SEC Form 4 · accession 0000878526-15-000081
NATUS MEDICAL INC · BABY
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Jonathan Kennedy
Officer — Sr. VP, CFO · Director
Period of report
Oct 27, 2015
Accepted (ET)
Oct 29, 2015 · 8:02 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 | Oct 27, 2015 | M | 10,496 | $13.24 | A | 84,496 | D | |
| Common Stock, $0.001 par value per shareF1 | Oct 27, 2015 | S | 10,496 | $45.75 | D | 74,000 | D | |
| Common Stock, $0.001 par value per share | Oct 28, 2015 | M | 962 | $13.24 | A | 74,962 | D | |
| Common Stock, $0.001 par value per shareF2 | Oct 28, 2015 | S | 962 | $45.70 | D | 74,000 | D | |
| Common Stock, $0.001 par value per share | Oct 28, 2015 | M | 17,500 | $22.50 | A | 91,500 | D | |
| Common Stock, $0.001 par value per shareF2 | Oct 28, 2015 | S | 17,500 | $45.70 | D | 74,000 | 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 Option | $13.24 | Oct 27, 2015 | M | 10,496 | D | May 8, 2013 | Apr 8, 2019 | Common Stock | 10,496 | 962 | D |
| Non-qualified Stock Option | $13.24 | Oct 28, 2015 | M | 962 | D | May 8, 2013 | Apr 8, 2019 | Common Stock | 962 | 0 | D |
| Non-qualified Stock OptionF3 | $22.50 | Oct 28, 2015 | M | 17,500 | D | Feb 1, 2014 | Jan 1, 2020 | Common Stock | 17,500 | 22,500 | D |
Explanation of responses
- F1This transaction was executed in multiple trades at prices ranging from $45.60 to $45.94. 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 $45.29 to $46.06. 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.
- F3The option vests in 48 equal monthly installments beginning on the date of grant.