Item 5. Other Information
Item 5. Other Information
In Item 9B of Part II of our Annual Report on Form 10-K for the year ended December 31, 2025, we inadvertently omitted the disclosure of a new Rule 10b5-1 trading arrangement (the “Plan”) entered into by Brian R. Smith. To date, no transactions have occurred under the Plan. The terms of the Plan are described below.
On November 21, 2025, Brian Smith, our director, adopted a Rule 10b5-1 trading arrangement that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c) under the Exchange Act. Subject to certain conditions, the Plan provides for the sale of up to 3,276,000 shares of our common stock through March 1, 2027, for a duration of 465 days.
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Item 6. Exhibits
EXHIBIT INDEX
Incorporated by Reference
Exhibit Description Form File No. Exhibit Filing Date
10.1 Fourth Amendment to Amended and Restated Credit Agreement, among Alkami Technology, Inc. as the Borrower, the several Lenders from time to time party thereto and Silicon Valley Bank, a division of First-Citizens Bank & Trust Company, as Administrative Agent, Issuing Lender and Swingline Lender, dated as of April 3, 2026
10.2 Fifth Amendment to Amended and Restated Credit Agreement, among Alkami Technology, Inc. as the Borrower, the several Lenders from time to time party thereto and Silicon Valley Bank, a division of First-Citizens Bank & Trust Company, as Administrative Agent, Issuing Lender and Swingline Lender, dated as of May 1, 2026
8-K 001-40321 10.1 5/6/2026
31.1 Certification of Principal Executive Officer Pursuant to Rule 13a-14(a) under the Securities Exchange Act of 1934
31.2 Certification of Principal Financial Officer Pursuant to Rule 13a-14(a) under the Securities Exchange Act of 1934
32.1* Certification of Principal Executive Officer Pursuant to 18 U.S.C. Section 1350
32.2* Certification of Principal Financial Officer Pursuant to 18 U.S.C. Section 1350
101.INS Inline XBRL Instance Document - the instance document does not appear in the Interactive Data File because its XBRL tags are embedded within the Inline XBRL document
101.SCH Inline XBRL Taxonomy Extension Schema Document
101.CAL Inline XBRL Taxonomy Extension Calculation Linkbase Document
101.DEF Inline XBRL Taxonomy Extension Definition Linkbase Document
101.LAB Inline XBRL Taxonomy Extension Label Linkbase Document
101.PRE Inline XBRL Taxonomy Extension Presentation Linkbase Document
104 Cover Page Interactive Data File (formatted as Inline XBRL and contained in Exhibit 101)
* The certifications attached as Exhibit 32.1 and Exhibit 32.2 that accompany this Quarterly Report on Form 10-Q are deemed furnished and not filed with the SEC and are not to be incorporated by reference into any filing of the Company under the Securities Act of 1933, as amended, or the Exchange Act, whether made before or after the date of this Quarterly Report on Form 10-Q, irrespective of any general incorporation language contained in such filing.
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SIGNATURES
Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned thereunto duly authorized.
Alkami Technology, Inc.
Date: July 30, 2026 By: /s/ Alex Shootman
Alex Shootman
Chief Executive Officer
(Principal Executive Officer)
Date: July 30, 2026 By: /s/ Cassandra Hudson
Cassandra Hudson
Chief Financial Officer
(Principal Financial Officer)
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Text extracted from the filing as submitted to EDGAR. Formatting, tables and exhibits are simplified for reading; the original document is authoritative for anything you rely on.