SEC Form 4 · accession 0000878526-15-000083
NATUS MEDICAL INC · BABY
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
James B Hawkins
Officer — President and CEO · Director
Period of report
Oct 28, 2015
Accepted (ET)
Oct 30, 2015 · 7:44 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 28, 2015 | M | 56,189 | $16.38 | A | 533,463 | D | |
| Common Stock, $0.001 par value per shareF1 | Oct 28, 2015 | S | 56,189 | $45.89 | D | 477,274 | D | |
| Common Stock, $0.001 par value per share | Oct 29, 2015 | M | 6,162 | $16.38 | A | 483,436 | D | |
| Common Stock, $0.001 par value per shareF2 | Oct 29, 2015 | S | 6,162 | $45.89 | D | 477,274 | D | |
| Common Stock, $0.001 par value per share | Oct 30, 2015 | M | 37,649 | $16.38 | A | 514,923 | D | |
| Common Stock, $0.001 par value per shareF3 | Oct 30, 2015 | S | 37,649 | $45.53 | D | 477,274 | 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 | $16.38 | Oct 28, 2015 | M | 56,189 | D | Jul 1, 2011 | Jun 1, 2017 | Common Stock | 56,189 | 43,811 | D |
| Non-qualified Stock Option | $16.38 | Oct 29, 2015 | M | 6,162 | D | Jul 1, 2011 | Jun 1, 2017 | Common Stock | 6,162 | 37,649 | D |
| Non-qualified Stock Option | $16.38 | Oct 30, 2015 | M | 37,649 | D | Jul 1, 2011 | Jun 1, 2017 | Common Stock | 37,649 | 0 | D |
Explanation of responses
- F1This transaction was executed in multiple trades at prices ranging from $45.75 to $46.05. 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 $45.70 to $46.10. 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.
- F3This transaction was executed in multiple trades at prices ranging from $45.26 to $45.87. 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.