SEC Form 4 · accession 0001628280-16-021556
Amber Road, Inc. · AMBR
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Albert C Cooke III
Officer — VP, Global Sales
Period of report
Nov 16, 2016
Accepted (ET)
Nov 18, 2016 · 4:52 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 Stock | Nov 16, 2016 | C | 20,000 | $3.29 | A | 37,404 | D | |
| Common StockF1 | Nov 16, 2016 | S | 20,000 | $10.50 | D | 17,404 | D | |
| Common Stock | Nov 16, 2016 | S | 14,404 | $10.50 | D | 3,000 | 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 | $3.29 | Nov 16, 2016 | M | 20,000 | D | Jan 24, 2008 | Jan 24, 2017 | Common Stock | 20,000 | 0 | D |
Explanation of responses
- F1Sale of exercised stock options from a 1/24/07 stock option grant of 40,080 options, expiring on 1/24/17, at an exercise price of $3.29 per share, with the exercise price to be satisfied by sale proceeds (cashless).
- F2Final stock option exercise of a 1/24/07 stock option grant of 40,080 options, expiring on 1/24/17, at an exercise price of $3.29 per share, with the exercise price to be satisfied by sale proceeds (cashless).