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
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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
1. Name and Address of Reporting Person*
ARG Private Equity II, LLC

(Last) (First) (Middle)
6733 S. YALE AVE.

(Street)
TULSA OK 74136

(City) (State) (Zip)
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)
3. Date of Earliest Transaction (Month/Day/Year)
04/16/2021
4. If Amendment, Date of Original Filed (Month/Day/Year)
6. Individual or Joint/Group Filing (Check Applicable Line)
Form filed by One Reporting Person
X Form filed by More than One Reporting Person
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 04/16/2021 C 81,126(1) A (1) 81,126 I See footnote(2)
Common Stock 04/16/2021 C 1,875,000(3) A (3) 1,956,126 I See footnote(2)
Common Stock 04/16/2021 C 9,131,172(4) A (4) 11,087,298 I See footnote(2)
Common Stock 04/16/2021 C 1,520,763(5) A (5) 12,608,061 I See footnote(2)
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
Series A Preferred Stock (1) 04/16/2021 C 81,126 (1) (1) Common Stock 81,126 (1) 0 I See footnote(2)
Series B Preferred Stock (3) 04/16/2021 C 1,875,000 (3) (3) Common Stock 1,875,000 (3) 0 I See footnote(2)
Series C Preferred Stock (4) 04/16/2021 C 9,131,172 (4) (4) Common Stock 9,131,172 (4) 0 I See footnote(2)
Series E Preferred Stock (5) 04/16/2021 C 1,520,763 (5) (5) Common Stock 1,520,763 (5) 0 I See footnote(2)
1. Name and Address of Reporting Person*
ARG Private Equity II, LLC

(Last) (First) (Middle)
6733 S. YALE AVE.

(Street)
TULSA OK 74136

(City) (State) (Zip)
1. Name and Address of Reporting Person*
KAISER GEORGE B

(Last) (First) (Middle)
C/O FREDERIC DORWART, LAWYERS
124 EAST FOURTH STREET

(Street)
TULSA OK 74103

(City) (State) (Zip)
Explanation of Responses:
1. Each share of Series A Preferred Stock was automatically converted on a 1-for-1 basis into Common Stock immediately prior to the closing of the Issuer's initial public offering.
2. Shares held by ARG Private Equity II, LLC ("APE II") fka Argonaut Private Equity II, LLC. APE II is indirectly controlled by George B. Kaiser ("Kaiser") and may be deemed to have beneficial ownership of the shares held by APE II. Kaiser disclaims beneficial ownership of all such shares except to the extent of his pecuniary interest therein.
3. Each share of Series B Preferred Stock was automatically converted on a 1-for-1 basis into Common Stock immediately prior to the closing of the Issuer's initial public offering.
4. Each share of Series C Preferred Stock was automatically converted 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 E Preferred Stock was automatically converted on a 1-for-1 basis into Common Stock immediately prior to the closing of the Issuer's initial public offering.
Remarks:
Steve Mitchell serves as an adviser to APE II and serves on the board of directors of the Issuer.
/s/ Frederic Dorwart, Manager of ARG Private Equity II, LLC 04/19/2021
/s/ Frederic Dorwart, as Attorney-in-Fact for George B. Kaiser 04/19/2021
** 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).
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