0000899243-18-005806.txt : 20180228 0000899243-18-005806.hdr.sgml : 20180228 20180228161704 ACCESSION NUMBER: 0000899243-18-005806 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20180226 FILED AS OF DATE: 20180228 DATE AS OF CHANGE: 20180228 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: IVY INVESTMENT MANAGEMENT CO CENTRAL INDEX KEY: 0001190088 FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36030 FILM NUMBER: 18651368 BUSINESS ADDRESS: STREET 1: 6300 LAMAR AVENUE CITY: OVERLAND PARK STATE: KS ZIP: 66202 BUSINESS PHONE: 9132362000 MAIL ADDRESS: STREET 1: 6300 LAMAR AVENUE CITY: OVERLAND PARK STATE: KS ZIP: 66202 FORMER NAME: FORMER CONFORMED NAME: WADDELL & REED IVY INVESTMENT CO DATE OF NAME CHANGE: 20030212 FORMER NAME: FORMER CONFORMED NAME: IVY ACQUISITION CORP DATE OF NAME CHANGE: 20020917 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: WADDELL & REED INC /KS/ CENTRAL INDEX KEY: 0000728757 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36030 FILM NUMBER: 18651371 BUSINESS ADDRESS: STREET 1: P O BOX 29217 STREET 2: 6300 LAMAR AVE CITY: SHAWNEE MISSION STATE: KS ZIP: 66201 BUSINESS PHONE: 9132362000 MAIL ADDRESS: STREET 1: P O BOX 29217 STREET 2: 6300 LAMAR AVE CITY: SHAWNEE MISSION STATE: KS ZIP: 66201 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: WADDELL & REED FINANCIAL INC CENTRAL INDEX KEY: 0001052100 STANDARD INDUSTRIAL CLASSIFICATION: SECURITY BROKERS, DEALERS & FLOTATION COMPANIES [6211] STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36030 FILM NUMBER: 18651375 BUSINESS ADDRESS: STREET 1: 6300 LAMAR AVE CITY: OVERLAND PARK STATE: KS ZIP: 66202-4200 BUSINESS PHONE: 9132362000 MAIL ADDRESS: STREET 1: PO BOX 29217 CITY: SHAWNEE MISSION STATE: KS ZIP: 66201-9217 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: WADDELL & REED INVESTMENT MANAGEMENT CO CENTRAL INDEX KEY: 0000903764 STATE OF INCORPORATION: KS FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36030 FILM NUMBER: 18651369 BUSINESS ADDRESS: STREET 1: PO BOX 29217 STREET 2: 6300 LAMAR AVE CITY: SHAWNEE MISSION STATE: KS ZIP: 66201-9217 BUSINESS PHONE: 9132362000 MAIL ADDRESS: STREET 1: PO BOX 29217 STREET 2: 6300 LAMAR AVE CITY: SHAWNEE MISSION STATE: KS ZIP: 66201-9217 FORMER NAME: FORMER CONFORMED NAME: WADDELL & REED INVESTMENT MANAGEMENT CO ET AL DATE OF NAME CHANGE: 19940824 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: WADDELL & REED FINANCIAL SERVICES INC CENTRAL INDEX KEY: 0001080165 STATE OF INCORPORATION: MO FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36030 FILM NUMBER: 18651374 BUSINESS ADDRESS: STREET 1: 6300 LAMAR AVE STREET 2: P O BOX 29217 CITY: SHAWNEE MISSION STATE: KS ZIP: 66201-9217 BUSINESS PHONE: 9132362000 MAIL ADDRESS: STREET 1: 6300 LAMAR AVENUE STREET 2: P O BOX 29217 CITY: SHAWNEE MISSION STATE: KS ZIP: 66201-9217 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: MARRONE BIO INNOVATIONS INC CENTRAL INDEX KEY: 0001441693 STANDARD INDUSTRIAL CLASSIFICATION: AGRICULTURE CHEMICALS [2870] IRS NUMBER: 205137161 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 1540 DREW AVENUE CITY: DAVIS STATE: CA ZIP: 95618 BUSINESS PHONE: 530-750-2800 MAIL ADDRESS: STREET 1: 1540 DREW AVENUE CITY: DAVIS STATE: CA ZIP: 95618 FORMER COMPANY: FORMER CONFORMED NAME: MARRONE ORGANICS INNOVATIONS INC DATE OF NAME CHANGE: 20080801 4 1 doc4.xml FORM 4 SUBMISSION X0306 4 2018-02-26 0 0001441693 MARRONE BIO INNOVATIONS INC MBII 0001052100 WADDELL & REED FINANCIAL INC 6300 LAMAR AVENUE OVERLAND PARK KS 66202 0 0 1 1 1 & 4 0001080165 WADDELL & REED FINANCIAL SERVICES INC 6300 LAMAR AVENUE OVERLAND PARK KS 66202 0 0 1 1 1 & 4 0000728757 WADDELL & REED INC /KS/ 6300 LAMAR AVENUE OVERLAND PARK KS 66202 0 0 1 1 1 & 4 0000903764 WADDELL & REED INVESTMENT MANAGEMENT CO 6300 LAMAR AVENUE OVERLAND PARK KS 66202 0 0 1 1 1 & 4 0001190088 IVY INVESTMENT MANAGEMENT CO 6300 LAMAR AVENUE OVERLAND PARK KS 66202 0 0 1 1 1 & 4 Common Stock 2018-02-26 4 J 0 8727500 D 24714892 I See footnotes Common Stock 2018-02-26 4 J 0 8727500 A 24714892 I See footnotes Warrant 1.91 2018-02-26 4 J 0 1380000 D 2015-08-20 2023-08-20 Common Stock 1380000 8000000 I See footnotes Warrant 1.91 2018-02-26 4 J 0 1380000 A 2015-08-20 2023-08-20 Common Stock 1380000 8000000 I See footnotes Warrant 1.25 2018-02-26 4 J 0 1380000 D 2018-12-31 2020-12-31 Common Stock 1380000 8000000 I See footnotes Warrant 1.25 2018-02-26 4 J 0 1380000 A 2018-12-31 2020-12-31 Common Stock 1380000 8000000 I See 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"). 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). The investment advisory contracts grant IICO all investment and/or voting power over securities owned by such advisory clients. Pursuant to investment sub-advisory contracts, IICO is granted investment power and, in most cases, voting power, over securities owned by sub-advisory clients. Any investment restriction of a sub-advisory contract does not restrict investment discretion or power in a material manner. Therefore, IICO 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 WDR solely because of WDR's control relationship to IICO. In accordance with Instruction 4(b)(iv) of Form 4, the entire amount of the Issuer's securities that WDR and IICO may be deemed to beneficially own is reported herein. Each of WDR 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 WDR or IICO is the beneficial owner of such securities for purposes of Section 16 of the Exchange Act or for any other purpose. On February 26, 2018, the assets of all open-end investment companies and other managed accounts which were advised or sub-advised by WRIMCO were transferred to similar open-end investment companies and other managed accounts which are advised or sub-advised by IICO (the "Reorganization"). WRIMCO is an investment advisory subsidiary of WRI, WRI is a broker-dealer and underwriting subsidiary of WRFSI, and WRFSI is a subsidiary of WDR. As a result of the Reorganization, WRIMCO, WRI, and WRFSI may no longer be deemed to have beneficial ownership of the Issuer's securities and are no longer subject to Section 16 of the Exchange Act. Represents the Issuer's securities that were beneficially owned by one or more open-end investment companies or other managed accounts which were advised or sub-advised by WRIMCO prior to the Reorganization and are, as result of the Reorganization, beneficially owned by one or more open-end investment companies or other managed accounts which are advised or sub-advised by IICO. Exhibit List: Exhibit 99.1 - Joint Filer Information As a result of the Reorganization, WRIMCO, WRI, and WRFSI are no longer subject to Section 16 of the Exchange Act. /s/ J.J.Richie, Attorney-In-Fact 2018-02-28 /s/ J.J.Richie, Attorney-In-Fact 2018-02-28 /s/ J.J.Richie, Attorney-In-Fact 2018-02-28 /s/ J.J.Richie, Attorney-In-Fact 2018-02-28 /s/ J.J.Richie, Attorney-In-Fact 2018-02-28 EX-99.1 2 attachment1.htm EX-99.1 DOCUMENT

