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Cardlytics, Inc. — Director's Dealing 2018
Feb 9, 2018
33956_dirs_2018-02-08_425bcbb2-9f78-4746-a9fe-637a43a2b2a0.zip
Director's Dealing
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SEC Form 3 — Initial Statement of Beneficial Ownership
Issuer: Cardlytics, Inc. (CDLX)
CIK: 0001666071
Period of Report: 2018-02-08
Reporting Person: JOHNSON MARK A (Director)
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock | 105505 | Indirect |
Holdings (Derivative)
| Security | Exercise Price | Expiration | Underlying | Shares | Ownership |
|---|---|---|---|---|---|
| Series B-R Redeemable Convertible Preferred Stock | $ | Common Stock (127294) | Indirect | ||
| Series C-R Redeemable Convertible Preferred Stock | $ | Common Stock (31218) | Indirect | ||
| Series D-R Redeemable Convertible Preferred Stock | $ | Common Stock (12291) | Indirect | ||
| Series G Redeemable Convertible Preferred Stock | $ | Common Stock (29005) | Indirect | ||
| Series G Redeemable Convertible Preferred Stock | $ | Common Stock (5801) | Direct | ||
| Series G? Redeemable Convertible Preferred Stock | $ | Common Stock (15045) | Indirect |
Footnotes
F1: The reportable securities are owned directly by TTP Fund II L.P. ("TTP Fund") The Reporting Person is a member of the general partner of TTP Fund and a partner of TTV Capital, which provides management services to the general partner. The Reporting Person disclaims beneficial ownership of these securities and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 or for any other purpose, except to the extent of the Reporting Person's pecuniary interest therein.
F2: Each share of Series B-R Redeemable Convertible Preferred Stock, Series C-R Redeemable Convertible Preferred Stock, Series D-R Redeemable Convertible Preferred Stock, Series G Redeemable Convertible Preferred Stock and Series G' Redeemable Convertible Preferred Stock is convertible into the Issuer's Common Stock on a one-for-one basis, has no expiration date and will convert upon the closing of the Issuer's initial public offering.
F3: The reportable securities are owned directly by TTV Ivy Holdings, LLC ("TTV Ivy"). The Reporting Person is a member of the general partner of TTV Ivy and a partner of TTV Capital, which provides management services to the general partner. The Reporting Person disclaims beneficial ownership of these securities and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 or for any other purpose, except to the extent of the Reporting Person's pecuniary interest therein.