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Filing Details

Accession Number:: 0000899243-18-003132
Form Type:: 4
Zero Holdings:: No
Publication Time:: 2018-02-07 18:38:38
Reporting Period:: 2014-05-14

Accepted Time:: 2018-02-07 18:38:38
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	Director	Officer	Large Shareholder	Other
728757	Waddell & Reed Inc /Ks/	6300 Lamar Avenue Overland Park KS 66202	No	No	Yes	Yes
903764	Waddell & Reed Investment Management Co	6300 Lamar Avenue Overland Park KS 66202	No	No	Yes	Yes
1052100	Waddell & Reed Financial Inc	6300 Lamar Avenue Overland Park KS 66202	No	No	Yes	Yes
1080165	Waddell & Reed Financial Services Inc	6300 Lamar Avenue Overland Park KS 66202	No	No	Yes	Yes
1190088	Ivy Investment Management Co	6300 Lamar Avenue Overland Park KS 66202	No	No	Yes	Yes

Reported Non-Derivative Transactions

Show Other Fields >>

Sec. Name	Acquisiton - Disposition	Date	Amount	Price	Remaning Holdings	Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
Common Stock	Acquisiton	2014-05-14	14,500	$9.46	2,029,083	No	4	P	Indirect	See Footnotes
Common Stock	Acquisiton	2014-05-14	2,200	$9.46	2,031,283	No	4	P	Indirect	See Footnotes
Common Stock	Acquisiton	2014-05-15	94,021	$9.23	2,125,304	No	4	P	Indirect	See Footnotes
Common Stock	Acquisiton	2014-05-15	67,800	$9.23	2,193,104	No	4	P	Indirect	See Footnotes
Common Stock	Acquisiton	2014-05-15	10,400	$9.23	2,203,504	No	4	P	Indirect	See Footnotes
Common Stock	Acquisiton	2014-05-15	1,500	$9.23	2,205,004	No	4	P	Indirect	See Footnotes
Common Stock	Acquisiton	2014-05-16	27,988	$9.25	2,232,992	No	4	P	Indirect	See Footnotes
Common Stock	Acquisiton	2014-05-16	20,300	$9.25	2,253,292	No	4	P	Indirect	See Footnotes
Common Stock	Acquisiton	2014-05-16	3,200	$9.25	2,256,492	No	4	P	Indirect	See Footnotes
Common Stock	Acquisiton	2014-05-16	300	$9.25	2,256,792	No	4	P	Indirect	See Footnotes
Common Stock	Acquisiton	2014-06-06	1,386,600	$9.50	3,643,392	No	4	P	Indirect	See Footnotes
Common Stock	Acquisiton	2014-06-06	946,700	$9.50	4,590,092	No	4	P	Indirect	See Footnotes
Common Stock	Acquisiton	2014-06-06	144,700	$9.50	4,734,792	No	4	P	Indirect	See Footnotes
Common Stock	Acquisiton	2014-06-06	22,000	$9.50	4,756,792	No	4	P	Indirect	See Footnotes
Common Stock	Acquisiton	2014-09-30	11,300	$2.77	4,768,092	No	4	P	Indirect	See Footnotes
Common Stock	Disposition	2016-11-01	41,900	$2.00	4,726,192	No	4	J	Indirect	See Footnotes
Common Stock	Disposition	2017-02-01	800	$2.11	4,725,392	No	4	S	Indirect	See Footnotes
Common Stock	Disposition	2017-02-02	10,500	$2.16	4,714,892	No	4	S	Indirect	See Footnotes
Common Stock	Acquisiton	2018-02-05	20,000,000	$0.00	24,714,892	No	4	J	Indirect	See Footnotes

Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
No	4	P	Indirect	See Footnotes
No	4	P	Indirect	See Footnotes
No	4	P	Indirect	See Footnotes
No	4	P	Indirect	See Footnotes
No	4	P	Indirect	See Footnotes
No	4	P	Indirect	See Footnotes
No	4	P	Indirect	See Footnotes
No	4	P	Indirect	See Footnotes
No	4	P	Indirect	See Footnotes
No	4	P	Indirect	See Footnotes
No	4	P	Indirect	See Footnotes
No	4	P	Indirect	See Footnotes
No	4	P	Indirect	See Footnotes
No	4	P	Indirect	See Footnotes
No	4	P	Indirect	See Footnotes
No	4	J	Indirect	See Footnotes
No	4	S	Indirect	See Footnotes
No	4	S	Indirect	See Footnotes
No	4	J	Indirect	See Footnotes

Reported Derivative Transactions

Show Other Fields >>

Sec. Name	Sec. Type	Acquisiton - Disposition	Date	Amount	Price	Amount - 2	Price - 2
Common Stock	Warrant	Acquisiton	2015-08-20	4,000,000	$0.00	4,000,000	$1.91
Common Stock	Warrant	Acquisiton	2018-02-05	4,000,000	$0.00	4,000,000	$1.25

