Sec Form 4/A Filing - ARDSLEY ADVISORY PARTNERS LP @ MARRONE BIO INNOVATIONS INC - 2019-12-19

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FORM 4/A
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
ARDSLEY ADVISORY PARTNERS LP
2. Issuer Name and Ticker or Trading Symbol
MARRONE BIO INNOVATIONS INC [ MBII]
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director X __ 10% Owner
_____ Officer (give title below) X __ Other (specify below)
See Footnotes(1)(2)
(Last) (First) (Middle)
262 HARBOR DRIVE, 4TH FLOOR
3. Date of Earliest Transaction (MM/DD/YY)
12/19/2019
(Street)
STAMFORD, CT06902
4. If Amendment, Date Original Filed (MM/DD/YY)
12/20/2019
6. Individual or Joint/Group Filing (Check Applicable Line)
_____ Form filed by One Reporting Person
__ X __ Form filed by More than One Reporting Person
(City) (State) (Zip)
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1.Title of Security
(Instr. 3)
2. Transaction Date (MM/DD/YY) 2A. Deemed Execution Date, if any (MM/DD/YY) 3. Transaction Code
(Instr. 8)
4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
6. Ownership Form: Direct (D) or Indirect (I)
(Instr. 4)
7. Nature of Indirect Beneficial Ownership
(Instr. 4)
Code V Amount (A) or (D) Price
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
( e.g. , puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security
(Instr. 3)
2. Conversion or Exercise Price of Derivative Security 3. Transaction Date (MM/DD/YY) 3A. Deemed Execution Date, if any (MM/DD/YY) 4. Transaction Code
(Instr. 8)
5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4, and 5)
6. Date Exercisable and Expiration Date
(MM/DD/YY)
7. Title and Amount of Underlying Securities
(Instr. 3 and 4)
8. Price of Derivative Security
(Instr. 5)
9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 4)
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I)
(Instr. 4)
11. Nature of Indirect Beneficial Ownership
(Instr. 4)
Code V (A) (D) Date Exercisable Expiration Date Title Amount or Number of Shares
Warrant $ 1.75 12/19/2019 A( 3 ) 874,326 06/16/2020 12/31/2021 Common Stock 874,326 $ 0.75 3,001,812 I See Footnotes ( 1 ) ( 2 ) ( 3 )
Reporting Owners
Reporting Owner Name / Address Relationships
Director 10% Owner Officer Other
ARDSLEY ADVISORY PARTNERS LP
262 HARBOR DRIVE, 4TH FLOOR
STAMFORD, CT06902
X See Footnotes(1)(2)
Ardsley Advisory Partners GP LLC
262 HARBOR DRIVE, 4TH FLOOR
STAMFORD, CT06902
See Footnotes(1)(2)
Ardsley Partners I GP LLC
262 HARBOR DRIVE, 4TH FLOOR
STAMFORD, CT06902
See Footnotes(1)(2)
HEMPLEMAN PHILIP J
262 HARBOR DRIVE, 4TH FLOOR
STAMFORD, CT06902
See Footnotes(1)(2)
Ardsley Partners Renewable Energy Fund, L.P.
262 HARBOR DRIVE, 4TH FLOOR
STAMFORD, CT06902
See Footnotes(1)(2)
Ardsley Partners Fund II, L.P.
262 HARBOR DRIVE, 4TH FLOOR
STAMFORD, CT06902
See Footnotes(1)(2)
Ardsley Partners Advanced Healthcare Fund, L.P.
262 HARBOR DRIVE, 4TH FLOOR
STAMFORD, CT06902
See Footnotes(1)(2)
Ardsley Duckdive Fund, L.P.
262 HARBOR DRIVE, 4TH FLOOR
STAMFORD, CT06902
See Footnotes(1)(2)
Signatures
/s/ Steve Napoli, Partner 02/07/2020
Signature of Reporting Person Date
Explanation of Responses:
( 1 )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").
( 2 )(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
( 3 )The transaction reported in Table II reflect the amount of warrants acquired by the Renewable Energy Fund from the Issuer as part of the exercise of warrants by the Renewable Energy Fund reported on the original Form 4 dated December 20, 2019, which this Form 4 is filed to amend; the acquisition of such warrants was erroneously omitted from the original Form 4. 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.

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