0001209191-19-024294.txt : 20190410 0001209191-19-024294.hdr.sgml : 20190410 20190410173429 ACCESSION NUMBER: 0001209191-19-024294 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20190309 FILED AS OF DATE: 20190410 DATE AS OF CHANGE: 20190410 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: BALEN JOHN V CENTRAL INDEX KEY: 0001181211 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38386 FILM NUMBER: 19742395 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: Cardlytics, Inc. CENTRAL INDEX KEY: 0001666071 STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-COMPUTER PROGRAMMING, DATA PROCESSING, ETC. [7370] IRS NUMBER: 263039436 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 675 PONCE DE LEON AVENUE, NE STREET 2: SUITE 6000 CITY: ATLANTA STATE: GA ZIP: 30308 BUSINESS PHONE: 888-798-5802 MAIL ADDRESS: STREET 1: 675 PONCE DE LEON AVENUE, NE STREET 2: SUITE 6000 CITY: ATLANTA STATE: GA ZIP: 30308 4 1 doc4.xml FORM 4 SUBMISSION X0306 4 2019-03-09 0 0001666071 Cardlytics, Inc. CDLX 0001181211 BALEN JOHN V C/O CANAAN PARTNERS 285 RIVERSIDE AVENUE, SUITE 250 WESTPORT CT 06880 1 0 0 0 Common Stock 2019-03-09 4 M 0 8484 A 11255 D Common Stock 1133141 I See Footnote Restricted Stock Units 2019-03-09 4 M 0 8484 0.00 D Common Stock 8484 0 D Each restricted stock unit ("RSU") represents a contingent right to receive one share of common stock of the Issuer, or at the election of the Issuer, its cash equivalent. Includes 2,771 shares received by the Reporting Person pursuant to pro rata distributions, for no consideration, by Canaan VIII, LP (the "Canaan Fund") on September 17, 2018, January 29, 2019 and April 9, 2019. The aforementioned distributions were made in accordance with the exemptions afforded by Rule 16a-13 and Rule 16a-9 of the Securities Exchange Act of 1934, as amended. The reportable securities are held directly by Canaan Fund. Canaan Partners VIII LLC ("Canaan VIII" and together with the Canaan Fund, the "Canaan Entities") is the sole general partner of the Canaan Fund. Investment and voting decisions with respect to the shares held by the Canaan Fund are made by the managers of Canaan VIII, collectively. John Balen, a manager and member of Canaan VIII, serves as the representative of the Canaan Entities on the Issuer's board of directors. Mr. Balen disclaims beneficial ownership in the securities held by the Canaan Entities, except to the extent of his pecuniary interest, if any, in such securities by virtue of the limited liability company interests he owns in Canaan VIII. The RSUs vested in full on the one-year anniversary of the date of grant. /s/ Janine MacDonald, Attorney-in-Fact 2019-04-10