SEC Form 4 · accession 0001628280-18-007134
Amber Road, Inc. · AMBR
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Kenneth M Harvey
Other
Period of report
May 21, 2018
Accepted (ET)
May 23, 2018 · 8:53 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 StockF1 | May 21, 2018 | M | 13,846 | $0.00 | A | 186,586 | D | |
| Common StockF1 | May 21, 2018 | M | 24,064 | $0.00 | A | 210,650 | D | |
| Common StockF1 | May 21, 2018 | M | 11,264 | $0.00 | A | 221,914 | 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 UnitsF2,F3 | — | May 21, 2018 | M | 13,846 | D | — | — | Common Stock | 13,846 | 0 | D |
| Restricted Stock UnitsF2,F4 | — | May 21, 2018 | M | 24,064 | D | — | — | Common Stock | 24,064 | 0 | D |
| Restricted Stock UnitsF2,F5 | — | May 21, 2018 | M | 11,264 | D | — | — | Common Stock | 11,264 | 0 | D |
Explanation of responses
- F1Delivery of vested RSUs to reporting person upon retirement from registrant's Board of Directors.
- F2Restricted stock units ("RSUs"). Each RSU represents a contingent right to receive one share of common stock of the registrant.
- F3The RSUs represent a 9/10/14 annual award grant received by the reporting person, a non-employee member of the Board of Directors of the registrant. Each RSU vested on the first anniversary of the grant date. The registrant delivered the shares underlying the RSUs to the reporting person as soon as practical after the director's retirement from the Board.
- F4The RSUs represent a 2/10/16 annual award grant received by the reporting person, a non-employee member of the Board of Directors of the registrant. Each RSU vested on the first anniversary of the grant date. The registrant delivered the shares underlying the RSUs to the reporting person as soon as practical after the director's retirement from the Board.
- F5The RSUs represent a 2/19/15 annual award grant received by the reporting person, a non-employee member of the Board of Directors of the registrant. Each RSU vested on the first anniversary of the grant date. The registrant delivered the shares underlying the RSUs to the reporting person as soon as practical after the director's retirement from the Board.