UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
SCHEDULE 13D
Under the Securities Exchange Act of 1934
(Amendment No. )*
-----
NATUS MEDICAL INCORPORATED (BABY)
--------------------------------------------------------------------------------
(Name of Issuer)
COMMON
--------------------------------------------------------------------------------
(Title of Class of Securities)
639050103
------------------------------
(CUSIP Number)
David Nierenberg, The D3 Family Fund, 19605 NE 8th St., Camas, WA 98607
360-604-8600
------------------------------------------------------------------------------
(Name, Address and Telephone Number
of Person Authorized to Receive
Notices and Communications)
2/6/2003
-------------------------------
(Date of Event which Requires
Filing of this Statement)
If the filing person has previously filed a statement on Schedule 13G to report
the acquisition that is the subject of this Schedule 13D, and is filing this
schedule because of Rule 13d-1(e), 13d-1(f) or 13d-1(g), check the following box
[_].
Note: Schedules filed in paper format shall include a signed original and five
copies of the schedule, including all exhibits. See Rule 13d-7 for other parties
to whom copies are to be sent.
*The remainder of this cover page shall be filled out for a reporting person's
initial filing on this form with respect to the subject class of securities, and
for any subsequent amendment containing information which would alter the
disclosures provided in a prior cover page.
The information required in the remainder of this cover page shall not be deemed
to be "filed" for the purpose of Section 18 of the Securities Exchange Act of
1934 ("Act") or otherwise subject to the liabilities of that section of the Act
but shall be subject to all other provisions of the Act (however, see the
Notes).
Page 1 of 26
SCHEDULE 13D
------------
CUSIP No. 639050103
1) NAME OF REPORTING PERSON
S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
The D3 Family Fund, L.P.
--------------------------------------------------------------------------
2) CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
(a) [ X ]
(b) [ ]
3) SEC USE ONLY
--------------------------------------------------------------------------
4) SOURCE OF FUNDS
WC
--------------------------------------------------------------------------
5) CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED
PURSUANT TO ITEMS 2(d) or 2(e) [ ]
--------------------------------------------------------------------------
6) CITIZENSHIP OR PLACE OF ORGANIZATION
Washington State
--------------------------------------------------------------------------
7) SOLE VOTING POWER
NUMBER OF
857,400 (5.3%)
SHARES --------------------------------------------------
BENEFICIALLY 8) SHARED VOTING POWER
OWNED BY 0
--------------------------------------------------
EACH
9) SOLE DISPOSITIVE POWER
REPORTING
857,400 (5.3%)
PERSON --------------------------------------------------
WITH 10) SHARED DISPOSITIVE POWER
0
--------------------------------------------------
11) AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
997,999
--------------------------------------------------------------------------
12) CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN
SHARES* [ ]
--------------------------------------------------------------------------
13) PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
6.1%
--------------------------------------------------------------------------
14) TYPE OF REPORTING PERSON*
PN
--------------------------------------------------------------------------
Page 2 of 26
SCHEDULE 13D
------------
CUSIP No. 639050103
1) NAME OF REPORTING PERSON
S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
The Nierenberg Family 1993 Trust
--------------------------------------------------------------------------
2) CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
(a) [ X ]
(b) [ ]
3) SEC USE ONLY
--------------------------------------------------------------------------
4) SOURCE OF FUNDS
WC
--------------------------------------------------------------------------
5) CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED
PURSUANT TO ITEMS 2(d) or 2(e) [ ]
--------------------------------------------------------------------------
6) CITIZENSHIP OR PLACE OF ORGANIZATION
Washington State
--------------------------------------------------------------------------
7) SOLE VOTING POWER
NUMBER OF
18,587 (0.1%)
SHARES --------------------------------------------------
BENEFICIALLY 8) SHARED VOTING POWER
OWNED BY 0
--------------------------------------------------
EACH
9) SOLE DISPOSITIVE POWER
REPORTING
18,587 (0.1%)
PERSON --------------------------------------------------
WITH 10) SHARED DISPOSITIVE POWER
0
--------------------------------------------------
11) AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
997,999
--------------------------------------------------------------------------
12) CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN
SHARES* [ ]
--------------------------------------------------------------------------
13) PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
6.1%
--------------------------------------------------------------------------
14) TYPE OF REPORTING PERSON*
OO
--------------------------------------------------------------------------
Page 3 of 26
SCHEDULE 13D
------------
CUSIP No. 639050103
1) NAME OF REPORTING PERSON
S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
Haredale, Ltd.
