SEC Form 4 · accession 0000878526-15-000010
NATUS MEDICAL INC · BABY
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Kenneth M Traverso
Officer — VP/GM Newborn Care
Period of report
Apr 28, 2015
Accepted (ET)
Apr 30, 2015 · 8:56 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000878526
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock, $0.001 par value per share | Apr 28, 2015 | M | 18,933 | $10.03 | A | 120,616 | D | |
| Common Stock, $0.001 par value per shareF1 | Apr 28, 2015 | S | 18,933 | $40.83 | D | 101,683 | D | |
| Common Stock, $0.001 par value per share | Apr 28, 2015 | M | 15,128 | $10.03 | A | 116,811 | D | |
| Common Stock, $0.001 par value per shareF1 | Apr 28, 2015 | S | 15,128 | $40.83 | D | 101,683 | D | |
| Common Stock, $0.001 par value per shareF2 | Apr 28, 2015 | S | 8,572 | $40.75 | D | 0 | I | By Family Trust |
| Common Stock, $0.001 par value per shareF2 | Apr 28, 2015 | S | 10,500 | $40.75 | D | 0 | I | By IRA |
| Common Stock, $0.001 par value per shareF2 | Apr 28, 2015 | S | 4,100 | $40.75 | D | 0 | I | By IRA for Spouse |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Nonqualified Stock Option | $10.03 | Apr 28, 2015 | M | 18,933 | D | Jul 9, 2005 | Jun 9, 2015 | Common Stock | 18,933 | 15,128 | D |
| Nonqualified Stock Option | $10.03 | Apr 28, 2015 | M | 15,128 | D | Jul 9, 2005 | Jun 9, 2015 | Common Stock | 15,128 | 0 | D |
Explanation of responses
- F1This transaction was executed in multiple trades at prices ranging from $40.80 to $41.01. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer, or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.
- F2This transaction was executed in multiple trades at prices ranging from $40.75 to $40.82. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer, or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.