0001213900-16-016839.txt : 20160916 0001213900-16-016839.hdr.sgml : 20160916 20160916173126 ACCESSION NUMBER: 0001213900-16-016839 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20160914 FILED AS OF DATE: 20160916 DATE AS OF CHANGE: 20160916 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: Amber Road, Inc. CENTRAL INDEX KEY: 0001314223 STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-PREPACKAGED SOFTWARE [7372] IRS NUMBER: 222590301 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 1 MEADOWLANDS PLAZA CITY: EAST RUTHERFORD STATE: NJ ZIP: 07073 BUSINESS PHONE: 201-935-8588 MAIL ADDRESS: STREET 1: 1 MEADOWLANDS PLAZA CITY: EAST RUTHERFORD STATE: NJ ZIP: 07073 FORMER COMPANY: FORMER CONFORMED NAME: Amber Road, Inc DATE OF NAME CHANGE: 20130710 FORMER COMPANY: FORMER CONFORMED NAME: Management Dynamics Inc/NJ DATE OF NAME CHANGE: 20050112 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: CALDWELL DONALD R CENTRAL INDEX KEY: 0001211700 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36360 FILM NUMBER: 161890200 MAIL ADDRESS: STREET 1: 5 RADNOR CORP CENTER STE 555 CITY: RADNOR STATE: PA ZIP: 19087 4 1 f4091416caldwell_amber.xml OWNERSHIP DOCUMENT X0306 4 2016-09-14 0 0001314223 Amber Road, Inc. AMBR 0001211700 CALDWELL DONALD R 150 RADNOR CHESTER RD #150 RADNOR PA 19087 1 0 1 0 Common Stock 2016-09-14 4 S 0 1450000 9.00 D 4146677 I See Footnote 2 Common Stock 25110 D The sale of the shares was made by Cross Atlantic Technology Fund II, L.P. in connection with its maturity and its obligation to make distributions to its partners. Consists of 542,899 shares held by Cross Atlantic Technology Fund, II, L.P., 1,610,880 shares held by The Co-Investment Fund II, L.P. and 1,922,898 shares held by The Co-Investment 2000 Fund, L.P. (the "Funds"). Donald R. Caldwell, a director of the Issuer, is a director, shareholder and officer of Cross Atlantic Capital Partners II, Inc., which is the general partner of XATF Management II, L.P., which is the general partner of Cross Atlantic Technology Fund II, L.P. Donald R. Caldwell, is 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. 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. /s/ Donald R. Caldwell 2016-09-16