UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

 

SCHEDULE 13G

 

Under the Securities Exchange Act of 1934

 

(Amendment No. 1)*

 

AMBER ROAD, INC.

 

(Name of Issuer)

 

Common Stock, $0.001 par value per share 

 

(Title of Class of Securities)

 

02318Y108

 

(CUSIP Number)

 

December 31, 2016 

 

(Date of Event Which Requires Filing of this Statement)

 

Check the appropriate box to designate the rule pursuant to which this Schedule is filed:

 

a.    ☐  Rule 13d-1(b)

b.    ☐  Rule 13d-1(c)

c.    ☒  Rule 13d-1(d)

 

*The remainder of this cover page shall be filled out for a reporting person’s initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter the disclosures provided in a prior cover page.

 

The information required in the remainder of this cover page shall not be deemed to be “filed” for the purpose of Section 18 of the Securities Exchange Act of 1934 (“Act”) or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act (however, see the Notes).

 

 

 

 

 

 

CUSIP No.  02318Y108                                

 

1.

Names of Reporting Persons.

I.R.S. Identification Nos. of above persons (entities only)

 

Cross Atlantic Capital Partners II, Inc.

2.

Check the Appropriate Box if a Member of a Group (See Instructions)

 

  (a) ☐

  (b) ☒

3.

SEC Use Only

 

4.

Citizenship or Place of Organization

 

Delaware

Number of

Shares Beneficially

Owned by Each

Reporting

Person With:

5.

Sole Voting Power                                                                

 

0

6.

Shared Voting Power

 

0

7.

Sole Dispositive Power

 

0

8.

Shared Dispositive Power

 

0

9.

Aggregate Amount Beneficially Owned by Each Reporting Person 

 

0

10.

Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions)

 

¨
11.

Percent of Class Represented by Amount in Row (9) 

 

0%

12.

Type of Reporting Person (See Instructions)

 

CO

  

 - 2 - 

 

 

CUSIP No.  02318Y108                                

 

1.

Names of Reporting Persons.

I.R.S. Identification Nos. of above persons (entities only)

 

XATF Management II, L.P.

2.

Check the Appropriate Box if a Member of a Group (See Instructions)

 

  (a) ☐

  (b) ☒

3.

SEC Use Only

 

4.

Citizenship or Place of Organization

 

Delaware

Number of

Shares Beneficially

Owned by Each

Reporting

Person With:

5.

Sole Voting Power

 

0

6.

Shared Voting Power

 

0

7.

Sole Dispositive Power

 

0

8.

Shared Dispositive Power

 

0

9.

Aggregate Amount Beneficially Owned by Each Reporting Person 

 

0

10.

Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions)

 

11.

Percent of Class Represented by Amount in Row (9) 

 

0%

12.

Type of Reporting Person (See Instructions)

 

PN

 

 - 3 - 

 

 

CUSIP No.  02318Y108                                

 

1.

Names of Reporting Persons.

I.R.S. Identification Nos. of above persons (entities only)

 

Cross Atlantic Technology Fund II, L.P.

2.

Check the Appropriate Box if a Member of a Group (See Instructions)

 

  (a) ☐

  (b) ☒

3.

SEC Use Only

 

4.

Citizenship or Place of Organization

 

Delaware

Number of

Shares Beneficially

Owned by Each

Reporting

Person With:

5.

Sole Voting Power                                                                

 

0

6.

Shared Voting Power

 

0

7.

Sole Dispositive Power

 

0

8.

Shared Dispositive Power

 

0

9.

Aggregate Amount Beneficially Owned by Each Reporting Person 

 

0

10.

Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions)

 

11.

Percent of Class Represented by Amount in Row (9) 

 

0%

12.

Type of Reporting Person (See Instructions)

 

PN

 

 - 4 - 

 

 

CUSIP No.  02318Y108                                

 

1.

Names of Reporting Persons.

I.R.S. Identification Nos. of above persons (entities only)

 

Co-Invest Capital Partners, Inc.

2.

Check the Appropriate Box if a Member of a Group (See Instructions)

 

  (a) ☐

  (b) ☒

3.

SEC Use Only

 

4.

Citizenship or Place of Organization

 

Delaware

Number of

Shares Beneficially

Owned by Each

Reporting

Person With:

5.

Sole Voting Power                                                                

 

0

6.

Shared Voting Power

 

1,992,898

7.

Sole Dispositive Power

 

0

8.

Shared Dispositive Power

 

1,992,898

9.

Aggregate Amount Beneficially Owned by Each Reporting Person 

 

1,992,898

10.

Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions)

 

11.

Percent of Class Represented by Amount in Row (9) 

 

7.4%

12.

Type of Reporting Person (See Instructions)

 

CO

 

 - 5 - 

 

 

CUSIP No.  02318Y108                                

 

1.

Names of Reporting Persons.

I.R.S. Identification Nos. of above persons (entities only)

 

Co-Invest Management, L.P.

2.

