SEC Form 4 · accession 0000878526-18-000048
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
Apr 30, 2018
Accepted (ET)
May 2, 2018 · 4:56 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 30, 2018 | M | 47,500 | $10.69 | A | 686,757 | D | |
| Common Stock, $0.001 par value per shareF1 | Apr 30, 2018 | S | 47,500 | $33.47 | D | 639,257 | D | |
| Common Stock, $0.001 par value per share | Apr 30, 2018 | M | 76,827 | $10.69 | A | 716,084 | D | |
| Common Stock, $0.001 par value per shareF2 | Apr 30, 2018 | S | 76,827 | $33.51 | D | 639,257 | D | |
| Common Stock, $0.001 par value per share | Apr 30, 2018 | M | 35,673 | $10.69 | A | 674,930 | D | |
| Common Stock, $0.001 par value per shareF3 | Apr 30, 2018 | S | 35,673 | $33.37 | D | 639,257 | D |
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 | $10.69 | Apr 30, 2018 | M | 47,500 | D | Jul 7, 2012 | Jun 7, 2018 | Common Stock | 160,000 | 112,500 | D |
| Nonqualified Stock Option | $10.69 | May 1, 2018 | M | 76,827 | D | Jul 7, 2012 | Jun 7, 2018 | Common Stock | 76,827 | 35,673 | D |
| Nonqualified Stock Option | $10.69 | May 2, 2018 | M | 35,673 | D | Jul 7, 2012 | Jun 7, 2018 | Common Stock | 35,673 | 0 | D |
Explanation of responses
- F1This transaction was executed in multiple trades at prices ranging from $32.90 to $34.15. 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 $33.05 to $33.80. 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 $32.65 to $33.80. 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.