Filing Details
- Accession Number:
- 0001181431-12-058396
- Form Type:
- 4/A
- Zero Holdings:
- No
- Publication Time:
- 2012-11-13 20:10:02
- Reporting Period:
- 2012-11-09
- Filing Date:
- 2012-11-13
- Accepted Time:
- 2012-11-13 20:10:02
- Original Submission Date:
- 2012-11-13
- 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 | 26,042 | $3.45 | 124,045 | No | 4 | M | Direct | |
| Common Stock, $0.001 Par Value Per Share | Acquisiton | 2012-11-09 | 23,843 | $3.50 | 150,087 | No | 4 | M | Direct | |
| Common Stock, $0.001 Par Value Per Share | Disposition | 2012-11-09 | 49,885 | $11.19 | 99,003 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | Direct | |
| 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 | Non-qualfied stock option | Disposition | 2012-11-09 | 26,042 | $3.45 | 26,042 | $3.45 |
| Common Stock | Incentive Stock Option | Disposition | 2012-11-09 | 23,843 | $3.50 | 23,843 | $3.50 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 0 | 2002-12-02 | 2012-11-12 | No | 4 | M | Direct |
| 26,157 | 2003-03-27 | 2013-02-27 | 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 reflects the exercise and same day sale of an option that would expire by its terms on February 27, 2013.
- 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.
- On November 13, 2012 the reporting person filed a Form 4 reporting a single exercise of an Incentive Stock Option in the amount of 76,042 shares. Because the underlying transaction involved the exercise of two distinct sets of options, the reporting person is filing this amended and restated Form 4 to provide additional details about the transactions.
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