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Cardlytics, Inc. — Director's Dealing 2018
Feb 15, 2018
33956_dirs_2018-02-15_82d1aed7-f162-4690-a171-62fe9ce9bec7.zip
Director's Dealing
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SEC Form 4 — Statement of Changes in Beneficial Ownership
Issuer: Cardlytics, Inc. (CDLX)
CIK: 0001666071
Period of Report: 2018-02-13
Reporting Person: Laube Lynne Marie (Director, Chief Operating Officer)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2018-02-13 | Common Stock | C | 18325 | — | Acquired | 421464 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2018-02-13 | Restricted Stock Unit | $ | M | 1104 | Disposed | Series G' Redeemable Convertible Preferred Stock (1104) | Direct | |
| 2018-02-13 | Series G' Redeemable Convertible Preferred Stock | $ | M | 1104 | Acquired | Common Stock (1104) | Direct | |
| 2018-02-13 | Restricted Stock Unit | $ | M | 2045 | Disposed | Series G' Redeemable Convertible Preferred Stock (2045) | Direct | |
| 2018-02-13 | Series G' Redeemable Convertible Preferred Stock | $ | M | 2045 | Acquired | Common Stock (2045) | Direct | |
| 2018-02-13 | Restricted Stock Unit | $ | M | 1193 | Disposed | Series G' Redeemable Convertible Preferred Stock (1193) | Direct | |
| 2018-02-13 | Series G' Redeemable Convertible Preferred Stock | $ | M | 1193 | Acquired | Common Stock (1193) | Direct | |
| 2018-02-13 | Series G' Redeemable Convertible Preferred Stock | $ | C | 18325 | Disposed | Common Stock (18325) | Direct |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock | 43675 | Indirect |
| Common Stock | 43675 | Indirect |
Footnotes
F1: 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.
F2: The reportable securities are held by the 2013 Lynne Marie Laube GRAT fbo Hayley Marie Allbright (the "HMA GRAT"). The Reporting Person is the trustee of the HMA GRAT.
F3: The reportable securities are held by the 2013 Lynne Marie Laube GRAT fbo Keegan George Allbright (the "KGA GRAT"). The Reporting Person is the trustee of the KGA GRAT.
F4: Each restricted stock unit ("RSU") represents a contingent right to receive one share of the Issuer's Series G' Redeemable Convertible Preferred Stock.
F5: The RSUs vested upon the completion of the Issuer's initial public offering.