--------------------------------------------------------------------------
2) CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
(a) [ X ]
(b) [ ]
3) SEC USE ONLY
--------------------------------------------------------------------------
4) SOURCE OF FUNDS
WC
--------------------------------------------------------------------------
5) CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED
PURSUANT TO ITEMS 2(d) or 2(e) [ ]
--------------------------------------------------------------------------
6) CITIZENSHIP OR PLACE OF ORGANIZATION
The Bahamas
--------------------------------------------------------------------------
7) SOLE VOTING POWER
NUMBER OF
22,600 (0.1%)
SHARES --------------------------------------------------
BENEFICIALLY 8) SHARED VOTING POWER
OWNED BY 0
--------------------------------------------------
EACH
9) SOLE DISPOSITIVE POWER
REPORTING
22,600 (0.1%)
PERSON --------------------------------------------------
WITH 10) SHARED DISPOSITIVE POWER
0
--------------------------------------------------
11) AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
997,999
--------------------------------------------------------------------------
12) CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN
SHARES* [ ]
--------------------------------------------------------------------------
13) PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
6.1%
--------------------------------------------------------------------------
14) TYPE OF REPORTING PERSON*
CO
--------------------------------------------------------------------------
Page 4 of 26
SCHEDULE 13D
------------
CUSIP No. 639050103
1) NAME OF REPORTING PERSON
S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
James Henry Hildebrandt
--------------------------------------------------------------------------
2) CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
(a) [ X ]
(b) [ ]
--------------------------------------------------------------------------
3) SEC USE ONLY
--------------------------------------------------------------------------
4) SOURCE OF FUNDS
WC
--------------------------------------------------------------------------
5) CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED
PURSUANT TO ITEMS 2(d) or 2(e) [ ]
--------------------------------------------------------------------------
6) CITIZENSHIP OR PLACE OF ORGANIZATION
Canada
--------------------------------------------------------------------------
7) SOLE VOTING POWER
NUMBER OF
10,700 (0.1%)
SHARES --------------------------------------------------
BENEFICIALLY 8) SHARED VOTING POWER
OWNED BY 0
--------------------------------------------------
EACH
9) SOLE DISPOSITIVE POWER
REPORTING
10,700 (0.1%)
PERSON --------------------------------------------------
WITH 10) SHARED DISPOSITIVE POWER
0
--------------------------------------------------
11) AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
997,999
--------------------------------------------------------------------------
12) CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN
SHARES* [ ]
--------------------------------------------------------------------------
13) PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
6.1%
--------------------------------------------------------------------------
14) TYPE OF REPORTING PERSON*
IN
--------------------------------------------------------------------------
Page 5 of 26
SCHEDULE 13D
------------
CUSIP No. 639050103
1) NAME OF REPORTING PERSON
S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
Toxford Corporation
--------------------------------------------------------------------------
2) CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
(a) [ X ]
(b) [ ]
--------------------------------------------------------------------------
3) SEC USE ONLY
--------------------------------------------------------------------------
4) SOURCE OF FUNDS
WC
--------------------------------------------------------------------------
5) CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED
PURSUANT TO ITEMS 2(d) or 2(e) [ ]
--------------------------------------------------------------------------
6) CITIZENSHIP OR PLACE OF ORGANIZATION
The Channel Islands
--------------------------------------------------------------------------
7) SOLE VOTING POWER
NUMBER OF
6,300 (0.0%)
SHARES --------------------------------------------------
BENEFICIALLY 8) SHARED VOTING POWER
OWNED BY 0
--------------------------------------------------
EACH
9) SOLE DISPOSITIVE POWER
REPORTING
6,300 (0.0%)
PERSON --------------------------------------------------
WITH 10) SHARED DISPOSITIVE POWER
0
--------------------------------------------------
11) AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
997,999
--------------------------------------------------------------------------
12) CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN
SHARES* [ ]
--------------------------------------------------------------------------
13) PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
6.1%
--------------------------------------------------------------------------
14) TYPE OF REPORTING PERSON*
CO
--------------------------------------------------------------------------
Page 6 of 26
SCHEDULE 13D
------------
CUSIP No. 639050103
1) NAME OF REPORTING PERSON
S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
David Nierenberg
--------------------------------------------------------------------------
2) CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
(a) [ X ]
(b) [ ]
--------------------------------------------------------------------------
3) SEC USE ONLY
--------------------------------------------------------------------------
4) SOURCE OF FUNDS
WC
--------------------------------------------------------------------------
5) CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED
PURSUANT TO ITEMS 2(d) or 2(e) [ ]
--------------------------------------------------------------------------
6) CITIZENSHIP OR PLACE OF ORGANIZATION
USA
--------------------------------------------------------------------------
7) SOLE VOTING POWER
NUMBER OF
18,055* (0.1%)
SHARES --------------------------------------------------
BENEFICIALLY 8) SHARED VOTING POWER
OWNED BY 0
--------------------------------------------------
EACH
9) SOLE DISPOSITIVE POWER
REPORTING
18,055* (0.0%)
PERSON --------------------------------------------------
WITH 10) SHARED DISPOSITIVE POWER
0
--------------------------------------------------
11) AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
997,999
--------------------------------------------------------------------------
12) CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN
SHARES [ ]
--------------------------------------------------------------------------
13) PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
6.1%
--------------------------------------------------------------------------
14) TYPE OF REPORTING PERSON
IN
--------------------------------------------------------------------------
* Consists of stock options vested and exercisable within 60 days after
December 31, 2002 which give the reporting person the right to acquire 18,055
shares of common stock.
