Sec Form 3 Filing - SMITH BRIAN R @ ALKAMI TECHNOLOGY, INC. - 2021-04-13

FORM 3 Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).

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, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940

OMB APPROVAL OMB Number: 3235-0287 Expires: November 30, 2011 Estimated average burden hours per response... 0.5

1. Name and Address of Reporting Person SMITH BRIAN R 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) (Last) (First) (Middle) C/O S3 VENTURES, 6300 BRIDGE POINT PKWY, BUILDING 1, SUITE 405 3. Date of Earliest Transaction (MM/DD/YY) 04/13/2021 (Street) AUSTIN, TX78730 4. If Amendment, Date Original Filed (MM/DD/YY) 6. Individual or Joint/Group Filing (Check Applicable Line) _____ Form filed by One Reporting Person __ X __ Form filed by More than One Reporting Person (City) (State) (Zip)

Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned 1.Title of Security (Instr. 3) 2. Transaction Date (MM/DD/YY) 2A. Deemed Execution Date, if any (MM/DD/YY) 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

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 (MM/DD/YY) 3A. Deemed Execution Date, if any (MM/DD/YY) 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 (MM/DD/YY) 7. Title and Amount of Underlying Securities (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 of Derivative Security: 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 Series A Preferred Stock ( 1 ) ( 1 ) ( 1 ) Common Stock 6,844,621 I See footnote ( 2 ) Series A Preferred Stock ( 1 ) ( 1 ) ( 1 ) Common Stock 285,907 D ( 3 ) Series B Preferred Stock ( 4 ) ( 4 ) ( 4 ) Common Stock 2,038,544 I See footnote ( 2 ) Series B Preferred Stock ( 4 ) ( 4 ) ( 4 ) Common Stock 156,250 D ( 3 ) Series C Preferred Stock ( 5 ) ( 5 ) ( 5 ) Common Stock 8,148,463 I See footnote ( 2 ) Series C Preferred Stock ( 5 ) ( 5 ) ( 5 ) Common Stock 242,421 D ( 3 ) Series E Preferred Stock ( 6 ) ( 6 ) ( 6 ) Common Stock 1,501,196 I See footnote ( 2 ) Series E Preferred Stock ( 6 ) ( 6 ) ( 6 ) Common Stock 137,215 D ( 3 )

Reporting Owners Reporting Owner Name / Address Relationships Director 10% Owner Officer Other SMITH BRIAN R C/O S3 VENTURES, 6300 BRIDGE POINT PKWY BUILDING 1, SUITE 405 AUSTIN, TX78730 X X S3 Ventures Fund III, L.P. 6300 BRIDGE POINT PARKWAY BLDG. 1, SUITE 405 AUSTIN, TX78730 X X S3 VENTURES GPLP III, L.P. 6300 BRIDGE POINT PARKWAY BLDG. 1, SUITE 405 AUSTIN, TX78730 X X S3 VENTURES III, L.L.C. 6300 BRIDGE POINT PARKWAY BLDG. 1, SUITE 405 AUSTIN, TX78730 X X Signatures /s/ Brian R. Smith 04/13/2021 Signature of Reporting Person Date /s/ Brian R. Smith for S3 Ventures Fund III, L.P. 04/13/2021 Signature of Reporting Person Date /s/ Brian R. Smith for S3 Ventures GPLP III, L.P. 04/13/2021 Signature of Reporting Person Date /s/ Brian R. Smith for S3 Ventures III, L.L.C. 04/13/2021 Signature of Reporting Person Date

Explanation of Responses:

( 1 )Each share of Series A Preferred Stock will automatically convert on a 1-for-1 basis into Common Stock immediately prior to the closing of the Issuer's initial public offering. ( 2 )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. ( 3 )Shares held directly by Brian R. Smith. ( 4 )Each share of Series B Preferred Stock will automatically convert on a 1-for-1 basis into Common Stock immediately prior to the closing of the Issuer's initial public offering. ( 5 )Each share of Series C Preferred Stock will automatically convert on a 1-for-1 basis into Common Stock immediately prior to the closing of the Issuer's initial public offering. ( 6 )Each share of Series E Preferred Stock will automatically convert on a 1-for-1 basis into Common Stock immediately prior to the closing of the Issuer's initial public offering.

Remarks: Exhibit Index: Exhibit 24.1 - Power of Attorney

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

* If the form is filed by mo re 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.