SEC Form 3 · accession 0001019056-17-000422
MARRONE BIO INNOVATIONS INC · MBII
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owners
Ardsley Partners Fund II, L.P.
10% Owner
ARDSLEY ADVISORY PARTNERS
10% Owner
Philip J Hempleman
10% Owner
ARDSLEY PARTNERS I
10% Owner
Ardsley Duckdive Fund, L.P.
10% Owner
Period of report
Apr 28, 2017
Accepted (ET)
May 5, 2017 · 1:51 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001441693
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1,F2,F3 | holding | — | — | — | 3,681,580 | I | See Footnotes |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1This Form 3 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 Fund II, L.P. (the "Fund II"), Ardsley Duckdive Fund, L.P. (the "Duckdive Fund"), Ardsley Partners Institutional Fund, L.P. (the "Institutional Fund"), Ardsley Partners Advanced Healthcare Fund, L.P. (the "Healthcare Fund") and Philip J. Hempleman ("Hempleman" and, together with the Advisor, the General Partner, the Renewable Energy Fund, the Fund II, the Duckdive Fund, the Institutional Fund and the Healthcare Fund, the "Reporting Persons"). The General Partner serves as general partner to the Renewable Energy Fund, the Fund II, the Institutional Fund and the Healthcare Fund. Hempleman is the Managing Partner of the Advisor and the General Partner and serves as the general partner to the Duckdive Fund.
- F2This amount reflects the amount of securities held by the Reporting Persons immediately following the transaction requiring the filing of this statement. In accordance with Instruction 5(b)(iv) of Form 3, the entire amount of the Issuer's securities held by 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.
- F3Cont'd 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.