SEC Form 4 · accession 0001628280-16-021656
Amber Road, Inc. · AMBR
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Thomas E Conway
Officer — Chief Financial Officer
Period of report
Nov 22, 2016
Accepted (ET)
Nov 23, 2016 · 11:10 am 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 22, 2016 | C | 33,480 | $3.29 | A | 33,480 | D | |
| Common StockF1 | Nov 22, 2016 | S | 33,480 | $11.71 | 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 | $3.29 | Nov 22, 2016 | M | 33,480 | D | Feb 19, 2008 | Feb 19, 2017 | Common Stock | 33,480 | 0 | D |
Explanation of responses
- F1Sale of 33,480 underlying shares from exercised options related to a 2/19/07 stock option grant of 73,480 options, expiring on 2/19/17, with the exercise price being satisfied by sale proceeds (cashless).
- F2Exercise of the remaining 33,480 stock options related to a 2/19/07 stock option grant of 73,480 options, expiring on 2/19/17, with the exercise price being satisfied by sale proceeds (cashless).