SEC Form 4 · accession 0000878526-18-000068
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
May 9, 2018
Accepted (ET)
May 11, 2018 · 4:20 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 9, 2018 | M | 9,375 | $11.92 | A | 91,276 | D | |
| Common Stock, $0.001 par value per shareF1 | May 9, 2018 | S | 9,375 | $33.70 | D | 81,901 | 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 | $11.92 | May 9, 2018 | M | 9,375 | D | Oct 7, 2012 | Sep 7, 2018 | Common Stock | 9,375 | 0 | D |
Explanation of responses
- F1This transaction was executed in multiple trades at prices ranging from $33.55 to $33.78. 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.