SEC Form 4 · accession 0001628280-18-007904
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
Jun 12, 2018
Accepted (ET)
Jun 14, 2018 · 9:08 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 | Jun 12, 2018 | M | 9,862 | $0.00 | A | 9,862 | D | |
| Common Stock | Jun 12, 2018 | S | 9,862 | $9.24 | 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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted Stock UnitsF2,F3 | — | Jun 12, 2018 | M | 9,862 | D | — | — | Common Stock | 9,862 | 29,586 | D |
Explanation of responses
- F1Represents the conversion upon vesting of restricted stock units ("RSUs") into common stock. On June 12, 2017, the reporting person was granted 39,448 RSUs, of which 1/4th vested on June 12, 2018, at which time tax withholding obligations were due, resulting in a sale.
- F2Each RSU represents a contingent right to receive one share of common stock of the registrant.
- F3On June 12, 2017, the reporting person was granted 39,448 RSUs, of which 1/4th vested on June 12, 2018. The remaining unvested RSUs will continue to vest as to 1/16th of the original number of shares subject to the RSUs on each succeeding quarter until fully vested on June 12, 2021.