Page 7 of 26
SCHEDULE 13D
------------
CUSIP No. 639050103
1) NAME OF REPORTING PERSON
S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
The David and Patricia Nierenberg 1993 Irrevocable Trust,
June 11, 1993, Lawrence K. Orr, Trustee
--------------------------------------------------------------------------
2) CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
(a) [ X ]
(b) [ ]
--------------------------------------------------------------------------
3) SEC USE ONLY
--------------------------------------------------------------------------
4) SOURCE OF FUNDS
WC
--------------------------------------------------------------------------
5) CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED
PURSUANT TO ITEMS 2(d) or 2(e) [ ]
--------------------------------------------------------------------------
6) CITIZENSHIP OR PLACE OF ORGANIZATION
Washington
--------------------------------------------------------------------------
7) SOLE VOTING POWER
NUMBER OF
30,857 (0.2%)
SHARES --------------------------------------------------
BENEFICIALLY 8) SHARED VOTING POWER
OWNED BY 0
--------------------------------------------------
EACH
9) SOLE DISPOSITIVE POWER
REPORTING
30,857 (0.2%)
PERSON --------------------------------------------------
WITH 10) SHARED DISPOSITIVE POWER
0
--------------------------------------------------
11) AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
997,999
--------------------------------------------------------------------------
12) CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN
SHARES* [ ]
--------------------------------------------------------------------------
13) PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
6.1%
--------------------------------------------------------------------------
14) TYPE OF REPORTING PERSON*
OO (Irrevocable trust)
--------------------------------------------------------------------------
Page 8 of 26
SCHEDULE 13D
------------
CUSIP No. 639050103
1) NAME OF REPORTING PERSON
S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
Olivier Roux
--------------------------------------------------------------------------
2) CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
(a) [ X ]
(b) [ ]
--------------------------------------------------------------------------
3) SEC USE ONLY
--------------------------------------------------------------------------
4) SOURCE OF FUNDS
WC
--------------------------------------------------------------------------
5) CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED
PURSUANT TO ITEMS 2(d) or 2(e) [ ]
--------------------------------------------------------------------------
6) CITIZENSHIP OR PLACE OF ORGANIZATION
France
--------------------------------------------------------------------------
7) SOLE VOTING POWER
NUMBER OF
20,000 (0.1%)
SHARES --------------------------------------------------
BENEFICIALLY 8) SHARED VOTING POWER
OWNED BY 0
--------------------------------------------------
EACH
9) SOLE DISPOSITIVE POWER
REPORTING
20,000 (0.1%)
PERSON --------------------------------------------------
WITH 10) SHARED DISPOSITIVE POWER
0
--------------------------------------------------
11) AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
997,999
--------------------------------------------------------------------------
12) CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN
SHARES* [ ]
--------------------------------------------------------------------------
13) PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
6.1%
--------------------------------------------------------------------------
14) TYPE OF REPORTING PERSON*
OO (Irrevocable trust)
--------------------------------------------------------------------------
Page 9 of 26
SCHEDULE 13D
------------
CUSIP No. 639050103
1) NAME OF REPORTING PERSON
S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
Henry Hooper
--------------------------------------------------------------------------
2) CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
(a) [ X ]
(b) [ ]
--------------------------------------------------------------------------
3) SEC USE ONLY
--------------------------------------------------------------------------
4) SOURCE OF FUNDS
WC
--------------------------------------------------------------------------
5) CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED
PURSUANT TO ITEMS 2(d) or 2(e) [ ]
--------------------------------------------------------------------------
6) CITIZENSHIP OR PLACE OF ORGANIZATION
USA
--------------------------------------------------------------------------
7) SOLE VOTING POWER
NUMBER OF
1,500 (0.01%)
SHARES --------------------------------------------------
BENEFICIALLY 8) SHARED VOTING POWER
OWNED BY 0
--------------------------------------------------
EACH
9) SOLE DISPOSITIVE POWER
REPORTING
1,500 (0.01%)
PERSON --------------------------------------------------
WITH 10) SHARED DISPOSITIVE POWER
0
--------------------------------------------------
11) AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
997,999
--------------------------------------------------------------------------
12) CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN
SHARES* [ ]
--------------------------------------------------------------------------
13) PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
6.1%
--------------------------------------------------------------------------
14) TYPE OF REPORTING PERSON*
IN
--------------------------------------------------------------------------
