SEC Form 4 · accession 0001628280-18-014387
Amber Road, Inc. · AMBR
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Nathan Pieri
Officer — Chief Product Officer
Period of report
Nov 10, 2018
Accepted (ET)
Nov 14, 2018 · 6:07 pm EST
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 | Nov 10, 2018 | M | 4,919 | $0.00 | A | 53,345 | D | |
| Common Stock | Nov 13, 2018 | S | 1,438 | $8.91 | D | 51,907 | 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 | — | Nov 10, 2018 | M | 4,919 | D | Feb 10, 2020 | — | Common Stock | 4,919 | 24,600 | D |
Explanation of responses
- F1Represents the conversion upon vesting of restricted stock units ("RSUs") into common stock. On February 10, 2016, the reporting person was granted 78,717 RSUs, of which 1/16th vested on November 10, 2018, at which time tax withholding obligations were due.
- F2Each RSU represents a contingent right to receive one share of common stock of the registrant.
- F3On February 10, 2016, the reporting person was granted 78,717 RSUs, of which 1/16th vested on November 10, 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 February 10, 2020.