SEC Form 4 · accession 0001209191-18-010372
Cardlytics, Inc. · CDLX
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owners
Aeroplan Holdings Europe Sarl
10% Owner
Aimia Holdings UK Ltd
10% Owner
Aimia Inc.
10% Owner
Period of report
Feb 13, 2018
Accepted (ET)
Feb 15, 2018 · 4:16 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001666071
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1,F2 | Feb 13, 2018 | C | 212,008 | — | A | 212,008 | I | See Footnote |
| Common StockF1,F2 | Feb 13, 2018 | C | 972,927 | — | A | 1,184,935 | I | See Footnote |
| Common StockF1,F2 | Feb 13, 2018 | C | 609,523 | — | A | 1,794,458 | I | See Footnote |
| Common StockF1,F2 | Feb 13, 2018 | C | 159,207 | — | A | 1,953,665 | I | See Footnote |
| Common StockF1,F3 | Feb 13, 2018 | C | 223,020 | — | A | 1,024,349 | I | See Footnote |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Series C-R Redeemable Convertible Preferred StoF2,F1 | — | Feb 13, 2018 | C | 212,008 | D | — | — | Common Stock | 212,008 | 0 | I |
| Series D-R Redeemable Convertible Preferred StoF2,F1 | — | Feb 13, 2018 | C | 972,927 | D | — | — | Common Stock | 972,927 | 0 | I |
| Series E-R Redeemable Convertible Preferred StoF2,F1 | — | Feb 13, 2018 | C | 609,523 | D | — | — | Common Stock | 609,523 | 0 | I |
| Series G' Redeemable Convertible Preferred StockF2,F1 | — | Feb 13, 2018 | C | 159,207 | D | — | — | Common Stock | 159,207 | 0 | I |
| Series G' Redeemable Convertible Preferred StockF3,F1 | — | Feb 13, 2018 | C | 223,020 | D | — | — | Common Stock | 223,020 | 0 | I |
Explanation of responses
- F1Each share of Series C-R Redeemable Convertible Preferred Stock, Series D-R Redeemable Convertible Preferred Stock, Series E-R Redeemable Convertible Preferred Stock, Series G Redeemable Convertible Preferred Stock and Series G' Redeemable Convertible Preferred Stock converted into the Issuer's Common Stock on a one-for-one basis upon the Issuer's initial public offering and has no expiration date.
- F2The reportable securities are owned directly by Aeroplan Holdings Europe Sarl, which is an affiliate of Aimia Inc.
- F3The reportable securities are owned directly by Aimia Holdings UK Limited, which is an affiliate of Aimia Inc.