Page 10 of 26
SCHEDULE 13D
------------
CUSIP No. 639050103
1) NAME OF REPORTING PERSON
S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
Bruno Tiphine
--------------------------------------------------------------------------
2) CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
(a) [ X ]
(b) [ ]
--------------------------------------------------------------------------
3) SEC USE ONLY
--------------------------------------------------------------------------
4) SOURCE OF FUNDS
WC
--------------------------------------------------------------------------
5) CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED
PURSUANT TO ITEMS 2(d) or 2(e) [ ]
--------------------------------------------------------------------------
6) CITIZENSHIP OR PLACE OF ORGANIZATION
France
--------------------------------------------------------------------------
7) SOLE VOTING POWER
NUMBER OF
4,500 (0.03%)
SHARES --------------------------------------------------
BENEFICIALLY 8) SHARED VOTING POWER
OWNED BY 0
--------------------------------------------------
EACH
9) SOLE DISPOSITIVE POWER
REPORTING
4,500 (0.03%)
PERSON --------------------------------------------------
WITH 10) SHARED DISPOSITIVE POWER
0
--------------------------------------------------
11) AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
997,999
--------------------------------------------------------------------------
12) CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN
SHARES* [ ]
--------------------------------------------------------------------------
13) PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
6.1%
--------------------------------------------------------------------------
14) TYPE OF REPORTING PERSON*
IN
--------------------------------------------------------------------------
Page 11 of 26
SCHEDULE 13D
------------
CUSIP No. 639050103
1) NAME OF REPORTING PERSON
S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
Rita & Bruno Tiphine
--------------------------------------------------------------------------
2) CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
(a) [ X ]
(b) [ ]
--------------------------------------------------------------------------
3) SEC USE ONLY
--------------------------------------------------------------------------
4) SOURCE OF FUNDS
WC
--------------------------------------------------------------------------
5) CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED
PURSUANT TO ITEMS 2(d) or 2(e) [ ]
--------------------------------------------------------------------------
6) CITIZENSHIP OR PLACE OF ORGANIZATION
Italy & France
--------------------------------------------------------------------------
7) SOLE VOTING POWER
NUMBER OF
7,500 (0.1%)
SHARES --------------------------------------------------
BENEFICIALLY 8) SHARED VOTING POWER
OWNED BY 0
--------------------------------------------------
EACH
9) SOLE DISPOSITIVE POWER
REPORTING
7,500 (0.1%)
PERSON --------------------------------------------------
WITH 10) SHARED DISPOSITIVE POWER
0
--------------------------------------------------
11) AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
997,999
--------------------------------------------------------------------------
12) CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN
SHARES* [ ]
--------------------------------------------------------------------------
13) PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
6.1%
--------------------------------------------------------------------------
14) TYPE OF REPORTING PERSON*
IN
--------------------------------------------------------------------------
Page 12 of 26
ITEM 1. SECURITY AND ISSUER
Common stock of Natus Medical Incorporated,
1501 Industrial Road, San Carlos, CA 94070.
ITEM 2. IDENTITY AND BACKGROUND
(a) The D3 Family Fund, L.P.
(b) 19605 N.E. 8th St., Camas, Washington 98607
(c) Investment in the equities of public micro-cap issuers
(d) None
(e) None
(f) A Washington limited partnership
ITEM 3. SOURCE AND AMOUNT OF FUNDS OR OTHER CONSIDERATION
Source of funds is money invested in the partnership by its partners.
Aggregate amount invested in Natus shares purchased by the partnership
is $3,929,215.
ITEM 4. PURPOSE OF TRANSACTION
The purpose of the share purchases is for investment. None of the
other actions described in items 4(a)-(j) are currently contemplated.
ITEM 5. INTEREST IN SECURITIES OF THE ISSUER
(a,b) The D3 Family Fund, L.P. owns, and has sole voting and
dispositive power over 857,400 BABY shares. In addition, 18,587 shares
are owned by The Nierenberg 1993 Family Trust, 22,600 by Haredale,
Ltd., 10,700 shares by James Henry Hildebrandt, 6,300 shares by Toxford
Corporation, 30,857 shares by The David and Patricia Nierenberg 1993
Irrevocable Trust, June 11, 1993, Lawrence K. Orr, Trustee, 20,000
shares by Olivier Roux, 1,500 shares by Henry Hooper, 4,500 shares by
Bruno Tiphine, 7,500 shares by Rita and Bruno Tiphine and 18,055 shares
by David Nierenberg. The shares held by David Nierenberg individually
consist of stock options vested and exercisable within 60 days after
December 31, 2002. Aggregate ownership is 6.14%
(c) N/A
(d) N/A
(e) N/A
ITEM 6. CONTRACTS, ARRANGEMENTS, UNDERSTANDINGS OR RELATIONSHIPS WITH RESPECT
TO SECURITIES OF THE ISSUER
N/A
Page 13 of 26
ITEM 7. MATERIAL TO BE FILED AS EXHIBITS
N/A
Signature
After reasonable inquiry and to the best of my knowledge and belief, I
certify that the information set forth in this statement is true, complete and
correct.
