SEC Form 4 · accession 0001628280-16-019092
Amber Road, Inc. · AMBR
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Barry MV Williams
Director
Period of report
Aug 12, 2016
Accepted (ET)
Aug 16, 2016 · 4:35 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 | Aug 12, 2016 | C | 16,700 | $2.31 | A | 16,700 | D | |
| Common StockF1 | Aug 12, 2016 | S | 16,700 | $10.01 | D | 0 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Employee Stock Option (right to buy)F2 | $2.31 | Aug 12, 2016 | M | 16,700 | D | Oct 21, 2009 | Oct 21, 2018 | Common Stock | 16,700 | 0 | D |
Explanation of responses
- F1Exercise and sale of 16,700 stock options from a 10/21/08 stock option grant of 16,700 options, expiring on 10/21/18, with the exercise price being satisfied by sale proceeds (cashless).
- F2Exercise of 16,700 stock options from a 10/21/08 stock option grant of 16,700 options, expiring on 10/21/18, at an exercise price of $2.31 per share, with the exercise price being satisfied by sale proceeds (cashless).