Filing Details
- Accession Number:
- 0001666071-23-000139
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2023-10-03 18:27:48
- Reporting Period:
- 2023-10-01
- Accepted Time:
- 2023-10-03 18:27:48
- 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 |
|---|---|---|---|---|---|---|---|
| 1941467 | Hollmeyer Nicholas Lynton | C/O Cardlytics, Inc. 675 Ponce De Leon Avenue Ne, Suite 6000 Atlanta GA 30308 | Chief Legal & Privacy 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 | 2023-10-01 | 25,000 | $0.00 | 54,486 | No | 4 | M | Direct | |
| Common Stock | Acquisiton | 2023-10-01 | 415 | $0.00 | 54,901 | No | 4 | M | Direct | |
| Common Stock | Acquisiton | 2023-10-01 | 582 | $0.00 | 55,483 | No | 4 | M | Direct | |
| Common Stock | Acquisiton | 2023-10-01 | 1,578 | $0.00 | 57,061 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2023-10-02 | 6,900 | $13.55 | 50,161 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2023-10-02 | 3,703 | $14.92 | 46,458 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2023-10-02 | 2,101 | $15.70 | 44,357 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2023-10-02 | 47 | $16.35 | 44,310 | 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 | 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 Unit | Disposition | 2023-10-01 | 25,000 | $0.00 | 25,000 | $0.00 |
| Common Stock | Restricted Stock Unit | Disposition | 2023-10-01 | 415 | $0.00 | 415 | $0.00 |
| Common Stock | Restricted Stock Unit | Disposition | 2023-10-01 | 582 | $0.00 | 582 | $0.00 |
| Common Stock | Restricted Stock Unit | Disposition | 2023-10-01 | 1,578 | $0.00 | 1,578 | $0.00 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 50,000 | No | 4 | M | Direct | ||
| 0 | No | 4 | M | Direct | ||
| 5,812 | No | 4 | M | Direct | ||
| 17,358 | No | 4 | M | Direct |
Footnotes
- Each restricted stock unit ("RSU") represents a contingent right to receive one share of common stock of the Issuer.
- Shares sold to satisfy withholding tax obligations upon the delivery of shares of common stock for RSUs that vested on October 1, 2023.
- The price reported is a weighted average sales price. These shares were sold in multiple transactions at prices ranging from $13.21 to $14.20, 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 (3), (4) and (5) to this Form 4.
- The price reported is a weighted average sales price. These shares were sold in multiple transactions at prices ranging from $14.27 to $15.265, inclusive.
- The price reported is a weighted average sales price. These shares were sold in multiple transactions at prices ranging from $15.275 to $16.23, inclusive.
- This RSU award was originally for 100,000 shares. 25% of the RSUs award vested on each of July 1, 2023 and October 1, 2023. An additional 25% of the RSU award shall vest on each of January 1, 2024 and April 1, 2024, subject to the Reporting Person's continuous service with the Issuer through each applicable vesting date.
- This RSU award was originally for 830 shares. Fifty percent (50%) of the shares under this award vested on October 1, 2022, and fifty percent (50%) of this award vested on October 1, 2023.
- This RSU award was originally for 9,299 shares. Twenty-five percent (25%) of the shares under this award vested on April 1, 2023, with the remaining 75% vesting quarterly over the subsequent three years in equal amounts thereafter provided the Reporting Person continuously provides service to the Issuer through the vesting date.
- This RSU award was originally for 38,222 shares. Twenty-five percent (25%) of the shares under this award vested on July 1, 2023, with the remaining 75% vesting quarterly over the subsequent three years in equal amounts thereafter provided the Reporting Person continuously provides service to the Issuer through the vesting date.
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