0000921895-24-001147.txt : 20240514 0000921895-24-001147.hdr.sgml : 20240514 20240514125329 ACCESSION NUMBER: 0000921895-24-001147 CONFORMED SUBMISSION TYPE: 4/A PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20240509 FILED AS OF DATE: 20240514 DATE AS OF CHANGE: 20240514 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: SOSIN CLIFFORD CENTRAL INDEX KEY: 0001697919 ORGANIZATION NAME: FILING VALUES: FORM TYPE: 4/A SEC ACT: 1934 Act SEC FILE NUMBER: 001-38386 FILM NUMBER: 24942591 MAIL ADDRESS: STREET 1: 8 WRIGHT STREET STREET 2: 1ST FL CITY: WESTPORT STATE: CT ZIP: 06880 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: Cardlytics, Inc. CENTRAL INDEX KEY: 0001666071 STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-COMPUTER PROGRAMMING, DATA PROCESSING, ETC. [7370] ORGANIZATION NAME: 06 Technology IRS NUMBER: 263039436 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 675 PONCE DE LEON AVENUE, NE STREET 2: SUITE 4100 CITY: ATLANTA STATE: GA ZIP: 30308 BUSINESS PHONE: 888-798-5802 MAIL ADDRESS: STREET 1: 675 PONCE DE LEON AVENUE, NE STREET 2: SUITE 4100 CITY: ATLANTA STATE: GA ZIP: 30308 4/A 1 form4a12609002_05142024.xml OWNERSHIP DOCUMENT X0508 4/A 2024-05-09 2024-05-13 0 0001666071 Cardlytics, Inc. CDLX 0001697919 SOSIN CLIFFORD C/O CAS INVESTMENT PARTNERS, LLC 8 WRIGHT STREET, SUITE 107 WESTPORT CT 06880 0 0 1 0 0 Common Stock 2024-05-09 4 P 0 225000 8.7275 A 6361113 I See Footnote Common Stock 2024-05-10 4 P 0 100000 8.7854 A 6461113 I See Footnote Common Stock 2024-05-13 4 P 0 3746 8.9860 A 6464859 I See Footnote 4.25% Convertible Senior Notes due 2029 2024-05-09 4 P 0 4000000 A Common Stock 72080 24000000 I See Footnote 4,275,376 shares of the Issuer's Common Stock (the "Common Stock") are owned directly by Sosin Master, L.P. ("Sosin Master"). The Reporting Person, as the Managing Member of CAS Investment Partners, LLC ("CAS"), the investment manager to Sosin Master, may be deemed to beneficially own the securities directly owned by Sosin Master. The remaining 2,189,483 shares of Common Stock are owned directly by CSWR Partners, L.P. ("CSWR"). The Reporting Person, as the Managing Member of CAS, the investment manager to CSWR, may be deemed to beneficially own the securities directly owned by CSWR. Sosin Master directly holds $16,498,366 principal amount of the Issuer's 4.25% Convertible Senior Notes due April 1, 2029 (the "Notes") and CSWR directly holds $7,501,634 principal amount of the Notes. Subject to conditions described in the indenture governing the Notes, holders of the Notes have the right to convert all or any portion of such Notes into shares of Common Stock at an initial conversion rate of 55.4939 shares of Common Stock per $1,000 principal amount of Notes, subject to adjustment as described in the indenture. As the Issuer has the option, at its sole discretion, to settle conversions of the Notes in cash, shares of Common Stock or a combination of cash and shares of Common Stock, none of the Reporting Person, Sosin Master or CSWR are deemed to be beneficial owners of any shares of Common Stock underlying the Notes for purposes of Section 13(d) of the Securities Exchange Act of 1934, as amended, as the Reporting Person, Sosin Master and CSWR do not have the right to acquire such underlying shares of Common Stock. This Form 4/A amends and restates the original Form 4 filed by the Reporting Person on May 13, 2024. The Reporting Person has agreed to voluntarily disgorge to the Issuer all statutory "profits" pursuant to Section 16(b) of the Securities Exchange Act of 1934, as amended, that resulted from the transactions reported herein. /s/ Clifford Sosin 2024-05-14