Item 1.
(a) Name of Issuer
Amber Road, Inc. (the “Issuer”)
(b) Address of Issuer’s Principal Executive Offices
One Meadowlands Plaza, East Rutherford, New Jersey 07073
Item 2.
(a) Name of Person Filing
(b) Address of Principal Business Office or, if none, Residence
(c) Citizenship
The names, principal business offices and citizenship of the persons filing this statement are:
Cross Atlantic Capital Partners II, Inc. (“CAP”)
100 Matsonford Road
Radnor, Pennsylvania 19087
Citizenship: Delaware
XATF Management II, L.P. (“XATF”)
c/o Cross Atlantic Capital Partners, Inc.
100 Matsonford Road
Radnor, Pennsylvania 19087
Citizenship: Delaware
Cross Atlantic Technology Fund II, L.P. (“Fund II”)
c/o Cross Atlantic Capital Partners, Inc.
100 Matsonford Road
Radnor, Pennsylvania 19087
Citizenship: Delaware
Co-Invest Capital Partners, Inc. (“Co-Invest Capital”)
c/o Cross Atlantic Capital Partners, Inc.
100 Matsonford Road
Radnor, Pennsylvania 19087
Citizenship: Delaware
Co-Invest Management, L.P. (“Co-Invest Management”)
c/o Cross Atlantic Capital Partners, Inc.
100 Matsonford Road
Radnor, Pennsylvania 19087
Citizenship: Delaware
The Co-Investment 2000 Fund, L.P. (“2000 Fund”)
c/o Cross Atlantic Capital Partners, Inc.
100 Matsonford Road
Radnor, Pennsylvania 19087
Citizenship: Delaware
Co-Invest Capital Partners II, Inc. (“Co-Invest Capital II”)
c/o Cross Atlantic Capital Partners, Inc.
100 Matsonford Road
Radnor, Pennsylvania 19087
Citizenship: Delaware
Co-Invest Management II, L.P. (“Co-Invest Management II”)
c/o Cross Atlantic Capital Partners, Inc.
100 Matsonford Road
Radnor, Pennsylvania 19087
Citizenship: Delaware
The Co-Investment Fund II, L.P. (“Co-Investment Fund”)
c/o Cross Atlantic Capital Partners, Inc.
100 Matsonford Road
Radnor, Pennsylvania 19087
Citizenship: Delaware
Donald R. Caldwell (“Mr. Caldwell”)
c/o Cross Atlantic Capital Partners, Inc.
100 Matsonford Road
Radnor, Pennsylvania 19087
Citizenship: United States
(d) Title of Class of Securities
Common Stock, $0.001 par value per share, of the Issuer (the “Common Stock”)
(e) CUSIP Number
02318Y108
Item 3. If this statement is filed pursuant to §§240.13d-1(b) or 240.13d-2(b) or (c), check whether the person filing is a:
Not applicable.
(a) Amount beneficially owned:
As of December 31, 2014, (i) Fund II was the record holder of 1,992,898 shares of Common Stock, (ii) 2000 Fund was the record holder of 1,992,898 shares of Common Stock, and (iii) Co-Investment Fund was the record holder of 1,610,880 shares of Common Stock.
XATF may be deemed to beneficially own 1,992,898 shares of Common Stock as the general partner of Fund II. CAP may be deemed to beneficially own 1,992,898 shares of Common Stock as the general partner of XATF.
Co-Invest Management may be deemed to beneficially own 1,992,898 shares of Common Stock as the general partner of 2000 Fund. Co-Invest Capital may be deemed to beneficially own 1,992,898 shares of Common Stock as the general partner of Co-Invest Management.
Co-Invest Management II may be deemed to beneficially own 1,610,880 shares of Common Stock as the general partner of Co-Investment Fund. Co-Invest Capital II may be deemed to beneficially own 1,610,880 shares of Common Stock as the general partner of Co-Invest Management II.
Mr. Caldwell may be deemed to beneficially own 5,596,677 shares of Common Stock as sole owner of Fund II, 2000 Fund and Co-Investment Fund.
The foregoing should not be construed in and of itself as an admission by any Reporting Persons as to beneficial ownership of any shares of Common Stock owned by another Reporting Person.
(b) Percent of class:
Based on the Issuer’s Quarterly Report on Form 10-Q filed with the Securities and Exchange Commission on November 7, 2014, in which the Issuer stated that the number of shares of Common Stock outstanding as of November 7, 2014 was 25,447,157 shares, (i) Fund II, XATF and CAP may be deemed to beneficially own 7.8% of the outstanding shares of Common Stock, (ii) 2000 Fund, Co-Invest Management and Co-Invest Capital may be deemed to beneficially own 7.8% of the outstanding shares of Common Stock, (iii) Co-Investment Fund, Co-Invest Management II and Co-Invest Capital II may be deemed to beneficially own 6.3% of the outstanding shares of Common Stock, and (iv) Mr. Caldwell may be deemed to beneficially own 21.9% of the outstanding shares of Common Stock.
(c) Number of shares as to which the person has:
| (i) Sole power to vote or to direct the vote: |
See Cover Pages Items 5-9.
| (ii) Shared power to vote or to direct the vote: |
See Cover Pages Items 5-9.
| (iii) Sole power to dispose or to direct the disposition of: |
See Cover Pages Items 5-9.
| (iv) Shared power to dispose or to direct the disposition of: |
See Cover Pages Items 5-9.
Item 5. | Ownership of Five Percent or Less of a Class |
Not applicable.
Item 6. | Ownership of More than Five Percent on Behalf of Another Person |
Not applicable.
Item 7. | Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on By the Parent Holding Company |
Not applicable.