February 14, 2003 /s/ DAVID NIERENBERG
------------------- ------------------------------------
Date David Nierenberg, President
Nierenberg Investment Management
Company, Inc., the general partner
of The D3 Family Fund, L.P.
ITEM 1. SECURITY AND ISSUER
Common stock of Natus Medical Incorporated,
1501 Industrial Road, San Carlos, CA 94070.
ITEM 2. IDENTITY AND BACKGROUND
(a) The Nierenberg Family 1993 Trust
(b) 19605 NE 8th Street, Camas, Washington 98607
(c) A trust
(d) None
(e) None
(f) Washington
ITEM 3. SOURCE AND AMOUNT OF FUNDS OR OTHER CONSIDERATION
Source of funds is money invested in the Trust by its Trustors. Shares
were acquired by the Trust when Natus was not a publicly held company.
ITEM 4. PURPOSE OF TRANSACTION
The purpose of the share purchases is for investment. None of the
other actions described in items 4(a)-(j) are currently contemplated.
ITEM 5. INTEREST IN SECURITIES OF THE ISSUER
(a,b) The Nierenberg Family 1993 Trust owns and Mr. Nierenberg, as
trustee has sole voting and dispositive power over its 18,587
shares.
Page 14 of 26
(c) N/A
(d) N/A
(e) N/A
ITEM 6. CONTRACTS, ARRANGEMENTS, UNDERSTANDINGS OR RELATIONSHIPS WITH RESPECT
TO SECURITIES OF THE ISSUER
N/A
ITEM 7. MATERIAL TO BE FILED AS EXHIBITS
N/A
Signature
After reasonable inquiry and to the best of my knowledge and belief, I
certify that the information set forth in this statement is true, complete and
correct.
February 14, 2003 /s/ DAVID NIERENBERG
------------------- ------------------------------------
Date David Nierenberg
Authorized to trade for
The Nierenberg Family 1993 Trust
ITEM 1. SECURITY AND ISSUER
Common stock of Natus Medical Incorporated,
1501 Industrial Road, San Carlos, CA 94070.
ITEM 2. IDENTITY AND BACKGROUND
(a) Haredale Ltd.
(b) P.O. Box N-4465, Nassau, New Providence, The Bahamas.
(c) Haredale is in the investment business at the address above.
(d) None
(e) None
(f) The Bahamas.
ITEM 3. SOURCE AND AMOUNT OF FUNDS OR OTHER CONSIDERATION
Source of funds is Haredale working capital. Haredale has invested
$104,501 in shares of BABY.
ITEM 4. PURPOSE OF TRANSACTION
Page 15 of 26
The purpose of the share purchases is for investment. None of the
other actions described in items 4(a)-(j) are currently contemplated.
ITEM 5. INTEREST IN SECURITIES OF THE ISSUER
(a,b) Haredale owns, and Mr. Nierenberg has sole voting and
dispositive power over, its 22,600 shares.
(c) N/A
(d) N/A
(e) N/A
ITEM 6. CONTRACTS, ARRANGEMENTS, UNDERSTANDINGS OR RELATIONSHIPS WITH RESPECT
TO SECURITIES OF THE ISSUER
Haredale pays Mr. Nierenberg an annual management fee and a share
of its net profits for his personal management of its account.
ITEM 7. MATERIAL TO BE FILED AS EXHIBITS
N/A
Signature
After reasonable inquiry and to the best of my knowledge and belief, I
certify that the information set forth in this statement is true, complete and
correct.
February 14, 2003 /s/ DAVID NIERENBERG
------------------- ------------------------------------
Date David Nierenberg
Authorized to trade for
Haredale, Ltd.
ITEM 1. SECURITY AND ISSUER
Common stock of Natus Medical Incorporated,
1501 Industrial Road, San Carlos, CA 94070.
ITEM 2. IDENTITY AND BACKGROUND
(a) James Henry Hildebrandt a Canadian citizen resident in Hong Kong.
(b) c/o Bain & Company, Tenth Floor, One Pacific Place, 88 Queensway,
Hong Kong.
(c) Mr. Hildebrandt is a management consultant.
(d) None
(e) None
(f) Canada
Page 16 of 26
ITEM 3. SOURCE AND AMOUNT OF FUNDS OR OTHER CONSIDERATION
Source of funds is working capital. Mr. Hildebrandt has invested
$50,867 in shares of BABY.
ITEM 4. PURPOSE OF TRANSACTION
The purpose of the share purchases is for investment. None of the
other actions described in items 4(a)-(j) are currently contemplated.
