SEC Form 4 · accession 0000878526-18-000144
NATUS MEDICAL INC · BABY
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Jonathan Kennedy
Officer — President and CEO · Director
Period of report
Aug 29, 2018
Accepted (ET)
Aug 31, 2018 · 4:28 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 29, 2018 | M | 31,345 | $13.24 | A | 161,628 | D | |
| Common Stock, $0.001 par value per shareF1 | Aug 29, 2018 | S | 31,345 | $36.85 | D | 130,283 | D | |
| Common Stock, $0.001 par value per shareF2 | Aug 29, 2018 | S | 12,183 | $36.96 | D | 118,100 | D | |
| Common Stock, $0.001 par value per shareF3 | Aug 30, 2018 | S | 4,072 | $36.54 | D | 114,028 | 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 | $13.24 | Aug 29, 2018 | M | 31,345 | D | Oct 9, 2013 | Apr 9, 2019 | Common Stock | 31,345 | 0 | D |
Explanation of responses
- F1This transaction was executed in multiple trades at prices ranging from $36.75 to $37.10. 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.
- F2This transaction was executed in multiple trades at prices ranging from $36.85 to $37.20. 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 $36.50 to $36.60. 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.