Home/Filings/4/0001019056-20-000501

4//SEC Filing

ARDSLEY ADVISORY PARTNERS LP 4

Accession 0001019056-20-000501

CIK 0001441693other

View on SEC.gov Company Profile

Filed

Sep 16, 8:00 PM ET

Accepted

Sep 17, 3:44 PM ET

Size

33.0 KB

Accession

0001019056-20-000501

Insider Transaction Report

Form 4

Period: 2020-09-15

MARRONE BIO INNOVATIONS INCMBII

Ardsley Partners Renewable Energy Fund, L.P.

10% Owner

Transactions

Exercise/Conversion
Common Stock
2020-09-15+343,341→ 14,303,099 total(indirect: See Footnotes)
Exercise/Conversion
Warrant
2020-09-15$0.75/sh−343,341$257,506→ 3,007,668 total(indirect: See Footnotes)
Exercise: $0.75From: 2020-04-29Exp: 2020-09-15→ Common Stock (343,341 underlying)

ARDSLEY PARTNERS I LP

10% Owner

Transactions

Exercise/Conversion
Common Stock
2020-09-15+343,341→ 14,303,099 total(indirect: See Footnotes)
Exercise/Conversion
Warrant
2020-09-15$0.75/sh−343,341$257,506→ 3,007,668 total(indirect: See Footnotes)
Exercise: $0.75From: 2020-04-29Exp: 2020-09-15→ Common Stock (343,341 underlying)

HEMPLEMAN PHILIP J

10% Owner

Transactions

Exercise/Conversion
Warrant
2020-09-15$0.75/sh−343,341$257,506→ 3,007,668 total(indirect: See Footnotes)
Exercise: $0.75From: 2020-04-29Exp: 2020-09-15→ Common Stock (343,341 underlying)
Exercise/Conversion
Common Stock
2020-09-15+343,341→ 14,303,099 total(indirect: See Footnotes)

Ardsley Partners Advanced Healthcare Fund, L.P.

10% Owner

Transactions

Exercise/Conversion
Warrant
2020-09-15$0.75/sh−343,341$257,506→ 3,007,668 total(indirect: See Footnotes)
Exercise: $0.75From: 2020-04-29Exp: 2020-09-15→ Common Stock (343,341 underlying)
Exercise/Conversion
Common Stock
2020-09-15+343,341→ 14,303,099 total(indirect: See Footnotes)

ARDSLEY ADVISORY PARTNERS

10% Owner

Transactions

Exercise/Conversion
Common Stock
2020-09-15+343,341→ 14,303,099 total(indirect: See Footnotes)
Exercise/Conversion
Warrant
2020-09-15$0.75/sh−343,341$257,506→ 3,007,668 total(indirect: See Footnotes)
Exercise: $0.75From: 2020-04-29Exp: 2020-09-15→ Common Stock (343,341 underlying)

Ardsley Advisory Partners GP LLC

Other

Transactions

Exercise/Conversion
Common Stock
2020-09-15+343,341→ 14,303,099 total(indirect: See Footnotes)
Exercise/Conversion
Warrant
2020-09-15$0.75/sh−343,341$257,506→ 3,007,668 total(indirect: See Footnotes)
Exercise: $0.75From: 2020-04-29Exp: 2020-09-15→ Common Stock (343,341 underlying)

Ardsley Duckdive Fund, L.P.

10% Owner

Transactions

Exercise/Conversion
Warrant
2020-09-15$0.75/sh−343,341$257,506→ 3,007,668 total(indirect: See Footnotes)
Exercise: $0.75From: 2020-04-29Exp: 2020-09-15→ Common Stock (343,341 underlying)
Exercise/Conversion
Common Stock
2020-09-15+343,341→ 14,303,099 total(indirect: See Footnotes)

Ardsley Partners Fund II, L.P.

10% Owner

Transactions

Exercise/Conversion
Common Stock
2020-09-15+343,341→ 14,303,099 total(indirect: See Footnotes)
Exercise/Conversion
Warrant
2020-09-15$0.75/sh−343,341$257,506→ 3,007,668 total(indirect: See Footnotes)
Exercise: $0.75From: 2020-04-29Exp: 2020-09-15→ Common Stock (343,341 underlying)

Footnotes (4)

[F1]This Form 4 is being filed by Ardsley Advisory Partners LP (the "Advisor") on behalf of itself and Ardsley Advisory Partners GP LLC (the "Advisor General Partner"), Ardsley Partners I GP LLC (the "General Partner"), Ardsley Partners Renewable Energy Fund, L.P. (the "Renewable Energy Fund"), Ardsley Partners Advanced Healthcare Fund, L.P. (the "Advanced Healthcare Fund"), Ardsley Partners Fund II, L.P. (the "Fund II"), Ardsley Duckdive Fund, L.P. (the "Duckdive Fund"), and Philip J. Hempleman ("Hempleman" and, together with the Advisor, the Advisor General Partner, the General Partner, the Renewable Energy Fund, the Advanced Healthcare Fund, the Fund II, and the Duckdive Fund, the "Reporting Persons").
[F2](Footnote 1 continued). The Advisor General Partner serves as general partner to the Advisor. The General Partner serves as general partner to the Renewable Energy Fund, the Advanced Healthcare Fund, and the Fund II. Hempleman services as managing member to the Advisor, the Advisor General Partner, and the General Partner, and serves as the general partner to the Duckdive Fund.
[F3]The amounts set forth in Table I reflect the shares of Common Stock acquired by the Renewable Energy Fund upon exercise of the Warrants requiring the filing of this statement. In accordance with Instruction 4(b)(iv) of Form 4, the entire amount of the Issuer's securities held by the Reporting Persons is reported herein. Each of the Reporting Persons disclaims, for purposes of Section 16 of the Securities Exchange Act of 1934, beneficial ownership of such securities, except to the extent of his/its indirect pecuniary interest therein, and this report shall not be deemed an admission that either the Advisor, the Advisor General Partner, the General Partner, or Hempleman are the beneficial owner of such securities for purposes of Section 16 or for any other purposes.
[F4]In accordance with Instruction 4(b)(iv) of Form 4, the entire amount of the Issuer's securities held by the Reporting Persons is reported herein. Each of the Reporting Persons disclaims, for purposes of Section 16 of the Securities Exchange Act of 1934, beneficial ownership of such securities, except to the extent of his/its indirect pecuniary interest therein, and this report shall not be deemed an admission that either the Advisor, the Advisor General Partner, the General Partner, or Hempleman are the beneficial owner of such securities for purposes of Section 16 or for any other purposes.

Documents

2 files

Issuer

MARRONE BIO INNOVATIONS INC

CIK 0001441693

→

Entity typeother

IncorporatedNY

Related Parties

filerCIK 0000900529

Filing Metadata

Form type: 4
Filed: Sep 16, 8:00 PM ET
Accepted: Sep 17, 3:44 PM ET
Size: 33.0 KB

View on SEC.gov