4//SEC Filing
Ardsley Healthcare Fund, L.P. 4
Accession 0001019056-19-000462
CIK 0001441693other
Filed
Aug 8, 8:00 PM ET
Accepted
Aug 9, 11:58 AM ET
Size
29.0 KB
Accession
0001019056-19-000462
Insider Transaction Report
Form 4
HEMPLEMAN PHILIP J
10% Owner
Holdings
- 5,333,333(indirect: Footnotes)
Warrant
Exercise: $1.00From: 2018-02-05Exp: 2021-12-31→ Common Stock (5,333,333 underlying)
Ardsley Duckdive Fund, L.P.
10% Owner
Holdings
- 5,333,333(indirect: Footnotes)
Warrant
Exercise: $1.00From: 2018-02-05Exp: 2021-12-31→ Common Stock (5,333,333 underlying)
Holdings
- 5,333,333(indirect: Footnotes)
Warrant
Exercise: $1.00From: 2018-02-05Exp: 2021-12-31→ Common Stock (5,333,333 underlying)
ARDSLEY PARTNERS I LP
10% Owner
Holdings
- 5,333,333(indirect: Footnotes)
Warrant
Exercise: $1.00From: 2018-02-05Exp: 2021-12-31→ Common Stock (5,333,333 underlying)
Ardsley Partners Fund II, L.P.
10% Owner
Holdings
- 5,333,333(indirect: Footnotes)
Warrant
Exercise: $1.00From: 2018-02-05Exp: 2021-12-31→ Common Stock (5,333,333 underlying)
ARDSLEY ADVISORY PARTNERS
10% Owner
Holdings
- 5,333,333(indirect: Footnotes)
Warrant
Exercise: $1.00From: 2018-02-05Exp: 2021-12-31→ Common Stock (5,333,333 underlying)
Holdings
- 5,333,333(indirect: Footnotes)
Warrant
Exercise: $1.00From: 2018-02-05Exp: 2021-12-31→ Common Stock (5,333,333 underlying)
Holdings
- 5,333,333(indirect: Footnotes)
Warrant
Exercise: $1.00From: 2018-02-05Exp: 2021-12-31→ Common Stock (5,333,333 underlying)
Footnotes (3)
- [F1]This Form 4 is being filed by Ardsley Advisory Partners, LP (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 Member of the Advisor and the General Partner and serves as the general partner to the Duckdive Fund.
- [F2]This Form 4 is being filed as a result of an extension of the warrants to purchase common stock of the Issuer (the "Warrants") pursuant to that certain Warrant Amendment and Plan of Reorganization dated as of August 6, 2019, among the Issuer, the Renewable Energy Fund and certain parties thereto, in which the parties have agreed to extend the expiration date under the Warrants from December 31, 2020 to December 31, 2021. 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 Advisor, General Partner, Hempleman, the Advanced Healthcare Fund, the Fund II and the Duckdive Fund, 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,
- [F3](Continued From Footnote 2) 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.Hempleman is a managing member of the Advisor and the General Partner 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.
Documents
Issuer
MARRONE BIO INNOVATIONS INC
CIK 0001441693
Entity typeother
IncorporatedDE
Related Parties
1- filerCIK 0001759258
Filing Metadata
- Form type
- 4
- Filed
- Aug 8, 8:00 PM ET
- Accepted
- Aug 9, 11:58 AM ET
- Size
- 29.0 KB