0001213900-17-003625.txt : 20170411
0001213900-17-003625.hdr.sgml : 20170411
20170411133130
ACCESSION NUMBER: 0001213900-17-003625
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20170407
FILED AS OF DATE: 20170411
DATE AS OF CHANGE: 20170411
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: 17755588
MAIL ADDRESS:
STREET 1: 5 RADNOR CORP CENTER STE 555
CITY: RADNOR
STATE: PA
ZIP: 19087
4
1
f4040717caldwell_amberroad.xml
OWNERSHIP DOCUMENT
X0306
4
2017-04-07
1
0001314223
Amber Road, Inc.
AMBR
0001211700
CALDWELL DONALD R
150 RADNOR CHESTER RD #150
RADNOR
PA
19087
0
0
1
0
Common Stock
2017-04-07
4
S
0
287600
7.01
D
2949147
I
See Footnote 2
Common Stock
2017-04-10
4
S
0
295262
7.10
D
2653885
I
See Footnote 2
Common Stock
25110
D
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.
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.
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.
The Reporting Person disclaims beneficial ownership of the shares held by the Funds except to the extent of the Reporting Person's own pecuniary interest therein.
/s/ Donald R. Caldwell
2017-04-11