SEC Form 4 · accession 0001209191-18-010381
Cardlytics, Inc. · CDLX
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
David Thomas Evans
Officer — Chief Financial Officer
Period of report
Feb 13, 2018
Accepted (ET)
Feb 15, 2018 · 4:18 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 | Feb 13, 2018 | C | 3,859 | — | A | 3,859 | D | |
| Common Stock | Feb 13, 2018 | P | 1,500 | $13.00 | A | 5,359 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted Stock UnitF3,F4 | — | Feb 13, 2018 | M | 621 | D | — | — | Series G' Redeemable Convertible Preferred Stock | 621 | 0 | D |
| Series G' Redeemable Convertible Preferred StockF1 | — | Feb 13, 2018 | M | 621 | A | — | — | Common Stock | 621 | 621 | D |
| Restricted Stock UnitF3,F4 | — | Feb 13, 2018 | M | 2,045 | D | — | — | Series G' Redeemable Convertible Preferred Stock | 2,045 | 0 | D |
| Series G' Redeemable Convertible Preferred StockF1 | — | Feb 13, 2018 | M | 2,045 | A | — | — | Common Stock | 2,045 | 2,666 | D |
| Restricted Stock UnitF3,F4 | — | Feb 13, 2018 | M | 1,193 | D | — | — | Series G' Redeemable Convertible Preferred Stock | 1,193 | 0 | D |
| Series G' Redeemable Convertible Preferred StockF1 | — | Feb 13, 2018 | M | 1,193 | A | — | — | Common Stock | 1,193 | 3,859 | D |
| Series G' Redeemable Convertible Preferred StockF1 | — | Feb 13, 2018 | C | 3,859 | D | — | — | Common Stock | 3,859 | 0 | D |
Explanation of responses
- F1Each share of 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.
- F2Represents shares purchased through the Issuer's directed share program in connection with its initial public offering.
- F3Each restricted stock unit ("RSU") represents a contingent right to receive one share of the Issuer's Series G' Redeemable Convertible Preferred Stock.
- F4The RSUs vested upon the completion of the Issuer's initial public offering.