Statement of Changes in Beneficial Ownership (4)
April 11 2017 - 1:35PM
Edgar (US Regulatory)
FORM 4
[
X
]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue.
See
Instruction 1(b).
|
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
|
OMB APPROVAL
OMB Number:
3235-0287
Estimated average burden
hours per response...
0.5
|
|
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
|
|
1. Name and Address of Reporting Person
*
Cross Atlantic Capital Partners, Inc.
|
2. Issuer Name
and
Ticker or Trading Symbol
Amber Road, Inc.
[
AMBR
]
|
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director
__
X
__ 10% Owner
_____ Officer (give title below)
_____ Other (specify below)
|
(Last)
(First)
(Middle)
150 N RADNOR CHESTER RD #150
|
3. Date of Earliest Transaction
(MM/DD/YYYY)
4/7/2017
|
(Street)
RADNOR, PA 19087
(City)
(State)
(Zip)
|
4. If Amendment, Date Original Filed
(MM/DD/YYYY)
|
6. Individual or Joint/Group Filing
(Check Applicable Line)
___ Form filed by One Reporting Person
_
X
_ Form filed by More than One Reporting Person
|
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
|
1.Title of Security
(Instr. 3)
|
2. Trans. Date
|
2A. Deemed Execution Date, if any
|
3. Trans. Code
(Instr. 8)
|
4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
|
5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
|
6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
|
7. Nature of Indirect Beneficial Ownership (Instr. 4)
|
Code
|
V
|
Amount
|
(A) or (D)
|
Price
|
Common Stock, $0.001 par value per share
|
4/7/2017
|
|
S
|
|
287600
(1)
|
D
|
$7.01
|
2949147
(2)
|
I
|
By Funds
(2)
|
Common Stock, $0.001 par value per share
|
4/10/2017
|
|
S
|
|
295262
(1)
|
D
|
$7.10
|
2653885
(2)
|
I
|
By Funds
(2)
|
Table II - Derivative Securities Beneficially Owned (
e.g.
, puts, calls, warrants, options, convertible securities)
|
1. Title of Derivate Security
(Instr. 3)
|
2. Conversion or Exercise Price of Derivative Security
|
3. Trans. Date
|
3A. Deemed Execution Date, if any
|
4. Trans. Code
(Instr. 8)
|
5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
|
6. Date Exercisable and Expiration Date
|
7. Title and Amount of Securities Underlying Derivative Security
(Instr. 3 and 4)
|
8. Price of Derivative Security
(Instr. 5)
|
9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4)
|
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4)
|
11. Nature of Indirect Beneficial Ownership (Instr. 4)
|
Code
|
V
|
(A)
|
(D)
|
Date Exercisable
|
Expiration Date
|
Title
|
Amount or Number of Shares
|
Explanation of Responses:
|
(1)
|
The sales of the shares were made by The Co-Investment Fund II, L.P. (45%) and The Co-Investment 2000 Fund, LP (55%) in connection with their maturity and their obligation to make distributions to its partners.
|
(2)
|
Consists of 1,316,296 shares (after sales on April 7, 2017) and 1,183,428 shares (after sales on April 10, 2017) held by The Co-Investment Fund II, L.P. and 1,632,851 shares (after sales on April 7, 2017) and 1,470,457 shares (after sales on April 10, 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.
|
Remarks:
The Reporting Persons disclaim beneficial ownership of the shares held by the Funds except to the extent of each Reporting Person's own pecuniary interest therein.
|
Reporting Owners
|
Reporting Owner Name / Address
|
Relationships
|
Director
|
10% Owner
|
Officer
|
Other
|
Cross Atlantic Capital Partners, Inc.
150 N RADNOR CHESTER RD #150
RADNOR, PA 19087
|
|
X
|
|
|
CO INVESTMENT 2000 FUND LP
150 N RADNOR CHESTER RD #150
RADNOR, PA 19087
|
|
X
|
|
|
Co-Invest Capital Partners Inc
150 N RADNOR CHESTER RD #150
RADNOR, PA 19087
|
|
X
|
|
|
Co-Invest Management LP
150 N RADNOR CHESTER RD #150
RADNOR, PA 19087
|
|
X
|
|
|
CO-INVESTMENT FUND II, L.P.
150 N RADNOR CHESTER RD #150
RADNOR, PA 19087
|
|
X
|
|
|
Co-Invest Capital Partners II, Inc.
150 N RADNOR CHESTER RD #150
RADNOR, PA 19087
|
|
X
|
|
|
XATF MANAGEMENT II LP
150 N RADNOR CHESTER RD #150
RADNOR, PA 19087
|
|
X
|
|
|
Signatures
|
/s/ Donald R. Caldwell
|
|
4/11/2017
|
**
Signature of Reporting Person
|
Date
|
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
|
*
|
If the form is filed by more than one reporting person,
see
Instruction 4(b)(v).
|
**
|
Intentional misstatements or omissions of facts constitute Federal Criminal Violations.
See
18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
|
Note:
|
File three copies of this Form, one of which must be manually signed. If space is insufficient,
see
Instruction 6 for procedure.
|
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number.
|
AMBER ROAD, INC. (NYSE:AMBR)
Historical Stock Chart
From Aug 2024 to Sep 2024
AMBER ROAD, INC. (NYSE:AMBR)
Historical Stock Chart
From Sep 2023 to Sep 2024