Filing Details
- Accession Number:
- 0001193805-14-000628
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2014-03-26 20:21:49
- Reporting Period:
- 2014-03-26
- Filing Date:
- 2014-03-26
- Accepted Time:
- 2014-03-26 20:21:49
- SEC Url:
- Form 4 Filing
Issuer
Cik | Name | Symbol | Sector (SIC) | IRS No |
---|---|---|---|---|
1314223 | Amber Road Inc. | AMBR | Services-Prepackaged Software (7372) | 222590301 |
Insiders
Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
---|---|---|---|---|---|---|---|
1304240 | Updata Partners Iii Lp | 2445 M Street., 3Rd Floor Washington DC 20037 | No | No | Yes | No | |
1602814 | Njva, Llc | 2445 M St., 3Rd Floor Washington DC 20037 | No | No | Yes | No | |
1602815 | Njva Iii, Llc | 2445 M St., 3Rd Floor Washington DC 20037 | No | No | Yes | No | |
1602816 | Updata Associates Iii, Lp | 2445 M St., 3Rd Floor Washington DC 20037 | No | No | Yes | No | |
1602837 | Updata Venture Associates, Lp | 2445 M St., 3Rd Floor Washington DC 20037 | No | No | Yes | No | |
1602838 | Updata Venture Partners Ii B, Lp | 2445 M St., 3Rd Floor Washington DC 20037 | No | No | Yes | No | |
1602839 | Updata Venture Partners Ii, Lp | 2445 M St., 3Rd Floor Washington DC 20037 | No | No | Yes | No | |
1602840 | Uvp Ii Executive Fund, Lp | 2445 M St., 3Rd Floor Washington DC 20037 | No | No | Yes | No |
Reported Non-Derivative Transactions
Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
---|---|---|---|---|---|---|---|---|---|---|
Common Stock, $0.001 Par Value Per Share | Acquisiton | 2014-03-26 | 187,079 | $0.00 | 221,852 | No | 4 | C | Indirect | By Fund |
Common Stock, $0.001 Par Value Per Share | Acquisiton | 2014-03-26 | 1,362,630 | $0.00 | 1,584,482 | No | 4 | C | Indirect | By Funds |
Common Stock, $0.001 Par Value Per Share | Acquisiton | 2014-03-26 | 1,939,334 | $0.00 | 3,523,816 | No | 4 | C | Indirect | By Funds |
Common Stock, $0.001 Par Value Per Share | Acquisiton | 2014-03-26 | 369,340 | $0.00 | 3,893,156 | No | 4 | C | Indirect | By Fund |
Common Stock, $0.001 Par Value Per Share | Disposition | 2014-03-26 | 803,973 | $13.00 | 3,089,183 | No | 4 | S | Indirect | By Funds |
Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
---|---|---|---|---|
No | 4 | C | Indirect | By Fund |
No | 4 | C | Indirect | By Funds |
No | 4 | C | Indirect | By Funds |
No | 4 | C | Indirect | By Fund |
No | 4 | S | Indirect | By Funds |
Reported Derivative Transactions
Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
---|---|---|---|---|---|---|---|
Common Stock | Series A Preferred Stock | Disposition | 2014-03-26 | 180,360 | $0.00 | 187,079 | $0.00 |
Common Stock | Series B Preferred Stock | Disposition | 2014-03-26 | 1,238,187 | $0.00 | 1,362,630 | $0.00 |
Common Stock | Series C Preferred Stock | Disposition | 2014-03-26 | 1,775,542 | $0.00 | 1,939,334 | $0.00 |
Common Stock | Series D Preferred Stock | Disposition | 2014-03-26 | 332,989 | $0.00 | 369,340 | $0.00 |
Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
---|---|---|---|---|---|---|
0 | No | 4 | C | Indirect | ||
0 | No | 4 | C | Indirect | ||
0 | No | 4 | C | Indirect | ||
0 | No | 4 | C | Indirect |
Footnotes
- This transaction is being reported because it occurred within the six months prior to the initial public offering. On the date listed, (i) 180,360 shares of Series A Preferred shares were automatically converted into 187,079 shares of common stock, (ii) 1,238,187 shares of Series B Preferred shares were automatically converted into 1,362,630 shares of common stock, (iii) 1,775,542 shares of Series C Preferred shares were automatically converted into 1,939,334 shares of common stock, and (iv) 332,989 shares of Series D Preferred shares were automatically converted into 369,340 shares of common stock. The foregoing shares of common stock are on an as converted basis and include the payment of shares in satisfaction of accrued but unpaid dividends.
- Each share of Preferred Stock converted automatically into shares of common stock upon the closing of the issuer's initial public offering of its common stock.
- Includes shares of common stock issued in satisfaction of $87,360 of accrued but unpaid dividends on the Series A Preferred Stock, calculated on the basis of $13.00 per share of common stock, which was the price per share of the common stock issued in the registrant's initial public offering.
- These shares are issued to Updata Partners III, L.P.
- The Reporting Persons disclaim beneficial ownership of the shares held by the Funds (as defined below) except to the extent of each Reporting Person's own pecuniary interest therein.
- Includes shares of common stock issued in satisfaction of $1,617,778 of accrued but unpaid dividends on the Series B Preferred Stock, calculated on the basis of $13.00 per share of common stock, which was the price per share of the common stock issued in the registrant's initial public offering.
- Consists of shares held by or issuable to Updata Partners III, L.P., Updata Venture Partners II B, L.P., UVP II Executive Fund, L.P., and Updata Venture Partners II, L.P. (the "Funds"). Bernard Goldsmith, a director of the Issuer, is a member of NJVA, LLC, which is the general partner of Updata Venture Associates II, L.P., which is the general partner of Updata Venture Partners II, L.P. Bernard Goldsmith, is a member of NJVA, LLC, which is the general partner of Updata Venture Associates II, L.P., which is the general partner of Updata Venture Partners II B, L.P. Bernard Goldsmith, is a member of NJVA, LLC, which is the general partner of Updata Venture Associates II, L.P., which is the general partner of UVP II Executive Fund, L.P. Bernard Goldsmith, is a member of NJVA III, LLC, which is the general partner of Updata Associates III, L.P., which is the general partner of Updata Partners III, L.P.
- Consists of 953,843 shares issued to Updata Partners III, L.P., 63,402 shares issued to Updata Venture Partners II B, L.P., 20,831 shares issued to UVP Executive Fund, L.P., and 324,554 shares issued to Updata Venture Partners II, L.P.
- Includes shares of common stock issued in satisfaction of $2,129,313 of accrued but unpaid dividends on the Series C Preferred Stock, calculated on the basis of $13.00 per share of common stock, which was the price per share of the common stock issued in the registrant's initial public offering.
- Consists of 1,581,744 shares issued to Updata Partners III, L.P., 283,906 shares issued to Updata Venture Partners II B, L.P., 18,222 shares issued to UVP Executive Fund, L.P., and 55,462 shares issued to Updata Venture Partners II, L.P.
- Includes shares of common stock issued in satisfaction of $472,564 of accrued but unpaid dividends on the Series D Preferred Stock, calculated on the basis of $13.00 per share of common stock, which was the price per share of the common stock issued in the registrant's initial public offering.
- These shares are being sold by the Funds as follows: (i) Updata Partners III. L.P., 645,031 shares, (ii) Updata Venture Partners II, L.P., 126,190 shares, (iii) Updata Venture Partners II B, L.P., 24,652 shares, and (iv) UVP Executive Fund, L.P., 8,100 shares.