See 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)
				Code	V	(A)	(D)	Date Exercisable	Expiration Date	Title	Amount 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

X	Director	X	10% 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

X	Director	X	10% 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

X	Director	X	10% 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

X	Director	X	10% 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 Smith	10/07/2026
	/s/ Brian R. Smith for S3 Ventures III, L.L.C.	10/07/2026
	/s/ Brian R. Smith for S3 Ventures Fund III, L.P.	10/07/2026
	/s/ Brian R. Smith for S3 Ventures GPLP III, L.P.	10/07/2026
	** Signature of Reporting Person	Date
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)