Remaning Holdings	Exercise Date	Expiration Date	Equity Swap Involved	Transaction Form Type	Transaction Code	Nature of Ownership
4,000,000	2015-08-20	2023-08-20	No	4	P	Indirect
8,000,000	2018-12-31	2020-12-31	No	4	J	Indirect

Footnotes

This Form 4 is being filed by Waddell & Reed Financial, Inc. ("WDR") on behalf of itself and Waddell & Reed Financial Services, Inc. ("WRFSI"), Waddell & Reed, Inc. ("WRI"), Waddell & Reed Investment Management Company ("WRIMCO"), and Ivy Investment Management Company ("IICO" and, together with WDR, WRFSI, WRI, and WRIMCO, the "Reporting Persons").
The securities reported herein are beneficially owned by one or more open-end investment companies or other managed accounts which are advised or sub-advised by IICO, an investment advisory subsidiary of WDR (a publicly traded company) or WRIMCO (an investment advisory subsidiary of WRI). WRI is a broker-dealer and underwriting subsidiary of WRFSI, and WRFSI is a subsidiary of WDR. Pursuant to investment sub-advisory contracts, IICO and WRIMCO are granted investment power and, in most cases, voting power, over securities owned by sub-advisory clients. Therefore, IICO and/or WRIMCO may be deemed the beneficial owner of the securities covered by this Form 4. Indirect "beneficial ownership," if any, of any such securities is attributed to the respective parent companies solely because of the parent companies' control relationship to WRIMCO and IICO.
In accordance with Instruction 4(b)(iv) of Form 4, the entire amount of the Issuer's securities that the Reporting Persons may be deemed to beneficially own is reported herein. Each of WDR, WRFSI, WRI, WRIMCO, and IICO disclaims, for purposes of Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), beneficial ownership of such securities, except to the extent of its indirect pecuniary interest therein, and this report shall not be deemed an admission that any of the Reporting Persons is the beneficial owner of such securities for purposes of Section 16 of the Exchange Act or for any other purpose.
Represents securities in a managed account that are no longer advised by IICO and/or WRIMCO following the termination of the relevant sub-advisory agreement by IICO and/or WRIMCO.
On February 5, 2018, Marrone Bio Innovations, Inc. converted, pursuant to an amendment, dated December 15, 2017, to the senior secured promissory notes, dated as of August 20, 2015, in the aggregate principal amount of $40,000,000 (the "Waddell Notes"), issued and sold to Ivy Science & Technology Fund, Waddell & Reed Advisors Science & Technology Fund and Ivy VIP Science & Technology, $35,000,000 aggregate principal amount of the Waddell Notes into an aggregate of 20,000,000 shares of Common Stock, a $1.75 per share conversion rate, and 4,000,000 warrants to purchase shares of Common Stock.
The price reported is a weighted average price. The shares were sold in multiple transactions at prices ranging from $9.262 to $9.60, inclusive. The reporting person undertakes to provide Marrone Bio Innovations, Inc., any security holder of Marrone Bio Innovations, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
The price reported is a weighted average price. The shares were sold in multiple transactions at prices ranging from $9.091 to $9.27, inclusive. The reporting person undertakes to provide Marrone Bio Innovations, Inc., any security holder of Marrone Bio Innovations, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
The price reported is a weighted average price. The shares were sold in multiple transactions at prices ranging from $9.12 to $9.30 , inclusive. The reporting person undertakes to provide Marrone Bio Innovations, Inc., any security holder of Marrone Bio Innovations, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
The price reported is a weighted average price. The shares were sold in multiple transactions at prices ranging from $2.65 to $2.86, inclusive. The reporting person undertakes to provide Marrone Bio Innovations, Inc., any security holder of Marrone Bio Innovations, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
The price reported is a weighted average price. The shares were sold in multiple transactions at prices ranging from $2.08 to $2.15, inclusive. The reporting person undertakes to provide Marrone Bio Innovations, Inc., any security holder of Marrone Bio Innovations, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
The price reported is a weighted average price. The shares were sold in multiple transactions at prices ranging from $2.15 to $2.18, inclusive. The reporting person undertakes to provide Marrone Bio Innovations, Inc., any security holder of Marrone Bio Innovations, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
On August 20, 2015, Marrone Bio Innovations, Inc. issued and sold to Ivy Science & Technology Fund, Waddell & Reed Advisors Science & Technology Fund and Ivy VIP Science & Technology senior secured promissory notes in the aggregate principal amount of $40,000,000 and warrants to purchase up to 4,000,000 shares of Common Stock for an aggregate consideration of $40,000,000.