SEC Form 3 · accession 0001019056-18-000975
Amber Road, Inc. · AMBR
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Neil Gagnon
10% Owner
Period of report
Aug 9, 2018
Accepted (ET)
Aug 14, 2018 · 4:57 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001314223
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock, $0.001 par value per shareF1 | holding | — | — | — | 487,158 | D | ||
| Common Stock, $0.001 par value per share | holding | — | — | — | 671,219 | I | By Managing Member as General Partner of Gagnon Investment Associates | |
| Common Stock, $0.001 par value per share | holding | — | — | — | 102,589 | I | By Managing Member as General Partner of Darwin Partnership | |
| Common Stock, $0.001 par value per share | holding | — | — | — | 95,968 | I | By Limited Partner of the Family Partnership | |
| Common Stock, $0.001 par value per share | holding | — | — | — | 20,600 | I | By self as Trustee of Gagnon Securities LLC Profit Sharing Plan |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Neil Gagnon serves as the Chief Executive Officer of Gagnon Advisors, LLC and is the managing member and principal owner of Gagnon Securities LLC, each of which provide investment management services to investment vehicles and managed accounts (collectively, the "Accounts"), and as such, has investment discretion with respect to the Accounts. Mr. Gagnon's interest in the securities reported herein is limited to the extent of his pecuniary interest in each of the Accounts, if any.