SEC Form 4 · accession 0000878526-18-000134
NATUS MEDICAL INC · BABY
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Ken Ludlum
Director
Period of report
Aug 2, 2018
Accepted (ET)
Aug 6, 2018 · 5:58 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 | Aug 2, 2018 | M | 5,000 | $14.34 | A | 98,957 | D | |
| Common Stock, $0.001 par value per shareF1 | Aug 2, 2018 | S | 5,000 | $36.89 | D | 93,957 | D | |
| Common Stock, $0.001 par value per share | Aug 2, 2018 | M | 3,000 | $24.50 | A | 96,957 | D | |
| Common Stock, $0.001 par value per shareF1 | Aug 2, 2018 | S | 3,000 | $36.89 | D | 93,957 | 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 | $14.34 | Aug 2, 2018 | M | 5,000 | D | Jul 7, 2013 | Jun 7, 2019 | Common Stock | 5,000 | 0 | D |
| Nonqualified Stock Option | $24.50 | Aug 2, 2018 | M | 3,000 | D | Jul 5, 2014 | Jun 5, 2020 | Common Stock | 3,000 | 0 | D |
Explanation of responses
- F1This transaction was executed in multiple trades at prices ranging from $36.83 to $36.90. 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.