SEC Form 4 · accession 0000878526-15-000090
NATUS MEDICAL INC · BABY
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Austin Francis Noll III
Officer — VP/GM Neurology
Period of report
Nov 25, 2015
Accepted (ET)
Nov 30, 2015 · 8:36 pm EST
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 | Nov 25, 2015 | M | 17,125 | $11.92 | A | 75,059 | D | |
| Common Stock, $0.001 par value per shareF1 | Nov 25, 2015 | S | 17,125 | $48.40 | D | 57,934 | D | |
| Common Stock, $0.001 par value per share | Nov 25, 2015 | M | 21,750 | $14.34 | A | 79,684 | D | |
| Common Stock, $0.001 par value per shareF1 | Nov 25, 2015 | S | 21,750 | $48.40 | D | 57,934 | 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 | $11.92 | Nov 25, 2015 | M | 17,125 | D | Oct 7, 2012 | Sep 7, 2018 | Common Stock | 17,125 | 9,375 | D |
| Nonqualified Stock OptionF3 | $14.34 | Nov 25, 2015 | M | 21,750 | D | Jul 7, 2013 | Jun 7, 2019 | Common Stock | 21,750 | 14,250 | D |
Explanation of responses
- F1This transaction was executed in multiple trades at prices ranging from $48.00 to $48.78. 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.
- F3The option vests in 48 equal monthly installments beginning on the date of the grant.