ITEM 5. INTEREST IN SECURITIES OF THE ISSUER
(a,b) Mr. Hildebrandt owns, and Mr. Nierenberg has sole voting and
dispositive power over, his 10,700 BABY shares.
(c) N/A
(d) N/A
(e) N/A
ITEM 6. CONTRACTS, ARRANGEMENTS, UNDERSTANDINGS OR RELATIONSHIPS WITH RESPECT
TO SECURITIES OF THE ISSUER
Mr. Hildebrandt pays Mr. Nierenberg an annual management fee and a
share of its net profits for his personal management of his account.
ITEM 7. MATERIAL TO BE FILED AS EXHIBITS
N/A
Signature
After reasonable inquiry and to the best of my knowledge and belief, I
certify that the information set forth in this statement is true, complete and
correct.
February 14, 2003 /s/ DAVID NIERENBERG
------------------ ------------------------------------
Date David Nierenberg
Authorized to trade for
John Henry Hildebrandt
ITEM 1. SECURITY AND ISSUER
Common stock of Natus Medical Incorporated,
1501 Industrial Road, San Carlos, CA 94070.
ITEM 2. IDENTITY AND BACKGROUND
(a) Toxford Corporation
(b) P.O. Box 3048, St. Andrews House, Le Bordage, St. Peter Port,
Guernsey, Channel Islands, British Isles.
Page 17 of 26
(c) Toxford Corporation is in the investment business.
(d) None
(e) None
(f) Channel Islands, British Isles.
ITEM 3. SOURCE AND AMOUNT OF FUNDS OR OTHER CONSIDERATION
Source of funds is Toxford working capital. Toxford has invested
$29,903 in shares of BABY.
ITEM 4. PURPOSE OF TRANSACTION
The purpose of the share purchases is for investment. None of the
other actions described in items 4(a)-(j) are currently contemplated.
ITEM 5. INTEREST IN SECURITIES OF THE ISSUER
(a,b) Toxford Corporation owns, and Mr. Nierenberg has sole voting and
dispositive power over, its 6,300 BABY shares.
(c) N/A
(d) N/A
(e) N/A
ITEM 6. CONTRACTS, ARRANGEMENTS, UNDERSTANDINGS OR RELATIONSHIPS WITH RESPECT
TO SECURITIES OF THE ISSUER
Toxford Corporation pays Mr. Nierenberg an annual management fee and a
share of its net profits for his personal management of its account.
ITEM 7. MATERIAL TO BE FILED AS EXHIBITS
N/A
Signature
After reasonable inquiry and to the best of my knowledge and belief, I
certify that the information set forth in this statement is true, complete and
correct.
February 14, 2003 /s/ DAVID NIERENBERG
------------------ ------------------------------------
Date David Nierenberg
Authorized to trade for
Toxford Corporation
ITEM 1. SECURITY AND ISSUER
Page 18 of 26
Common stock of Natus Medical Incorporated,
1501 Industrial Road, San Carlos, CA 94070.
ITEM 2. IDENTITY AND BACKGROUND
(a) David Nierenberg
(b) 19605 N.E. 8th Street, Camas, Washington 98607
(c) Investment management. Mr. Nierenberg is a general partner of The
D3 Family Fund, L.P.
(d) None
(e) None
(f) USA
ITEM 3. SOURCE AND AMOUNT OF FUNDS OR OTHER CONSIDERATION
Source of funds is a distribution of BABY shares from Trinity Ventures,
a venture capital firm which invested in BABY when it was a private
company.
ITEM 4. PURPOSE OF TRANSACTION
The purpose of the share purchases is for investment. None of the
other actions described in items 4(a)-(j) are currently contemplated.
ITEM 5. INTEREST IN SECURITIES OF THE ISSUER
(a,b) Mr. Nierenberg owns, and has sole voting and dispositive power
over, his 18,055 shares, which consist of stock options vested and
exercisable within 60 days after Decemebr 31, 2002, which give Mr.
Nierenberg the right to acquire 18,055 shares of common stock.
(c) N/A
(d) N/A
(e) N/A
ITEM 6. CONTRACTS, ARRANGEMENTS, UNDERSTANDINGS OR RELATIONSHIPS WITH RESPECT
TO SECURITIES OF THE ISSUER
N/A
ITEM 7. MATERIAL TO BE FILED AS EXHIBITS
N/A
Signature
Page 19 of 26
After reasonable inquiry and to the best of my knowledge and belief, I
certify that the information set forth in this statement is true, complete and
correct.
February 14, 2003 /s/ DAVID NIERENBERG
------------------ ------------------------------------
Date David Nierenberg
ITEM 1. SECURITY AND ISSUER
Common stock of Natus Medical Incorporated,
1501 Industrial Road, San Carlos, CA 94070.
ITEM 2. IDENTITY AND BACKGROUND
(a) The David and Patricia Nierenberg 1993 Irrevocable Trust, 6/11/93,
Lawrence K. Orr, Trustee.
