SEC Form 4 · accession 0001628280-18-012453
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
Oct 8, 2018
Accepted (ET)
Oct 10, 2018 · 7:47 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 | Oct 8, 2018 | M | 25,000 | $0.00 | A | 25,000 | D | |
| Common StockF1 | Oct 9, 2018 | S | 2,722 | $9.92 | D | 22,278 | D | |
| Common StockF1 | Oct 10, 2018 | S | 998 | $9.52 | D | 21,280 | 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 | $0.00 | Oct 8, 2018 | M | 25,000 | D | Oct 6, 2018 | Oct 6, 2021 | Common Stock | 25,000 | 75,000 | D |
Explanation of responses
- F1Represents the conversion upon vesting of restricted stock units ("RSUs") into common stock. On October 6, 2017, the reporting person was granted 100,000 RSUs, of which 1/4th vested on October 8, 2018, at which time shares of common stock were sold to satisfy tax withholding obligations.
- F2Each RSU represents a contingent right to receive one share of common stock of the registrant.
- F3On October 6, 2017, the reporting person was granted 100,000 RSUs, of which 1/4th vested on October 8, 2018. The remaining unvested RSUs will continue to vest as to 1/4th of the original number of shares subject to the RSUs on each succeeding anniversary of the grant date until fully vested on October 6, 2021.