Filing Details
- Accession Number:
- 0001666071-20-000242
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2020-08-13 19:15:22
- Reporting Period:
- 2020-08-11
- Accepted Time:
- 2020-08-13 19:15:22
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1666071 | Cardlytics Inc. | CDLX | Services-Computer Programming, Data Processing, Etc. (7370) | 263039436 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1730451 | Thomas David Evans | C/O Cardlytics, Inc. 675 Ponce De Leon Avenue Ne, Suite 6000 Atlanta GA 30308 | Chief Administrative Officer | No | 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 | 2020-08-11 | 208 | $0.00 | 12,987 | No | 4 | M | Direct | |
| Common Stock | Acquisiton | 2020-08-11 | 741 | $20.00 | 13,728 | No | 4 | M | Direct | |
| Common Stock | Acquisiton | 2020-08-11 | 700 | $30.44 | 14,428 | No | 4 | M | Direct | |
| Common Stock | Acquisiton | 2020-08-11 | 700 | $20.00 | 15,128 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2020-08-11 | 13,019 | $75.55 | 2,109 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2020-08-11 | 401 | $76.05 | 1,708 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2020-08-12 | 5,509 | $20.00 | 7,217 | No | 4 | M | Direct | |
| Common Stock | Acquisiton | 2020-08-12 | 4,769 | $30.44 | 11,986 | No | 4 | M | Direct | |
| Common Stock | Acquisiton | 2020-08-12 | 4,769 | $20.00 | 16,755 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2020-08-12 | 15,047 | $77.14 | 1,708 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2020-08-13 | 86 | $79.62 | 1,622 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | Direct | |
| No | 4 | M | Direct | |
| No | 4 | M | Direct | |
| No | 4 | M | Direct | |
| No | 4 | S | Direct | |
| No | 4 | S | Direct | |
| No | 4 | M | Direct | |
| No | 4 | M | Direct | |
| No | 4 | M | Direct | |
| No | 4 | S | Direct | |
| No | 4 | S | Direct |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Restricted Stock Units | Acquisiton | 2020-08-11 | 208 | $0.00 | 208 | $0.00 |
| Common Stock | Restricted Stock Units | Disposition | 2020-08-11 | 208 | $0.00 | 208 | $0.00 |
| Common Stock | Employee Stock Option (Right to Buy) | Disposition | 2020-08-11 | 741 | $0.00 | 741 | $20.00 |
| Common Stock | Employee Stock Option (Right to Buy) | Disposition | 2020-08-11 | 700 | $0.00 | 700 | $30.44 |
| Common Stock | Employee Stock Option (Right to Buy) | Disposition | 2020-08-11 | 700 | $0.00 | 700 | $20.00 |
| Common Stock | Employee Stock Option (Right to Buy) | Disposition | 2020-08-12 | 5,509 | $0.00 | 5,509 | $20.00 |
| Common Stock | Employee Stock Option (Right to Buy) | Disposition | 2020-08-12 | 4,769 | $0.00 | 4,769 | $30.44 |
| Common Stock | Employee Stock Option (Right to Buy) | Disposition | 2020-08-12 | 4,769 | $0.00 | 4,769 | $20.00 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 208 | No | 4 | A | Direct | ||
| 0 | No | 4 | M | Direct | ||
| 5,509 | 2026-08-02 | No | 4 | M | Direct | |
| 11,019 | 2027-07-07 | No | 4 | M | Direct | |
| 7,894 | 2026-12-06 | No | 4 | M | Direct | |
| 0 | 2026-08-02 | No | 4 | M | Direct | |
| 6,250 | 2027-07-07 | No | 4 | M | Direct | |
| 3,125 | 2026-12-06 | No | 4 | M | Direct |
Footnotes
- Each restricted stock unit ("RSU") represents a contingent right to receive one share of common stock of the Issuer, or at the election of the Issuer, its cash equivalent.
- The price reported is a weighted average sales price. These shares were sold in multiple transactions at prices ranging from $75.00 to $75.98, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnotes (1), (2) and (3) to this Form 4.
- The price reported is a weighted average sales price. These shares were sold in multiple transactions at prices ranging from $76.01 to $76.09, inclusive.
- The price reported is a weighted average sales price. These shares were sold in multiple transactions at prices ranging from $76.64 to $77.58, inclusive.
- Shares sold to satisfy withholding tax obligations upon the delivery of shares of common stock for RSUs granted on August 11, 2020.
- Fully vested.
- This option becomes exercisable with respect to one quarter (1/4) of the shares of stock subject to this option on April 1, 2018 (the "Initial Vesting Date"). The option becomes exercisable in respect of the remaining shares in thirty-six (36) equal monthly installments commencing one (1) month after the Initial Vesting Date, provided the Reporting Person continuously provides service to the Issuer through each vesting period.
- This option became exercisable with respect to one quarter (1/4) of the shares of stock subject to this option on December 6, 2017 (the "Initial Vesting Date"). The options becomes exercisable in respect of the remaining shares in thirty-six (36) equal monthly installments commencing one (1) month after the Initial Vesting Date, provided the Reporting Person continuously provides service to the Issuer through each vesting period.
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