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Ardsley Partners Fund II, L.P. 4

Accession 0001019056-21-000192

CIK 0001441693other

View on SEC.gov Company Profile

Filed

Mar 14, 8:00 PM ET

Accepted

Mar 15, 2:06 PM ET

Size

29.6 KB

Accession

0001019056-21-000192

Insider Transaction Report

Form 4

Period: 2021-03-12

MARRONE BIO INNOVATIONS INCMBII

ARDSLEY ADVISORY PARTNERS

10% Owner

Transactions

Exercise of In-Money
Common Stock
2021-03-12$0.75/sh+741,617$556,213→ 16,692,753 total(indirect: See Footnotes)
Exercise of In-Money
Warrant
2021-03-12$0.75/sh−741,617$556,213→ 618,014 total(indirect: See Footnotes)
Exercise: $0.75From: 2021-03-12Exp: 2021-03-15→ Common Stock (741,617 underlying)

Ardsley Advisory Partners GP LLC

Other

Transactions

Exercise of In-Money
Common Stock
2021-03-12$0.75/sh+741,617$556,213→ 16,692,753 total(indirect: See Footnotes)
Exercise of In-Money
Warrant
2021-03-12$0.75/sh−741,617$556,213→ 618,014 total(indirect: See Footnotes)
Exercise: $0.75From: 2021-03-12Exp: 2021-03-15→ Common Stock (741,617 underlying)

ARDSLEY PARTNERS I LP

10% Owner

Transactions

Exercise of In-Money
Common Stock
2021-03-12$0.75/sh+741,617$556,213→ 16,692,753 total(indirect: See Footnotes)
Exercise of In-Money
Warrant
2021-03-12$0.75/sh−741,617$556,213→ 618,014 total(indirect: See Footnotes)
Exercise: $0.75From: 2021-03-12Exp: 2021-03-15→ Common Stock (741,617 underlying)

HEMPLEMAN PHILIP J

10% Owner

Transactions

Exercise of In-Money
Common Stock
2021-03-12$0.75/sh+741,617$556,213→ 16,692,753 total(indirect: See Footnotes)
Exercise of In-Money
Warrant
2021-03-12$0.75/sh−741,617$556,213→ 618,014 total(indirect: See Footnotes)
Exercise: $0.75From: 2021-03-12Exp: 2021-03-15→ Common Stock (741,617 underlying)

Ardsley Partners Renewable Energy Fund, L.P.

10% Owner

Transactions

Exercise of In-Money
Common Stock
2021-03-12$0.75/sh+741,617$556,213→ 16,692,753 total(indirect: See Footnotes)
Exercise of In-Money
Warrant
2021-03-12$0.75/sh−741,617$556,213→ 618,014 total(indirect: See Footnotes)
Exercise: $0.75From: 2021-03-12Exp: 2021-03-15→ Common Stock (741,617 underlying)

Ardsley Partners Fund II, L.P.

10% Owner

Transactions

Exercise of In-Money
Common Stock
2021-03-12$0.75/sh+741,617$556,213→ 16,692,753 total(indirect: See Footnotes)
Exercise of In-Money
Warrant
2021-03-12$0.75/sh−741,617$556,213→ 618,014 total(indirect: See Footnotes)
Exercise: $0.75From: 2021-03-12Exp: 2021-03-15→ Common Stock (741,617 underlying)

Ardsley Partners Advanced Healthcare Fund, L.P.

10% Owner

Transactions

Exercise of In-Money
Common Stock
2021-03-12$0.75/sh+741,617$556,213→ 16,692,753 total(indirect: See Footnotes)
Exercise of In-Money
Warrant
2021-03-12$0.75/sh−741,617$556,213→ 618,014 total(indirect: See Footnotes)
Exercise: $0.75From: 2021-03-12Exp: 2021-03-15→ Common Stock (741,617 underlying)

Footnotes (3)

[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"), 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, and the Fund II, 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.
[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.

Documents

2 files

Issuer

MARRONE BIO INNOVATIONS INC

CIK 0001441693

→

Entity typeother

IncorporatedDE

Related Parties

filerCIK 0000836048

Filing Metadata

Form type: 4
Filed: Mar 14, 8:00 PM ET
Accepted: Mar 15, 2:06 PM ET
Size: 29.6 KB

View on SEC.gov