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Cardlytics, Inc. — Director's Dealing 2018
Feb 9, 2018
33956_dirs_2018-02-08_c5367c00-d2b0-46e6-bcf5-544922f2263d.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: Evans David Thomas (Chief Financial Officer)
Holdings (Derivative)
| Security | Exercise Price | Expiration | Underlying | Shares | Ownership |
|---|---|---|---|---|---|
| Restricted Stock Unit | $ | Series G? Redeemable Convertible Preferred Stock (621) | Direct | ||
| Restricted Stock Unit | $ | Series G? Redeemable Convertible Preferred Stock (2045) | Direct | ||
| Restricted Stock Unit | $ | Series G? Redeemable Convertible Preferred Stock (1193) | Direct | ||
| Employee Stock Option (Right to Buy) | $9.08 | 2024-08-08 | Common Stock (32500) | Direct | |
| Employee Stock Option (Right to Buy) | $20.00 | 2026-08-02 | Common Stock (60007) | Direct | |
| Employee Stock Option (Right to Buy) | $20.00 | 2026-08-02 | Common Stock (37499) | Direct | |
| Employee Stock Option (Right to Buy) | $20.00 | 2026-12-06 | Common Stock (37500) | Direct | |
| Employee Stock Option (Right to Buy) | $30.44 | 2027-07-07 | Common Stock (37500) | Direct |
Footnotes
F1: The restricted stock units (the "RSUs") will vest and settle upon the completion of the Issuer's initial public offering.
F2: Each RSU represents a contingent right to receive one share of the Issuer's Series G' Redeemable Convertible Preferred Stock.
F3: This option became exercisable with respect to one quarter (1/4) of the shares of stock subject to this option on August 8, 2015 (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.
F4: This option became exercisable with respect to one quarter (1/4) of the shares of stock subject to this option on June 15, 2017 (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.
F5: Fully vested.
F6: 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.
F7: 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.