Form Type: 4

SEC EDGAR Link
Accession Number:0001666071-19-000087
Date:2019-08-08
Issuer: CARDLYTICS, INC. (CDLX)
Original Submission Date:

Reporting Person:

GRIMES SCOTT D.
C/O CARDLYTICS, INC.
675 PONCE DE LEON AVENUE NE, SUITE 6000 ATLANTA, GA 30308

Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
Title of SecurityTransaction Date2a. Deemed Execution Date Transaction CodeSharesAcquired or DisposedPrice per share 5. Amount of Securities Beneficially Owned Following Reported Transaction 6. Ownership Form Direct or IndirectNature of Indirect Ownership
COMMON STOCK 2019-08-08 S 3,590 d $30.64 606,850 direct
COMMON STOCK 2019-08-08 S 2,010 d $31.33 604,840 direct
COMMON STOCK 2019-08-08 S 400 d $32.43 604,440 direct
COMMON STOCK 2019-08-08 0 $0.00 800 indirect
COMMON STOCK 2019-08-08 0 $0.00 194,112 indirect f5
Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, convertible securities
Title of Derivative Security Conversion or Exercise Price of Derivative Security Transaction Date Deemed Execution Date Transaction Code Number of Derivative Securities Acquired (A) or Disposed of (D) Date ExercisableExpiration Date Title and Amount of Securities Underlying Derivative Security Price of Derivative Security Number of derivative Securities Beneficially Owned Following Reported Transaction(s) Ownership Form: Direct (D) or Indirect (I) Nature of Indirect Beneficial Ownership
Footnotes
IDfootnote
f1 these sales were effected pursuant to a rule 10b5-1 trading plan adopted by the reporting person on september 5, 2018, as amended may 14, 2019.
f2 the price reported is a weighted average sales price. these shares were sold in multiple transactions at prices ranging from $30.00 to $30.99, 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 range set forth in footnote (2) to this form 4.
f3 the price reported is a weighted average sales price. these shares were sold in multiple transactions at prices ranging from $31.01 to $31.97, 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 range set forth in footnote (3) to this form 4.
f4 the price reported is a weighted average sales price. these shares were sold in multiple transactions at prices ranging from $32.31 to $32.57, 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 range set forth in footnote (4) to this form 4.
f5 the reportable securities are held by the 2013 scott grimes grat uad (the "grat"). the reporting person is the trustee of the grat.
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