SEC Form 4
FORM 4 UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940
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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
1. Name and Address of Reporting Person*
Preuninger John W

(Last) (First) (Middle)
C/O AMBER ROAD, INC.
ONE MEADOWLANDS PLAZA

(Street)
EAST RUTHERFORD NJ 07073

(City) (State) (Zip)
2. Issuer Name and Ticker or Trading Symbol
Amber Road, Inc. [ AMBR ]
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
X Director 10% Owner
X Officer (give title below) Other (specify below)
President, COO and Director
3. Date of Earliest Transaction (Month/Day/Year)
03/26/2014
4. If Amendment, Date of Original Filed (Month/Day/Year)
6. Individual or Joint/Group Filing (Check Applicable Line)
X Form filed by One Reporting Person
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. Transaction Date (Month/Day/Year) 2A. Deemed Execution Date, if any (Month/Day/Year) 3. Transaction 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 03/26/2014 C 51,966 A (1)(2)(3) 553,274 D
Common Stock, $0.001 par value per share 03/26/2014 S 167,000 D $13 386,275 I By grantor retained annuity trust(1)
Common Stock, $0.001 par value per share 334,001 I By grantor retained annuity trust(4)
Common Stock, $0.001 par value per share 16,700 I By grantor retained annuity trust(5)
Common Stock, $0.001 par value per share 1,002,004 I By grantor retained annuity trust(6)
Common Stock, $0.001 par value per share 50,100 I By grantor retained annuity trust(7)
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 3) 2. Conversion or Exercise Price of Derivative Security 3. Transaction Date (Month/Day/Year) 3A. Deemed Execution Date, if any (Month/Day/Year) 4. Transaction 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 (Month/Day/Year) 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: 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
Series A Preferred Stock (2) 03/26/2014 C 50,100 (2) (2) Common Stock 51,966(2)(3) $0 0 D
Explanation of Responses:
1. This transaction is being reported because it occurred within the six months prior to the initial public offering. On the date listed, 50,100 shares of Series A Preferred shares were automatically converted into 51,966 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.
2. 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.
3. Includes shares of common stock issued in satisfaction of $24,267 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.
4. These shares are held of record by The John Preuninger 2013 Four Year Grantor Retained Annuity Trust, of which John W. Preuninger, is Trustee.
5. These shares are held of record by The John Preuninger 2013 Three Year Grantor Retained Annuity Trust, of which John W. Preuninger, is Trustee.
6. These shares are held of record by The Fletcher Preuninger 2013 Three Year Grantor Retained Annuity Trust, of which John W. Preuninger's wife, Fletcher Preuninger, is Trustee.
7. These shares are held of record by The Fletcher Preuninger 2013 Grantor Retained Annuity Trust FBO Siblings, of which John W. Preuninger's wife, Fletcher Preuninger, is Trustee.
/s/ John W. Preuninger 03/26/2014
** 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 Number.