Filing Details

Accession Number:
0001019056-18-000279
Form Type:
4
Zero Holdings:
No
Publication Time:
2018-02-06 09:41:36
Reporting Period:
2018-02-05
Accepted Time:
2018-02-06 09:41:36
SEC Url:
Form 4 Filing
Issuer
Cik Name Symbol Sector (SIC) IRS No
1441693 Marrone Bio Innovations Inc MBII () DE
Insiders
Cik Name Reported Address Insider Title Director Officer Large Shareholder Other
836048 Ardsley Partners Fund Ii, L.p. 262 Harbor Drive
Stamford CT 06902
No No Yes No
900529 Partners Advisory Ardsley 262 Harbor Drive
Stamford CT 06902
No No Yes Yes
1025710 J Philip Hempleman 262 Harbor Drive
Stamford CT 06902
No No Yes No
1485583 Ardsley Partners Renewable Energy Fund, L.p. 262 Harbor Drive
Stamford CT 06902
No No Yes No
1504218 I Partners Ardsley 262 Harbor Drive
Stamford CT 06902
No No Yes No
1667426 Ardsley Partners Advanced Healthcare Fund, L.p. 262 Harbor Drive
Stamford CT 06902
No No Yes No
1675562 Ardsley Duckdive Fund, L.p. 262 Harbor Drive
Stamford CT 06902
No No Yes No
Reported Non-Derivative Transactions
Sec. Name Acquisiton - Disposition Date Amount Price Remaning Holdings Equity Swap Involved Form Type Code Nature of Ownership Explanation
Common Stock Acquisiton 2018-02-05 6,666,667 $0.75 10,348,247 No 4 P Indirect See Footnotes
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 P Indirect See Footnotes
Reported Derivative Transactions
Sec. Name Sec. Type Acquisiton - Disposition Date Amount Price Amount - 2 Price - 2
Common Stock Warrant Acquisiton 2018-02-05 5,333,333 $0.75 5,333,333 $1.00
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
5,333,333 2018-02-05 2020-12-31 No 4 P Indirect
Footnotes
  1. This Form 4 is being filed by Ardsley Advisory Partners (the "Advisor") on behalf of itself and Ardsley Partners I (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 General Partner, the Renewable Energy Fund, the Advanced Healthcare Fund, the Fund II and the Duckdive Fund, the "Reporting Persons"). The General Partner serves as general partner to the Renewable Energy Fund, the Advanced Healthcare Fund and the Fund II. Hempleman is the Managing Partner of the Advisor and the General Partner and serves as the general partner to the Duckdive Fund.
  2. This Form 4 is being filed as a result of a securities purchase agreement between the Issuer and the Renewable Energy Fund in which the Renewable Energy Fund acquired 6,666,667 shares of the common stock of the Issuer and 5,333,333 warrants convertible into shares of common stock of the issuer. 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 General Partner, the Advisor and Hempleman, 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 General Partner and the Advisor are the beneficial owner of such securities for purposes of Section 16 or for any other purposes. Footnote (2) continued in Footnote (3).
  3. Footnote (3) continued from Footnote (2). Hempleman is the Managing Partner of the General Partner and the Advisor and serves as the general partner to the Duckdive Fund and 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 Hempleman is the beneficial owner of such securities for purposes of Section 16 or for any other purposes.