4//SEC Filing
Ardsley Partners Fund II, L.P. 4
Accession 0001019056-21-000595
CIK 0001441693other
Filed
Nov 14, 7:00 PM ET
Accepted
Nov 15, 4:28 PM ET
Size
30.2 KB
Accession
0001019056-21-000595
Insider Transaction Report
Form 4
ARDSLEY ADVISORY PARTNERS
10% Owner
Transactions
- Exercise of In-Money
Warrant
2021-11-11$0.75/sh−618,014$463,511→ 0 total(indirect: See footnotes)Exercise: $0.75From: 2021-11-11Exp: 2021-12-15→ Common Stock (618,014 underlying) - Exercise of In-Money
Common Stock
2021-11-11$0.75/sh+618,014$463,511→ 18,335,767 total(indirect: See footnotes)
Transactions
- Exercise of In-Money
Common Stock
2021-11-11$0.75/sh+618,014$463,511→ 18,335,767 total(indirect: See footnotes) - Exercise of In-Money
Warrant
2021-11-11$0.75/sh−618,014$463,511→ 0 total(indirect: See footnotes)Exercise: $0.75From: 2021-11-11Exp: 2021-12-15→ Common Stock (618,014 underlying)
Transactions
- Exercise of In-Money
Common Stock
2021-11-11$0.75/sh+618,014$463,511→ 18,335,767 total(indirect: See footnotes) - Exercise of In-Money
Warrant
2021-11-11$0.75/sh−618,014$463,511→ 0 total(indirect: See footnotes)Exercise: $0.75From: 2021-11-11Exp: 2021-12-15→ Common Stock (618,014 underlying)
Ardsley Partners Fund II, L.P.
10% Owner
Transactions
- Exercise of In-Money
Common Stock
2021-11-11$0.75/sh+618,014$463,511→ 18,335,767 total(indirect: See footnotes) - Exercise of In-Money
Warrant
2021-11-11$0.75/sh−618,014$463,511→ 0 total(indirect: See footnotes)Exercise: $0.75From: 2021-11-11Exp: 2021-12-15→ Common Stock (618,014 underlying)
Transactions
- Exercise of In-Money
Common Stock
2021-11-11$0.75/sh+618,014$463,511→ 18,335,767 total(indirect: See footnotes) - Exercise of In-Money
Warrant
2021-11-11$0.75/sh−618,014$463,511→ 0 total(indirect: See footnotes)Exercise: $0.75From: 2021-11-11Exp: 2021-12-15→ Common Stock (618,014 underlying)
HEMPLEMAN PHILIP J
10% Owner
Transactions
- Exercise of In-Money
Common Stock
2021-11-11$0.75/sh+618,014$463,511→ 18,335,767 total(indirect: See footnotes) - Exercise of In-Money
Warrant
2021-11-11$0.75/sh−618,014$463,511→ 0 total(indirect: See footnotes)Exercise: $0.75From: 2021-11-11Exp: 2021-12-15→ Common Stock (618,014 underlying)
ARDSLEY PARTNERS I LP
10% Owner
Transactions
- Exercise of In-Money
Common Stock
2021-11-11$0.75/sh+618,014$463,511→ 18,335,767 total(indirect: See footnotes) - Exercise of In-Money
Warrant
2021-11-11$0.75/sh−618,014$463,511→ 0 total(indirect: See footnotes)Exercise: $0.75From: 2021-11-11Exp: 2021-12-15→ Common Stock (618,014 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"). 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.
- [F2]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.
- [F3]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
Issuer
MARRONE BIO INNOVATIONS INC
CIK 0001441693
Entity typeother
IncorporatedDE
Related Parties
1- filerCIK 0000836048
Filing Metadata
- Form type
- 4
- Filed
- Nov 14, 7:00 PM ET
- Accepted
- Nov 15, 4:28 PM ET
- Size
- 30.2 KB