SEC Form 4 · accession 0001314223-19-000002
Amber Road, Inc. · AMBR
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
James W Preuninger
Officer — Chief Executive Officer · Director
Period of report
Feb 20, 2019
Accepted (ET)
Feb 22, 2019 · 5:06 pm EST
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 StockF1 | Feb 20, 2019 | M | 42,872 | $0.00 | A | 1,713,929 | D | |
| Common StockF2 | Feb 20, 2019 | S | 41,560 | $9.51 | D | 1,672,369 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted Stock UnitsF3,F4 | $0.00 | Feb 20, 2019 | M | 42,872 | D | Feb 20, 2019 | — | Common Stock | 42,872 | 128,616 | D |
Explanation of responses
- F1Represents the conversion upon vesting of restricted stock units ("RSUs") into common stock. On February 20, 2018, the reporting person was granted 171,488 RSUs, of which 1/4th vested on February 20, 2019.
- F2Sale of shares of common stock to satisfy tax liability due from February 20, 2019 vest of 42,872 RSUs as well as for other year end tax obligations.
- F3Each RSU is the equivalent of one share of Amber Road, Inc. common stock.
- F4On February 20, 2018, the reporting person was granted 171,488 RSUs, of which 1/4th will vest on each of the first, second, third and fourth anniversaries of the grant date until fully vested on February 20, 2022.