Filing Details

Accession Number:
0001213900-17-003233
Form Type:
4
Zero Holdings:
No
Publication Time:
2017-04-03 16:06:42
Reporting Period:
2017-03-30
Filing Date:
2017-04-03
Accepted Time:
2017-04-03 16:06:42
SEC Url:
Form 4 Filing
Issuer
Cik Name Symbol Sector (SIC) IRS No
1314223 Amber Road Inc. AMBR () 4
Insiders
Cik Name Reported Address Insider Title Director Officer Large Shareholder Other
1211700 R Donald Caldwell 150 Radnor Chester Rd #150
Radnor PA 19087
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 Disposition 2017-03-30 100,000 $7.64 3,503,778 No 4 S Indirect See Footnote 2
Common Stock Disposition 2017-03-31 158,578 $7.60 3,345,200 No 4 S Indirect See Footnote 2
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 S Indirect See Footnote 2
No 4 S Indirect See Footnote 2
Reported Non-Derivative Holdings
Sec. Name Remaning Holdings Nature of Ownership Explanation
Common Stock 25,110 Direct
Footnotes
  1. The sales of the shares were made by The Co-Investment Fund II, L.P. (45%) and The Co-Investment 2000 Fund, L.P. (55%) in connection with their maturity and their obligation to make distributions to its partners.
  2. Consists of 1,565,880 (after sales on March 30, 2017) and 1,494,520 shares (after sales on March 31, 2017) held by The Co-Investment Fund II, L.P. and 1,937,898 shares (after sales on March 30, 2017) and 1,850,680 shares (after sales on March 31, 2017) held by The Co-Investment 2000 Fund, L.P. (the "Funds"). Donald R. Caldwell is a director, shareholder and officer of Co-Invest Capital Partners, Inc., which is the general partner Co-Invest Management, L.P., which is the general partner of The Co-Investment 2000 Fund, L.P. Donald R. Caldwell is a director, shareholder and officer of Co-Invest Capital Partners II, Inc., which is the general partner of Co-Invest Management II, L.P., which is the general partner of The Co-Investment Fund II, L.P.
  3. Under the terms of the applicable partnership agreements of the Funds, the Reporting Person is deemed to hold these shares for the benefit of the Funds, which are entitled to receive the net economic benefit of the shares as a credit against the management fees owed by the Funds to Cross Atlantic Capital Partners, Inc. The Reporting Person disclaims beneficial ownership of the shares except to the extent of his pecuniary interest therein.