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FORM 5
[ ] Check this box if no longer
subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b). [ ] Form 3 Holdings Reported
[ ] Form 4 Transactions Reported
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 ANNUAL STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(f) of the Investment Company Act of 1940 |
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1. Name and Address of Reporting Person*
Traverso, Kenneth M.
(Last) (First) (Middle)
c/o Natus Medical Incorporated
1501 Industrial Road
(Street)
San Carlos, CA 94070
(City) (State) (Zip)
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2. Issuer Name and Ticker or Trading Symbol Natus Medical Incorporated
BABY 3. I.R.S. Identification
Number of Reporting Person, if an entity (voluntary) |
4. Statement for Month/Year 12/31/2002
5. If Amendment, Date of Original (Month/Year) 12/2002
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6. Relationship of Reporting Person(s) to Issuer
(Check all applicable) Director
10% Owner
X Officer (give title below)
Other (specify below)
Description
Vice President Worldwide Sales
7. Individual or Joint/Group
Filing (Check Applicable Line) X Form filed by One Reporting Person
Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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1. Title of Security (Instr. 3) |
2.Transaction
Date (Month/Day/Year) |
2A. Deemed Execution Date, if any
(Month/Day/Year) |
3. Transaction Code (Instr. 8) |
4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4, and 5) Amount / A/D / Price
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5. Amount of
Securities Beneficially Owned at end of Issuer's Fiscal Year (Instr. 3 and 4) |
6. Owner-
ship Form: Direct (D) or Indirect (I) (Instr. 4) |
7. Nature of
Indirect Beneficial Ownership (Instr. 4) |
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Common Stock
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10/31/2002
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10/31/2002
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M
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3,576 (1) / A / $2.975
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124,430
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D
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/ / $
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4,100
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I
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Lisa M. Traverso IRA
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/ / $
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10,500
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I
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Kenneth Traverso IRA
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/ / $
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8,572
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I
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By Trust
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Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivative Security
(Instr. 3) |
2. Conver-
sion or Exercise Price of Deri- vative Security |
3. Transaction Date
(Month/ Day/ Year) |
3A. Deemed Execution Date, if any
(Month/ Day/ Year) |
4. Transaction Code (Instr.8) |
5. Number of Derivative Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5) A or D
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6. Date Exercisable(DE) and
Expiration Date(ED) (Month/Day/Year) DE / ED
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7. Title and Amount of
Underlying Securities (Instr. 3 and 4) Title / Amount or Number of Shares
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8. Price
of Derivative Security (Instr.5) |
9. Number of Derivative Securities Beneficially Owned at End of Year Reported Transaction(s) (Instr.4) |
10. Owner- ship Form of Deriv- ative Securities: Direct (D) or Indirect (I) (Instr.4) |
11. Nature of Indirect Beneficial Ownership (Instr.4) |
| Incentive Stock Option (Right to Buy) | $4.149 | 06/14/2002 | 06/14/2002 |
A
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15,256 A |
07/14/2002 / 06/14/2012
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Common Stock / 15,256
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$4.149
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15,256
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D
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| Nonstatutory Stock Option (Right to Buy) | $4.149 | 06/14/2002 | 06/14/2002 |
A
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9,744 A |
07/14/2002 / 06/14/2012
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Common Stock / 9,744
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$4.149
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9,744
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D
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(1) Shares issued pursuant to Issuer's Employee Stock Purchase Plan
(2) Represents an option in which 1/48th of the shares underlying the option become vested amd exercisable each month after the vesting commencement date defined in the Option Agreement. |
| By: | Date: |
| /s/ Kenneth M. Traverso | 03/13/2003 |
| Kenneth M. Traverso, Vice President Worldwide Sales | |
| ** Signature of Reporting Person | SEC 2270 (09-02) |
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. * If the form is filed by more than one reporting person, see Instruction 4(b)(v). ** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. Potential persons who are to respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number. |