Filing Details
- Accession Number:
- 0001209191-18-010391
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2018-02-15 16:22:48
- Reporting Period:
- 2018-02-13
- Accepted Time:
- 2018-02-15 16:22:48
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1666071 | Cardlytics Inc. | CDLX | () | 4 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1617486 | D. Scott Grimes | C/O Cardlytics, Inc. 675 Ponce De Leon Avenue Ne, Suite 6000 Atlanta GA 30308 | Chief Executive Officer | Yes | Yes | No | No |
Reported Non-Derivative Transactions
| Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|---|---|---|---|---|---|
| Common Stock | Acquisiton | 2018-02-13 | 30,622 | $0.00 | 573,432 | No | 4 | C | Direct | |
| Common Stock | Acquisiton | 2018-02-13 | 1,800 | $13.00 | 575,232 | No | 4 | P | Direct | |
| Common Stock | Acquisiton | 2018-02-13 | 800 | $13.00 | 800 | No | 4 | P | Indirect | By immediate family member |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | C | Direct | |
| No | 4 | P | Direct | |
| No | 4 | P | Indirect | By immediate family member |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Series G' Redeemable Convertible Preferred Stock | Restricted Stock Unit | Disposition | 2018-02-13 | 1,183 | $0.00 | 1,183 | $0.00 |
| Common Stock | Series G' Redeemable Convertible Preferred Stock | Acquisiton | 2018-02-13 | 1,183 | $0.00 | 1,183 | $0.00 |
| Series G' Redeemable Convertible Preferred Stock | Restricted Stock Unit | Disposition | 2018-02-13 | 2,191 | $0.00 | 2,191 | $0.00 |
| Common Stock | Series G' Redeemable Convertible Preferred Stock | Acquisiton | 2018-02-13 | 2,191 | $0.00 | 2,191 | $0.00 |
| Series G' Redeemable Convertible Preferred Stock | Restricted Stock Unit | Disposition | 2018-02-13 | 1,279 | $0.00 | 1,279 | $0.00 |
| Common Stock | Series G' Redeemable Convertible Preferred Stock | Acquisiton | 2018-02-13 | 1,279 | $0.00 | 1,279 | $0.00 |
| Common Stock | Series G' Redeemable Convertible Preferred Stock | Disposition | 2018-02-13 | 30,622 | $0.00 | 30,622 | $0.00 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 0 | No | 4 | M | Direct | ||
| 27,152 | No | 4 | M | Direct | ||
| 0 | No | 4 | M | Direct | ||
| 29,343 | No | 4 | M | Direct | ||
| 0 | No | 4 | M | Direct | ||
| 30,622 | No | 4 | M | Direct | ||
| 0 | No | 4 | C | Direct |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Common Stock | 194,112 | Indirect | See Footnote |
Footnotes
- Each 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.
- Represents shares purchased through the Issuer's directed share program in connection with its initial public offering.
- The reportable securities are held by the 2013 Scott Grimes GRAT UAD (the "GRAT"). The Reporting Person is the trustee of the GRAT.
- Each restricted stock unit ("RSU") represents a contingent right to receive one share of the Issuer's Series G' Redeemable Convertible Preferred Stock.
- The RSUs vested upon the completion of the Issuer's initial public offering.
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