(b) Lawrence K. Orr, Trinity Ventures, 3000 Sand Hill
Road, Bldg. 4, Suite 160, Menlo Park, CA 94025.
(c) This is an irrevocable trust for the benefit of the Nierenberg
children.
(d) None
(e) None
(f) A California trust.
ITEM 3. SOURCE AND AMOUNT OF FUNDS OR OTHER CONSIDERATION
Source of funds is money invested in the Trust by its Trustors.
ITEM 4. PURPOSE OF TRANSACTION
The purpose of the share purchases is for investment. None of the
other actions described in items 4(a)-(j) are currently contemplated.
ITEM 5. INTEREST IN SECURITIES OF THE ISSUER
(a,b) The Trust owns, and Mr. Orr has sole voting and dispositive
power over the trust's 30,857 shares.
(c) N/A
(d) N/A
(e) N/A
ITEM 6. CONTRACTS, ARRANGEMENTS, UNDERSTANDINGS OR RELATIONSHIPS WITH RESPECT
TO SECURITIES OF THE ISSUER
The trust pays Mr. Nierenberg an annual management fee and a share of
its net profits for his personal management of its accounts.
Page 20 of 26
ITEM 7. MATERIAL TO BE FILED AS EXHIBITS
N/A
Signature
After reasonable inquiry and to the best of my knowledge and belief, I
certify that the information set forth in this statement is true, complete and
correct.
February 14, 2003 /s/ DAVID NIERENBERG
------------------ ------------------------------------
Date David Nierenberg
Authorized to trade for Tha David &
Patricia Nierenberg 1993
Irrevocable Trust, June 11, 1993,
Lawrence K. Orr, Trustee
ITEM 1. SECURITY AND ISSUER
Common stock of Natus Medical Incorporated,
1501 Industrial Road, San Carlos, CA 94070.
ITEM 2. IDENTITY AND BACKGROUND
(a) Olivier Roux
(b) Talisman Management, Ltd., 37 Ixworth Place, London SW3, England
(c) Mr. Roux is a management consultant.
(d) None
(e) None
(f) A French citizen resident in the United Kingdom.
ITEM 3. SOURCE AND AMOUNT OF FUNDS OR OTHER CONSIDERATION
Source of funds is working capital. Mr. Roux has invested $80,200 in
shares of BABY.
ITEM 4. PURPOSE OF TRANSACTION
The purpose of the share purchases is for investment. None of the
other actions described in items 4(a)-(j) are currently contemplated.
ITEM 5. INTEREST IN SECURITIES OF THE ISSUER
(a,b) Mr. Roux owns, and Mr. Nierenberg has sole voting and dispositive
power over his 20,000 shares.
(c) N/A
Page 21 of 26
(d) N/A
(e) N/A
ITEM 6. CONTRACTS, ARRANGEMENTS, UNDERSTANDINGS OR RELATIONSHIPS WITH RESPECT
TO SECURITIES OF THE ISSUER
Mr. Roux pays Mr. Nierenberg an annual management fee and a share of
its net profits for his personal management of its accounts.
ITEM 7. MATERIAL TO BE FILED AS EXHIBITS
N/A
Signature
After reasonable inquiry and to the best of my knowledge and belief, I
certify that the information set forth in this statement is true, complete and
correct.
February 14, 2003 /s/ DAVID NIERENBERG
------------------ ------------------------------------
Date David Nierenberg
Authorized to trade for Olivier Roux
ITEM 1. SECURITY AND ISSUER
Common stock of Natus Medical Incorporated,
1501 Industrial Road, San Carlos, CA 94070.
ITEM 2. IDENTITY AND BACKGROUND
(a) Henry Hooper
(b) 4317 NE Wistaria Drive, Portland, Oregon 97213
(c) Mr. Hooper is a general partner of The D3 Family Fund, L.P.
(d) None
(e) None
(f) USA
ITEM 3. SOURCE AND AMOUNT OF FUNDS OR OTHER CONSIDERATION
Source of funds is money invested in the partnership by its partners.
Aggregate amount invested BABY shares purchased by the partnership is
$6,000.
ITEM 4. PURPOSE OF TRANSACTION
Page 22 of 26
The purpose of the share purchases is for investment. None of the
other actions described in items 4(a)-(j) are currently contemplated.
ITEM 5. INTEREST IN SECURITIES OF THE ISSUER
(a,b) Mr. Hooper owns and has sole voting and dispositive power over,
his 1,500 shares.
(c) N/A
(d) N/A
(e) N/A
ITEM 6. CONTRACTS, ARRANGEMENTS, UNDERSTANDINGS OR RELATIONSHIPS WITH RESPECT
TO SECURITIES OF THE ISSUER
Mr. Hooper pays Mr. Nierenberg an annual management fee and a share of
its net profits for his personal management of its accounts.
