Sec Form 4 Filing - Aimia Inc. @ Cardlytics, Inc. - 2018-02-13

Insider filing report for Changes in Beneficial Ownership
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FORM 4
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
Aimia Inc.
2. Issuer Name and Ticker or Trading Symbol
Cardlytics, Inc. [ CDLX]
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director X __ 10% Owner
_____ Officer (give title below) _____ Other (specify below)
(Last) (First) (Middle)
525 VIGER AVENUE WEST, SUITE 1000
3. Date of Earliest Transaction (MM/DD/YY)
02/13/2018
(Street)
MONTREAL, A8H2Z 0B2
4. If Amendment, Date Original Filed (MM/DD/YY)
6. Individual or Joint/Group Filing (Check Applicable Line)
_____ Form filed by One Reporting Person
__ X __ Form filed by More than One Reporting Person
(City) (State) (Zip)
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1.Title of Security
(Instr. 3)
2. Transaction Date (MM/DD/YY) 2A. Deemed Execution Date, if any (MM/DD/YY) 3. Transaction Code
(Instr. 8)
4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
6. Ownership Form: Direct (D) or Indirect (I)
(Instr. 4)
7. Nature of Indirect Beneficial Ownership
(Instr. 4)
Code V Amount (A) or (D) Price
Common Stock 02/13/2018 C 212,008 A 212,008 I See Footnote ( 2 )
Common Stock 02/13/2018 C 972,927 A 1,184,935 I See Footnote ( 2 )
Common Stock 02/13/2018 C 609,523 A 1,794,458 I See Footnote ( 2 )
Common Stock 02/13/2018 C 159,207 A 1,953,665 I See Footnote ( 2 )
Common Stock 02/13/2018 C 223,020 A 1,024,349 I See Footnote ( 3 )
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
( e.g. , puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security
(Instr. 3)
2. Conversion or Exercise Price of Derivative Security 3. Transaction Date (MM/DD/YY) 3A. Deemed Execution Date, if any (MM/DD/YY) 4. Transaction Code
(Instr. 8)
5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4, and 5)
6. Date Exercisable and Expiration Date
(MM/DD/YY)
7. Title and Amount of Underlying Securities
(Instr. 3 and 4)
8. Price of Derivative Security
(Instr. 5)
9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 4)
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I)
(Instr. 4)
11. Nature of Indirect Beneficial Ownership
(Instr. 4)
Code V (A) (D) Date Exercisable Expiration Date Title Amount or Number of Shares
Series C-R Redeemable Convertible Preferred Sto ( 1 ) 02/13/2018 C 212,008 ( 1 ) ( 1 ) Common Stock 212,008 $ 0 0 I See Footnote ( 2 )
Series D-R Redeemable Convertible Preferred Sto ( 1 ) 02/13/2018 C 972,927 ( 1 ) ( 1 ) Common Stock 972,927 $ 0 0 I See Footnote ( 2 )
Series E-R Redeemable Convertible Preferred Sto ( 1 ) 02/13/2018 C 609,523 ( 1 ) ( 1 ) Common Stock 609,523 $ 0 0 I See Footnote ( 2 )
Series G' Redeemable Convertible Preferred Stock ( 1 ) 02/13/2018 C 159,207 ( 1 ) ( 1 ) Common Stock 159,207 $ 0 0 I See Footnote ( 2 )
Series G' Redeemable Convertible Preferred Stock ( 1 ) 02/13/2018 C 223,020 ( 1 ) ( 1 ) Common Stock 223,020 $ 0 0 I See Footnote ( 3 )
Reporting Owners
Reporting Owner Name / Address Relationships
Director 10% Owner Officer Other
Aimia Inc.
525 VIGER AVENUE WEST, SUITE 1000
MONTREAL, A8H2Z 0B2
X
Aeroplan Holdings Europe Sarl
525 VIGER AVENUE WEST, SUITE 1000
MONTREAL, A8H2Z 0B2
X
Aimia Holdings UK Ltd
525 VIGER AVENUE WEST, SUITE 1000
MONTREAL, A8H2Z0B2
X
Signatures
/s/ Kirk L. Somers, Attorney-in-Fact 02/15/2018
Signature of Reporting Person Date
/s/ Kirk L. Somers, Attorney-in-Fact 02/15/2018
Signature of Reporting Person Date
/s/ Kirk L. Somers, Attorney-in-Fact 02/15/2018
Signature of Reporting Person Date
Explanation of Responses:
( 1 )Each share of Series C-R Redeemable Convertible Preferred Stock, Series D-R Redeemable Convertible Preferred Stock, Series E-R Redeemable Convertible Preferred Stock, Series G Redeemable Convertible Preferred Stock and 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.
( 2 )The reportable securities are owned directly by Aeroplan Holdings Europe Sarl, which is an affiliate of Aimia Inc.
( 3 )The reportable securities are owned directly by Aimia Holdings UK Limited, which is an affiliate of Aimia Inc.

Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 4(b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).

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