SEC Form 4 · accession 0001628280-18-011771
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
Sep 7, 2018
Accepted (ET)
Sep 12, 2018 · 7:24 am 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 | Sep 7, 2018 | M | 33,400 | $2.31 | A | 33,400 | D | |
| Common StockF2 | Sep 7, 2018 | S | 11,262 | $9.40 | D | 22,138 | D | |
| Common StockF3 | Sep 11, 2018 | S | 22,138 | $9.36 | 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)F1,F4 | $2.31 | Sep 7, 2018 | M | 33,400 | D | — | Feb 11, 2020 | Common Stock | 33,400 | 0 | D |
Explanation of responses
- F1Exercise of 33,400 stock options from a 2/11/10 stock option grant of 33,400 options, expiring on 2/11/20, at an exercise price of $2.31 per share.
- F2Sale of 11,262 underlying exercised shares from a 2/11/10 stock option grant of 33,400 options, expiring on 2/11/20, at an exercise price of $2.31 per share, with exercise price and tax obligations to be satisfied by sale proceeds.
- F3Sale of 22,138 underlying exercised shares from a 2/11/10 stock option grant of 33,400 options, expiring on 2/11/20, at an exercise price of $2.31 per share, with exercise price and tax obligations to be satisfied by sale proceeds.
- F4The option vested over four years as follows: 25% on the one-year anniversary of the grant date and 6.25% at the end of each three-month period thereafter.