Check the Appropriate Box if a Member of a Group (See Instructions)

 

  (a) ☐

  (b) ☒

3.

SEC Use Only

 

4.

Citizenship or Place of Organization

 

Delaware

Number of

Shares Beneficially

Owned by Each

Reporting

Person With:

5.

Sole Voting Power                                                                

 

0

6.

Shared Voting Power

 

1,992,898

7.

Sole Dispositive Power

 

0

8.

Shared Dispositive Power

 

1,992,898

9.

Aggregate Amount Beneficially Owned by Each Reporting Person 

 

1,992,898

10.

Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions)

 

11.

Percent of Class Represented by Amount in Row (9) 

 

7.4%

12.

Type of Reporting Person (See Instructions)

 

PN

 

 - 6 - 

 

  

CUSIP No.  02318Y108                                

 

1.

Names of Reporting Persons.

I.R.S. Identification Nos. of above persons (entities only)

 

The Co-Investment 2000 Fund, L.P.

2.

Check the Appropriate Box if a Member of a Group (See Instructions)

 

  (a) ☐

  (b) ☒

3.

SEC Use Only

 

4.

Citizenship or Place of Organization

 

Delaware

Number of

Shares Beneficially

Owned by Each

Reporting

Person With:

5.

Sole Voting Power                                                                

 

0

6.

Shared Voting Power

 

1,992,898

7.

Sole Dispositive Power

 

0

8.

Shared Dispositive Power

 

1,992,898

9.

Aggregate Amount Beneficially Owned by Each Reporting Person 

 

1,992,898

10.

Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions)

 

11.

Percent of Class Represented by Amount in Row (9) 

 

7.4%

12.

Type of Reporting Person (See Instructions)

 

PN

 

 - 7 - 

 

  

CUSIP No.  02318Y108                                

 

1.

Names of Reporting Persons.

I.R.S. Identification Nos. of above persons (entities only)

 

Co-Invest Capital Partners II, Inc.

2.

Check the Appropriate Box if a Member of a Group (See Instructions)

 

  (a) ☐

  (b) ☒

3.

SEC Use Only

 

4.

Citizenship or Place of Organization

 

Delaware

Number of

Shares Beneficially

Owned by Each

Reporting

Person With:

5.

Sole Voting Power                                                                

 

0

6.

Shared Voting Power

 

1,610,880

7.

Sole Dispositive Power

 

0

8.

Shared Dispositive Power

 

1,610,880

9.

Aggregate Amount Beneficially Owned by Each Reporting Person 

 

1,610,880

10.

Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions)

 

11.

Percent of Class Represented by Amount in Row (9) 

 

6.0%

12.

Type of Reporting Person (See Instructions)

 

CO

 

 - 8 - 

 

CUSIP No.  02318Y108          

 

1.

Names of Reporting Persons.

I.R.S. Identification Nos. of above persons (entities only)

 

Co-Invest Management II, L.P.

2.

Check the Appropriate Box if a Member of a Group (See Instructions)

 

  (a) ☐

  (b) ☒

3.

SEC Use Only

 

4.

Citizenship or Place of Organization

 

Delaware

Number of

Shares Beneficially

Owned by Each

Reporting

Person With:

5.

Sole Voting Power                                                                

 

0

6.

Shared Voting Power

 

1,610,880

7.

Sole Dispositive Power

 

0

8.

Shared Dispositive Power

 

1,610,880

9.

Aggregate Amount Beneficially Owned by Each Reporting Person 

 

1,610,880

10.

Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions)

 

11.

Percent of Class Represented by Amount in Row (9) 

 

6.0%

12.

Type of Reporting Person (See Instructions)

 

PN

 

 - 9 - 

 

 

CUSIP No.  02318Y108                                

 

1.

Names of Reporting Persons.

I.R.S. Identification Nos. of above persons (entities only)

 

The Co-Investment Fund II, L.P.

2.

Check the Appropriate Box if a Member of a Group (See Instructions)

 

  (a) ☐

  (b) ☒

3.

SEC Use Only

 

4.

Citizenship or Place of Organization

 

Delaware

Number of

Shares Beneficially

Owned by Each

Reporting

Person With:

5.

Sole Voting Power                                                                

 

0

6.

Shared Voting Power

 

1,610,880

7.

Sole Dispositive Power

 

0

8.

Shared Dispositive Power

 

1,610,880

9.

Aggregate Amount Beneficially Owned by Each Reporting Person 

 

1,610,880

10.

Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions)

 

11.

Percent of Class Represented by Amount in Row (9) 

 

6.0%

12.

Type of Reporting Person (See Instructions)

 

PN

 

 - 10 - 

 

CUSIP No.  02318Y108                                

 

1.

Names of Reporting Persons.

I.R.S. Identification Nos. of above persons (entities only)

 

Donald R. Caldwell

2.

Check the Appropriate Box if a Member of a Group (See Instructions)

 

  (a) ☐

  (b) ☒

3.

SEC Use Only

 

4.

