SEC Form 4 · accession 0000878526-15-000017
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
May 26, 2015
Accepted (ET)
May 28, 2015 · 8:41 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 | May 26, 2015 | M | 10,000 | $10.73 | A | 111,683 | D | |
| Common Stock, $0.001 par value per shareF1 | May 26, 2015 | S | 10,000 | $36.19 | D | 101,683 | D | |
| Common Stock, $0.001 par value per share | May 26, 2015 | M | 15,939 | $10.03 | A | 117,622 | D | |
| Common Stock, $0.001 par value per shareF1 | May 26, 2015 | S | 15,939 | $36.19 | D | 101,683 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Non-qualified Stock OptionF2 | $10.73 | May 26, 2015 | M | 10,000 | D | Jul 15, 2009 | Jun 15, 2015 | Common Stock | 10,000 | 0 | D |
| Nonqualified Stock Option | $10.03 | May 26, 2015 | M | 15,939 | D | Jul 9, 2005 | Jun 9, 2015 | Common Stock | 15,939 | 0 | D |
Explanation of responses
- F1This transaction was executed in multiple trades at prices ranging from $36.15 to $36.29. 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.
- F2The option vests in 48 equal monthly installments beginning on the date of grant.