4//SEC Filing
ARDSLEY ADVISORY PARTNERS LP 4
Accession 0001019056-20-000634
CIK 0001441693other
Filed
Dec 13, 7:00 PM ET
Accepted
Dec 14, 5:07 PM ET
Size
33.2 KB
Accession
0001019056-20-000634
Insider Transaction Report
Form 4
Transactions
- Exercise of In-Money
Warrant
2020-12-14$0.75/sh−1,648,037$1,236,028→ 1,359,631 total(indirect: See Footnotes)Exercise: $0.75From: 2020-04-29Exp: 2020-12-15→ Common Stock (1,648,037 underlying) - Exercise of In-Money
Common Stock
2020-12-14$0.75/sh+1,648,037$1,236,028→ 15,951,136 total(indirect: See Footnotes)
ARDSLEY ADVISORY PARTNERS
10% Owner
Transactions
- Exercise of In-Money
Warrant
2020-12-14$0.75/sh−1,648,037$1,236,028→ 1,359,631 total(indirect: See Footnotes)Exercise: $0.75From: 2020-04-29Exp: 2020-12-15→ Common Stock (1,648,037 underlying) - Exercise of In-Money
Common Stock
2020-12-14$0.75/sh+1,648,037$1,236,028→ 15,951,136 total(indirect: See Footnotes)
ARDSLEY PARTNERS I LP
10% Owner
Transactions
- Exercise of In-Money
Warrant
2020-12-14$0.75/sh−1,648,037$1,236,028→ 1,359,631 total(indirect: See Footnotes)Exercise: $0.75From: 2020-04-29Exp: 2020-12-15→ Common Stock (1,648,037 underlying) - Exercise of In-Money
Common Stock
2020-12-14$0.75/sh+1,648,037$1,236,028→ 15,951,136 total(indirect: See Footnotes)
HEMPLEMAN PHILIP J
10% Owner
Transactions
- Exercise of In-Money
Common Stock
2020-12-14$0.75/sh+1,648,037$1,236,028→ 15,951,136 total(indirect: See Footnotes) - Exercise of In-Money
Warrant
2020-12-14$0.75/sh−1,648,037$1,236,028→ 1,359,631 total(indirect: See Footnotes)Exercise: $0.75From: 2020-04-29Exp: 2020-12-15→ Common Stock (1,648,037 underlying)
Ardsley Duckdive Fund, L.P.
10% Owner
Transactions
- Exercise of In-Money
Warrant
2020-12-14$0.75/sh−1,648,037$1,236,028→ 1,359,631 total(indirect: See Footnotes)Exercise: $0.75From: 2020-04-29Exp: 2020-12-15→ Common Stock (1,648,037 underlying) - Exercise of In-Money
Common Stock
2020-12-14$0.75/sh+1,648,037$1,236,028→ 15,951,136 total(indirect: See Footnotes)
Ardsley Partners Fund II, L.P.
10% Owner
Transactions
- Exercise of In-Money
Common Stock
2020-12-14$0.75/sh+1,648,037$1,236,028→ 15,951,136 total(indirect: See Footnotes) - Exercise of In-Money
Warrant
2020-12-14$0.75/sh−1,648,037$1,236,028→ 1,359,631 total(indirect: See Footnotes)Exercise: $0.75From: 2020-04-29Exp: 2020-12-15→ Common Stock (1,648,037 underlying)
Transactions
- Exercise of In-Money
Warrant
2020-12-14$0.75/sh−1,648,037$1,236,028→ 1,359,631 total(indirect: See Footnotes)Exercise: $0.75From: 2020-04-29Exp: 2020-12-15→ Common Stock (1,648,037 underlying) - Exercise of In-Money
Common Stock
2020-12-14$0.75/sh+1,648,037$1,236,028→ 15,951,136 total(indirect: See Footnotes)
Transactions
- Exercise of In-Money
Common Stock
2020-12-14$0.75/sh+1,648,037$1,236,028→ 15,951,136 total(indirect: See Footnotes) - Exercise of In-Money
Warrant
2020-12-14$0.75/sh−1,648,037$1,236,028→ 1,359,631 total(indirect: See Footnotes)Exercise: $0.75From: 2020-04-29Exp: 2020-12-15→ Common Stock (1,648,037 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
Issuer
MARRONE BIO INNOVATIONS INC
CIK 0001441693
Entity typeother
IncorporatedNY
Related Parties
1- filerCIK 0000900529
Filing Metadata
- Form type
- 4
- Filed
- Dec 13, 7:00 PM ET
- Accepted
- Dec 14, 5:07 PM ET
- Size
- 33.2 KB