Citizenship or Place of Organization

 

United States

Number of

Shares Beneficially

Owned by Each

Reporting

Person With:

5.

Sole Voting Power                                                                

 

0

6.

Shared Voting Power

 

3,628,898

7.

Sole Dispositive Power

 

0

8.

Shared Dispositive Power

 

3,628,898

9.

Aggregate Amount Beneficially Owned by Each Reporting Person 

 

3,628,898

10.

Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions)

 

11.

Percent of Class Represented by Amount in Row (9) 

 

13.5%

12.

Type of Reporting Person (See Instructions)

 

IN

 

 - 11 - 

 

 

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”)

150 Radnor Chester Road #A225

Radnor, Pennsylvania 19087

Citizenship: Delaware

 

XATF Management II, L.P. (“XATF”)

c/o Cross Atlantic Capital Partners, Inc.

150 Radnor Chester Road #A225

Radnor, Pennsylvania 19087

Citizenship: Delaware

 

Cross Atlantic Technology Fund II, L.P. (“Fund II”)

c/o Cross Atlantic Capital Partners, Inc.

150 Radnor Chester Road #A225

Radnor, Pennsylvania 19087

Citizenship: Delaware

 

Co-Invest Capital Partners, Inc. (“Co-Invest Capital”)

c/o Cross Atlantic Capital Partners, Inc.

150 Radnor Chester Road #A225

Radnor, Pennsylvania 19087

Citizenship: Delaware

 

Co-Invest Management, L.P. (“Co-Invest Management”)

c/o Cross Atlantic Capital Partners, Inc.

150 Radnor Chester Road #A225

Radnor, Pennsylvania 19087

Citizenship: Delaware

 

 - 12 - 

 

 

The Co-Investment 2000 Fund, L.P. (“2000 Fund”)

c/o Cross Atlantic Capital Partners, Inc.

150 Radnor Chester Road #A225

Radnor, Pennsylvania 19087

Citizenship: Delaware

 

Co-Invest Capital Partners II, Inc. (“Co-Invest Capital II”)

c/o Cross Atlantic Capital Partners, Inc.

150 Radnor Chester Road #A225

Radnor, Pennsylvania 19087

Citizenship: Delaware

 

Co-Invest Management II, L.P. (“Co-Invest Management II”)

c/o Cross Atlantic Capital Partners, Inc.

150 Radnor Chester Road #A225

Radnor, Pennsylvania 19087

Citizenship: Delaware

 

The Co-Investment Fund II, L.P. (“Co-Investment Fund”)

c/o Cross Atlantic Capital Partners, Inc.

150 Radnor Chester Road #A225

Radnor, Pennsylvania 19087

Citizenship: Delaware

 

Donald R. Caldwell (“Mr. Caldwell”)

c/o Cross Atlantic Capital Partners, Inc.

150 Radnor Chester Road #A225

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.

 

Item 4. Ownership.

 

(a)  Amount beneficially owned:

 

As of December 31, 2016, (i) Fund II no longer held of record any 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.

 

 - 13 - 

 

 

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 3,628,898 shares of Common Stock as sole owner of 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 10, 2016, in which the Issuer stated that the number of shares of Common Stock outstanding as of October 31, 2016 was 26,819,429 shares, (i) 2000 Fund, Co-Invest Management and Co-Invest Capital may be deemed to beneficially own 7.4% 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 6.0% of the outstanding shares of Common Stock, and (iv) Mr. Caldwell may be deemed to beneficially own 13.5% 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.

 

 - 14 - 

 

  

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.

 

 - 15 - 

 

 

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 13, 2017

 

  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/ Donald R. Caldwell
  Name: Donald R. Caldwell
  Title: Chairman and CEO
     
  XATF Management II, L.P.
     
  By: Cross Atlantic Capital Partners II, Inc.
  Title: General Partner
     
  By: /s/ Donald R. Caldwell
  Name: Donald R. Caldwell
  Title: Chairman and CEO
     
  CROSS ATLANTIC CAPITAL PARTNERS II, INC.
     
  By: /s/ Donald R. Caldwell
  Name: Donald R. Caldwell
  Title: Chairman and CEO
     
  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/ Donald R. Caldwell
  Name: Donald R. Caldwell
  Title: Chairman and CEO

 

 - 16 - 

 

 

  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/ Donald R. Caldwell
  Name: Donald R. Caldwell
  Title: Chairman and CEO
     
  CO-INVEST MANAGEMENT II, L.P.
     
  By: Co-Invest Capital Partners II, Inc.
  Title: General Partner
     
  By: /s/ Donald R. Caldwell
  Name: Donald R. Caldwell
  Title: Chairman and CEO 
     
  CO-INVEST CAPITAL PARTNERS II, INC.
     
  By: /s/ Donald R. Caldwell
  Name: Donald R. Caldwell
  Title: Chairman and CEO 
     
  /s/ Donald R. Caldwell
  Donald R. Caldwell

 

 - 17 - 

 

 

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

 

 - 18 - 

 

 

  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

 

 

 

 - 19 -