SEC Form 4 · accession 0001628280-18-009445
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
Jul 16, 2018
Accepted (ET)
Jul 19, 2018 · 5:59 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 | Jul 16, 2018 | M | 24,253 | $0.00 | A | 1,789,437 | D | |
| Common StockF2 | Jul 17, 2018 | S | 8,380 | $8.82 | D | 1,781,057 | 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 UnitsF1,F3,F4 | $0.00 | Jul 16, 2018 | M | 24,253 | D | — | — | Common Stock | 24,253 | 72,760 | D |
Explanation of responses
- F1Represents the conversion upon vesting of restricted stock units ("RSUs") into common stock. On July 14, 2017, the reporting person was granted 97,013 RSUs, of which 1/4th vest on each of the first, second, third and fourth anniversaries of the grant date until fully vested on July 14, 2021.
- F2Represents the number of shares sold to cover the tax withholding liability on the vesting of RSUs into 24,253 shares of common stock.
- F3Each RSU represents a contingent right to receive one share of common stock of the registrant.
- F4The RSUs will vest 1/4th on each anniversary of the grant date until fully vested.