ITEM 7. MATERIAL TO BE FILED AS EXHIBITS
N/A
Signature
After reasonable inquiry and to the best of my knowledge and belief, I
certify that the information set forth in this statement is true, complete and
correct.
February 14, 2003 /s/ DAVID NIERENBERG
------------------ ------------------------------------
Date David Nierenberg
Authorized to trade for Henry Hooper
ITEM 1. SECURITY AND ISSUER
Common stock of Natus Medical Incorporated,
1501 Industrial Road, San Carlos, CA 94070.
ITEM 2. IDENTITY AND BACKGROUND
(a) Bruno Tiphine
(b) 92 Fellows Road, London NW3 3JG, England.
(c) Mr. Tiphine is a management consultant.
(d) None
(e) None
(f) A French citizen resident in the United Kingdom.
Page 23 of 26
ITEM 3. SOURCE AND AMOUNT OF FUNDS OR OTHER CONSIDERATION
Source of funds is money invested in the partnership by its partners.
Aggregate amount invested BABY shares purchased by the partnership is
$15,780.
ITEM 4. PURPOSE OF TRANSACTION
The purpose of the share purchases is for investment. None of the
other actions described in items 4(a)-(j) are currently contemplated.
ITEM 5. INTEREST IN SECURITIES OF THE ISSUER
(a,b) Mr. Tiphine owns, and Mr. Nierenberg has sole voting and
dispositive power over, his 4,500 shares.
(c) N/A
(d) N/A
(e) N/A
ITEM 6. CONTRACTS, ARRANGEMENTS, UNDERSTANDINGS OR RELATIONSHIPS WITH RESPECT
TO SECURITIES OF THE ISSUER
Mr. Tiphine pays Mr. Nierenberg an annual management fee and a share of
its net profits for his personal management of Mr. Tiphine's accounts.
ITEM 7. MATERIAL TO BE FILED AS EXHIBITS
N/A
Signature
After reasonable inquiry and to the best of my knowledge and belief, I
certify that the information set forth in this statement is true, complete and
correct.
February 14, 2003 /s/ DAVID NIERENBERG
------------------ ------------------------------------
Date David Nierenberg
Authorized to trade for Bruno Tiphine
ITEM 1. SECURITY AND ISSUER
Common stock of Natus Medical Incorporated,
1501 Industrial Road, San Carlos, CA 94070.
ITEM 2. IDENTITY AND BACKGROUND
(a) Rita & Bruno Tiphine
(b) 92 Fellows Road, London NW3 3JG, England.
Page 24 of 26
(c) Mrs. Tiphine is a homemaker and Mr. Tiphine is a management
consultant.
(d) None
(e) None
(f) Italian and French citizens resident in the United Kingdom.
ITEM 3. SOURCE AND AMOUNT OF FUNDS OR OTHER CONSIDERATION
Source of funds is money invested in the partnership by its partners.
Aggregate amount invested BABY shares purchased by the partnership is
$26,496.
ITEM 4. PURPOSE OF TRANSACTION
The purpose of the share purchases is for investment. None of the
other actions described in items 4(a)-(j) are currently contemplated.
ITEM 5. INTEREST IN SECURITIES OF THE ISSUER
(a,b) Mr. & Mrs. Tiphine own, and Mr. Nierenberg has sole voting and
dispositive power over, their 7,500 shares.
(c) N/A
(d) N/A
(e) N/A
ITEM 6. CONTRACTS, ARRANGEMENTS, UNDERSTANDINGS OR RELATIONSHIPS WITH RESPECT
TO SECURITIES OF THE ISSUER
Mr. & Mrs. Tiphine pay Mr. Nierenberg an annual management fee and a
share of its net profits for his personal management of their account.
ITEM 7. MATERIAL TO BE FILED AS EXHIBITS
N/A
Signature
After reasonable inquiry and to the best of my knowledge and belief, I
certify that the information set forth in this statement is true, complete and
correct.
February 14, 2003 /s/ DAVID NIERENBERG
------------------ ------------------------------------
Date David Nierenberg
Authorized to trade for
Rita & Bruno Tiphine
Page 25 of 26
The original statement shall be signed by each person on whose behalf the
statement is filed or his authorized representative. If the statement is signed
on behalf of a person by his authorized representative (other than an executive
officer or general partner of the filing person), evidence of the
representative's authority to sign on behalf of such person shall be filed with
the statement provided, however, that a power of attorney for this purpose which
is already on file with the Commission may be incorporated by reference. The
name and any title of each person who signs the statement shall be typed or
printed beneath his signature.
ATTENTION: INTENTIONAL MISSTATEMENTS OR OMISSIONS OF FACT
CONSTITUTE FEDERAL CRIMINAL VIOLATIONS (SEE 18 U.S.C. 1001)
Page 26 of 26