SEC Form 4 · accession 0001628280-16-019163
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
Aug 18, 2016
Accepted (ET)
Aug 19, 2016 · 3:39 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 18, 2016 | C | 400 | $2.31 | A | 1,920,584 | D | |
| Common StockF1 | Aug 18, 2016 | S | 400 | $11.00 | D | 1,920,184 | 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 18, 2016 | M | 400 | D | Sep 30, 2012 | Sep 30, 2016 | Common Stock | 400 | 0 | D |
Explanation of responses
- F1Sale of 400 underlying shares from exercised options related to a 9/30/11 stock option grant of 200,400 options, expiring on 9/30/16, with the exercise price to be satisfied by sale proceeds (cashless).
- F2Final stock option exercise of a 9/30/11 stock option grant of 200,400 options, expiring on 9/30/16, at an exercise price of $2.31 per share, with the exercise price to be satisfied by sale proceeds (cashless).