                                                                    Exhibit 99.1

                                JOINT FILER INFORMATION

Name:                                   Waddell & Reed Financial, Inc.

Address:                                6300 Lamar Avenue
                                        Overland Park, Kansas 66202

Designated Filer:                       Waddell & Reed Financial, Inc.

Issuer and Ticker Symbol:               Marrone Bio Innovations, Inc. [MBII]

Date of Event
Requiring Statement:                    02/26/2018

WADDELL & REED FINANCIAL, INC.

By:   /s/ J.J. Richie
      -----------------------------
      J.J. Richie, Attorney-In-Fact


                                JOINT FILER INFORMATION

Name:                                   Waddell & Reed Financial Services,
Inc.

Address:                                6300 Lamar Avenue
                                        Overland Park, Kansas 66202

Designated Filer:                       Waddell & Reed Financial, Inc.

Issuer and Ticker Symbol:               Marrone Bio Innovations, Inc. [MBII]

Date of Event
Requiring Statement:                    02/26/2018

WADDELL & REED FINANCIAL SERVICES, INC.

By:   /s/ J.J. Richie
      -----------------------------
      J.J. Richie, Attorney-In-Fact


                                JOINT FILER INFORMATION

Name:                                   Waddell & Reed, Inc.

Address:                                6300 Lamar Avenue
                                        Overland Park, Kansas 66202

Designated Filer:                       Waddell & Reed Financial, Inc.

Issuer and Ticker Symbol:               Marrone Bio Innovations, Inc. [MBII]

Date of Event
Requiring Statement:                    02/26/2018

WADDELL & REED, INC.

By:   /s/ J.J. Richie
      -----------------------------
      J.J. Richie, Attorney-In-Fact


                                JOINT FILER INFORMATION

Name:                                   Waddell & Reed Investment Management
                                        Company

Address:                                6300 Lamar Avenue
                                        Overland Park, Kansas 66202

Designated Filer:                       Waddell & Reed Financial, Inc.

Issuer and Ticker Symbol:               Marrone Bio Innovations, Inc. [MBII]

Date of Event
Requiring Statement:                    02/26/2018

WADDELL & REED INVESTMENT MANAGEMENT COMPANY

By:   /s/ J.J. Richie
      -----------------------------
      J.J. Richie, Attorney-In-Fact


                                JOINT FILER INFORMATION

Name:                                   Ivy Investment Management Company

Address:                                6300 Lamar Avenue
                                        Overland Park, Kansas 66202

Designated Filer:                       Waddell & Reed Financial, Inc.

Issuer and Ticker Symbol:               Marrone Bio Innovations, Inc. [MBII]

Date of Event
Requiring Statement:                    02/26/2018

IVY INVESTMENT MANAGEMENT COMPANY

By:   /s/ J.J. Richie
      -----------------------------
      J.J. Richie, Attorney-In-Fact