Filing Details
- Accession Number:
- 0001181431-12-058111
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2012-11-13 09:09:22
- Reporting Period:
- 2012-11-09
- Filing Date:
- 2012-11-13
- Accepted Time:
- 2012-11-13 09:09:22
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 878526 | Natus Medical Inc | BABY | Electromedical & Electrotherapeutic Apparatus (3845) | 770154833 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1208700 | M Kenneth Traverso | C/O Natus Medical Incorporated 1501 Industrial Road San Carlos CA 94070 | Vp Marketing And Sales | No | Yes | No | No |
Reported Non-Derivative Transactions
| Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|---|---|---|---|---|---|
| Common Stock, $0.001 Par Value Per Share | Acquisiton | 2012-11-09 | 76,042 | $3.45 | 174,045 | No | 4 | M | Direct | |
| Common Stock, $0.001 Par Value Per Share | Disposition | 2012-11-09 | 49,885 | $11.19 | 125,160 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | Direct | |
| No | 4 | S | Direct |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Incentive Stock Option | Acquisiton | 2012-11-09 | 76,042 | $3.45 | 76,042 | $3.45 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 26,157 | 2002-12-02 | 2012-11-12 | No | 4 | M | Direct |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Common Stock, $0.001 Par Value Per Share | 8,572 | Indirect | By Family Trust |
| Common Stock, $0.001 Par Value Per Share | 10,500 | Indirect | By IRA |
| Common Stock, $0.001 Par Value Per Share | 4,100 | Indirect | By IRA for Spouse |
Footnotes
- This transaction reflects the exercise and same day sale of an option that would expire by its terms on November 12, 2012.
- This transaction was executed in multiple trades at prices ranging from $11.00 to $11.38. 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.
- The option vests in 48 equal monthly installments beginning on the date of grant.
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