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  4. [Form 4] ALKAMI TECHNOLOGY, INC. Insider Trading Activity

Alkami director defers 1,180 common shares

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

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Form Type
4

Rhea-AI Filing Summary

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

ALKAMI TECHNOLOGY, INC. director and 10% owner Brian R. Smith received a grant of 1,180 shares of Common Stock at $0.00 per share as a compensation award. He elected to defer receipt of these shares under the 2021 Incentive Award Plan. Following the grant, he holds 565,722 shares directly and 14,218,240 shares indirectly through S3 Ventures Fund III, L.P., with associated entities and Smith disclaiming beneficial ownership beyond their pecuniary interests.

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 1,180 $0.00 $0.00
Holding Common Stock -- -- --
Holdings After Transaction: Common Stock — 565,722 shares (Direct); Common Stock — 14,218,240 shares (Indirect, See footnote)
Holdings Before and After: Common Stock, 564,542 to 565,722 shares (Direct)
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.
Stock grant size 1,180 shares Common Stock award on 2026-07-05, code A
Grant price $0.00 per share Compensation-related equity award
Direct holdings after grant 565,722 shares Common Stock held directly by Brian R. Smith
Indirect S3 holdings 14,218,240 shares Common Stock held via S3 Ventures Fund III, L.P.
Transactions acquiring shares 1 transaction Form 4 summary acquireCount
2021 Incentive Award Plan financial
"elected to defer receipt of these shares under the terms of the 2021 Incentive Award Plan"
beneficial ownership financial
"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
"each disclaims beneficial ownership of all such shares except to the extent of its or his pecuniary interest therein"
indirect ownership financial
"total_shares_following_transaction 14,218,240.0000 with ownership_type indirect"

FAQ

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

What insider transaction did ALKT director Brian R. Smith report on this Form 4?
Brian R. Smith reported receiving a grant of 1,180 shares of ALKAMI TECHNOLOGY, INC. Common Stock at $0.00 per share. The filing describes this as a compensation-related award rather than an open-market purchase or sale, and it was made under the company’s 2021 Incentive Award Plan.

How many ALKT shares does Brian R. Smith hold directly after this Form 4 grant?
After the reported grant, Brian R. Smith holds 565,722 shares of ALKAMI TECHNOLOGY, INC. Common Stock directly. This figure reflects his personal holdings following the 1,180-share award and helps investors understand the scale of this transaction relative to his overall direct ownership.

What is the size and price of the ALKT stock award granted to Brian R. Smith?
The award to Brian R. Smith covers 1,180 shares of ALKAMI TECHNOLOGY, INC. Common Stock at a stated price of $0.00 per share. This indicates a share grant or award, consistent with equity compensation, rather than a cash-funded market purchase of the company’s stock.

Did Brian R. Smith defer receipt of the ALKT shares granted in this Form 4?
Yes. The footnotes state that Brian R. Smith elected to defer receipt of the 1,180 granted shares under the 2021 Incentive Award Plan. Deferral means he does not immediately receive the shares, aligning with plan terms that allow delayed delivery as part of compensation arrangements.

How many ALKT shares are reported as indirectly held through S3 Ventures entities?
The Form 4 shows 14,218,240 ALKAMI TECHNOLOGY, INC. Common Stock shares held indirectly through S3 Ventures Fund III, L.P. Related entities and Brian R. Smith may be deemed to share beneficial ownership, although each disclaims ownership beyond their respective pecuniary interests in those shares.

How does the Form 4 describe beneficial ownership of ALKT shares held by S3 Ventures Fund III?
Shares are held by S3 Ventures Fund III, L.P., whose general partners include S3 Ventures GPLP III, L.P. and S3 Ventures III, L.L.C., with Brian R. Smith as Managing Director. These parties may be deemed beneficial owners but each disclaims beneficial ownership except to the extent of pecuniary interest.

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

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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)
07/05/2026		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 Stock07/05/2026A1,180(1)A$0565,722D(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 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)
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)
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 Smith07/07/2026
/s/ Brian R. Smith for S3 Ventures III, L.L.C.07/07/2026
/s/ Brian R. Smith for S3 Ventures Fund III, L.P.07/07/2026
/s/ Brian R. Smith for S3 Ventures GPLP III, L.P.07/07/2026
** 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

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