Item 8. | Identification and Classification of Members of the Group |
Not applicable.
Item 9. | Notice of Dissolution of Group |
Not applicable.
Item 10. Certification
By signing below I certify that, to the best of my knowledge and belief, the securities referred to above were not acquired and are not held for the purpose of or with the effect of changing or influencing the control of the issuer of the securities and were not acquired and are not held in connection with or as a participant in any transaction having that purpose or effect, other than activities solely in connection with a nomination under § 240.14a-11.
Exhibit A: Joint Filing Agreement, dated as of February 17, 2015 by and among CAP, XATF, FUND II, Co-Invest Capital, Co-Invest Management, 2000 Fund, Co-Invest Capital II, Co-Invest Management II, Co-Investment Fund and Mr. Caldwell.
SIGNATURE
After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct.
Date: February 17, 2015
| CROSS ATLANTIC TECHNOLOGY FUND II, L.P. By: XATF Management II, L.P. Title: General Partner By: Cross Atlantic Capital Partners II, Inc. Title: General Partner |
| By: /s/ Brian Adamsky Name: Brian Adamsky Title: Chief Financial Officer and Treasurer |
| XATF Management II, L.P. By: Cross Atlantic Capital Partners II, Inc. Title: General Partner By: /s/ Brian Adamsky Name: Brian Adamsky Title: Chief Financial Officer and Treasurer CROSS ATLANTIC CAPITAL PARTNERS II, INC. /s/ Brian Adamsky Name: Brian Adamsky Title: Chief Financial Officer and Treasurer THE CO-INVESTMENT 2000 FUND, L.P. By: Co-Invest Management, L.P. Title: General Partner By: Co-Invest Capital Partners, Inc. Title: General Partner |
| By: /s/ Brian Adamsky Name: Brian Adamsky Title: Chief Financial Officer and Treasurer CO-INVEST MANAGEMENT, L.P. By: Co-Invest Capital Partners, Inc. Title: General Partner By: /s/ Brian Adamsky Name: Brian Adamsky Title: Chief Financial Officer and Treasurer |
| CO-INVEST CAPITAL PARTNERS, INC. /s/ Brian Adamsky Name: Brian Adamsky Title: Chief Financial Officer and Treasurer THE CO-INVESTMENT FUND II, L.P. By: Co-Invest Management II, L.P. Title: General Partner By: Co-Invest Capital Partners II, Inc. Title: General Partner |
| By: /s/ Brian Adamsky Name: Brian Adamsky Title: Chief Financial Officer and Treasurer CO-INVEST MANAGEMENT II, L.P.
By: Co-Invest Capital Partners II, Inc. Title: General Partner
By: /s/ Brian Adamsky Name: Brian Adamsky Title: Chief Financial Officer and Treasurer CO-INVEST CAPITAL PARTNERS II, INC.
/s/ Brian Adamsky Name: Brian Adamsky Title: Chief Financial Officer and Treasurer /s/ Donald R. Caldwell Donald R. Caldwell |
Exhibit A
JOINT FILING AGREEMENT
The undersigned acknowledge and agree that the foregoing statement on Schedule 13G with respect to Common Stock of Amber Road, Inc. is filed on behalf of each of the undersigned and that all subsequent amendments to this statement (including amendments on Schedule 13D) may be filed on behalf of each of the undersigned in accordance with the provisions of Rule 13d-1(k) under the Securities Exchange Act of 1934, as amended, without the necessity of filing additional joint filing agreements.
Date: February 17, 2015
| CROSS ATLANTIC TECHNOLOGY FUND II, L.P. By: XATF Management II, L.P. Title: General Partner By: Cross Atlantic Capital Partners II, Inc. Title: General Partner |
| By: /s/ Brian Adamsky Name: Brian Adamsky Title: Chief Financial Officer and Treasurer |
| XATF Management II, L.P. By: Cross Atlantic Capital Partners II, Inc. Title: General Partner By: /s/ Brian Adamsky Name: Brian Adamsky Title: Chief Financial Officer and Treasurer CROSS ATLANTIC CAPITAL PARTNERS II, INC. /s/ Brian Adamsky Name: Brian Adamsky Title: Chief Financial Officer and Treasurer THE CO-INVESTMENT 2000 FUND, L.P. By: Co-Invest Management, L.P. Title: General Partner By: Co-Invest Capital Partners, Inc. Title: General Partner |
| By: /s/ Brian Adamsky Name: Brian Adamsky Title: Chief Financial Officer and Treasurer |
| CO-INVEST MANAGEMENT, L.P. By: Co-Invest Capital Partners, Inc. Title: General Partner By: /s/ Brian Adamsky Name: Brian Adamsky Title: Chief Financial Officer and Treasurer CO-INVEST CAPITAL PARTNERS, INC. /s/ Brian Adamsky Name: Brian Adamsky Title: Chief Financial Officer and Treasurer THE CO-INVESTMENT FUND II, L.P. By: Co-Invest Management II, L.P. Title: General Partner By: Co-Invest Capital Partners II, Inc. Title: General Partner |
| By: /s/ Brian Adamsky Name: Brian Adamsky Title: Chief Financial Officer and Treasurer |
| CO-INVEST MANAGEMENT II, L.P.
By: Co-Invest Capital Partners II, Inc. Title: General Partner
By: /s/ Brian Adamsky Name: Brian Adamsky Title: Chief Financial Officer and Treasurer CO-INVEST CAPITAL PARTNERS II, INC. /s/ Brian Adamsky Name: Brian Adamsky Title: Chief Financial Officer and Treasurer
/s/ Donald R. Caldwell Donald R. Caldwell |