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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, DC 20549
FORM 4
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(h) of the Investment Company Act of 1940
|_| Check this box if no longer subject to Section 16. Form 4 or Form 5
obligations may continue. See Instruction 1(b).
(Print or Type Responses)
________________________________________________________________________________
1. Name and Address of Reporting Person*
Perry Richard C.
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(Last) (First) (Middle)
c/o Perry Capital
599 Lexington Avenue
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(Street)
New York New York 10022
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(City) (State) (Zip)
________________________________________________________________________________
2. Issuer Name and Ticker or Trading Symbol
Natus Medical, Inc. (Ticker: BABY)
________________________________________________________________________________
3. I.R.S. Identification Number of Reporting Person, if an entity (voluntary)
________________________________________________________________________________
4. Statement for Month/Day/Year
03/13/03
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5. If Amendment, Date of Original (Month/Day/Year)
________________________________________________________________________________
6. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
|_| Director |X| 10% Owner
|_| Officer (give title below) |_| Other (specify below)
____________________________________________________________________
________________________________________________________________________________
7. Individual or Joint/Group Filing (Check Applicable line)
|_| Form Filed by One Reporting Person
|X| 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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5.
Amount of 6.
4. Securities Owner-
Securities Acquired (A) or Beneficially ship
2A. 3. Disposed of (D) Owned Form: 7.
2. Deemed Transaction (Instr. 3, 4 and 5) Following Direct Nature of
Trans- Execution Code ----------------------------- Reported (D) or Indirect
1. action Date, if (Instr. 8) (A) Transaction(s) Indirect Beneficial
Title of Security Date any ------------ or (Instr. 3 & (I) Ownership
(Instr. 3) (mm/dd/yy) (mm/dd/yy) Code V Amount (D) Price Instr.4) (Instr.4) (Instr.4)
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Common Stock, par value 03/13/03 N/A P 10,105 A $3.31 (2) I By Perry
$0.001 per share Partners,
L.P. (3)
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Common Stock, par value 03/13/03 N/A P 32,680 A $3.31 (2) I By Perry
$0.001 per share Partners
International,
Inc. (3)
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Common Stock, par value 03/13/03 N/A P 215 A $3.31 (2) I By Auda
$0.001 per share Classics,
PLC (3)
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Common Stock, par value 03/13/03 N/A P 7,050 A $3.3358 (2) I By Perry
$0.001 per share Partners,
L.P. (3)
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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).
Persons who respond to the collection of information contained in this
form are not required to respond unless the form displays a currently
valid OMB control number
Page 1 of 4
FORM 4 (continued)
Table II -- Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
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9.
Number 10.
of Owner-
deriv- ship
ative Form
2. Secur- of
Conver- 5. 7. ities Deriv- 11.
sion Number of Title and Amount Bene- ative Nature
or Derivative 6. of Underlying 8. ficially Secur- of
Exer- 3A. 4. Securities Date Securities Price Owned ity: In-
cise Deemed Trans- Acquired (A) Exercisable and (Instr. 3 and 4) of Follow- Direct direct
Price 3. Execut- action or Disposed Expiration Date ---------------- Deriv- ing (D) or Bene-
1. of Trans- ion Code of(D) (Month/Day/Year) Amount ative Reported In- ficial
Title of Deriv- action Date if (Instr. (Instr. 3, ---------------- or Secur- Trans- direct Owner-
Derivative ative Date any 8) 4 and 5) Date Expira- Number ity action(s) (I) ship
Security Secur- (mm/dd/ (mm/dd/ ------ ------------ Exer- tion of (Instr. (Instr. (Instr. (Instr.
(Instr. 3) ity yy) yy) Code V (A) (D) cisable Date Title Shares 5) 4) 4) 4)
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None.
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Explanation of Responses:
(1) See Attachment A
(2) Securities beneficially owned by Mr. Perry and Perry Corp. consist of the
following:
(a) 1,288,364 shares of Common Stock owned by Perry Partners, L.P.
(b) 3,399,227 shares of Common Stock owned by Perry Partners
International, Inc.
(c) 34,809 shares of Common Stock owned by Auda Classics, PLC.
(3) (a) The general partner of Perry Partners, L.P. is Perry Corp., of which
Mr. Perry is the President and the sole shareholder. Perry Corp. and Mr.
Perry may be deemed to have voting and dispositive power with respect to
the shares held by Perry Partners, L.P. Mr. Perry disclaims beneficial
ownership of such shares, except to the extent of his pecuniary interest
therein, if any, and this report shall not be deemed an admission that Mr.
Perry is the beneficial owner of the shares for purposes of Section 16 of
the Securities and Exchange Act of 1934 or for any other purpose.
(b) The investment manager of Perry Partners International, Inc. is Perry
Corp., of which Mr. Perry is the President and the sole shareholder. Perry
Corp. and Mr. Perry may be deemed to have voting and dispositive power
with respect to the shares held by Perry Partners International, Inc. Mr.
Perry disclaims beneficial ownership of such shares, except to the extent
of his pecuniary interest therein, if any, and this report shall not be
deemed an admission that Mr. Perry is the beneficial owner of the shares
for purposes of Section 16 of the Securities and Exchange Act of 1934 or
for any other purpose.
(c) Perry Corp., of which Mr. Perry is the President and the sole
shareholder, holds the power to vote and dispose of the shares held by
Auda Classics, PLC pursuant to an investment contract with Auda Classics,
PLC. Mr. Perry disclaims beneficial ownership of such shares, except to
the extent of his pecuniary interest therein, if any, and this report
shall not be deemed an admission that Mr. Perry is the beneficial owner of
the shares for purposes of Section 16 or for any other purpose.
/s/ Randall Borkenstein March 14, 2003
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Randall Borkenstein Date
Attorney-in-fact
** 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.
Page 2 of 4
Joint Filer Information
Name: Perry Corp.
Address: c/o Perry Capital
599 Lexington Avenue
New York, NY 10022
Designated Filer: Richard C. Perry
Issuer & Ticker Symbol: Natus Medical, Inc. (Ticker: Baby)
Statement for Mo/Date/Year: March 13, 2003
PERRY CORP.
By: /s/ Randall Borkenstein
------------------------------------
Name: Randall Borkenstein
Title: Managing Director and Chief
Financial Officer
Attorney-in-fact
Date: March 14, 2003
Page 3 of 4
ATTACHMENT A
Form 4
Name and Address: Richard C. Perry
c/o Perry Capital
599 Lexington Avenue
New York, NY 10022
Issuer Name & Ticker Symbol: Natus Medical, Inc. (Ticker: Baby)
Statement for Month/Date/Year: March 13, 2003
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Table I -- Non-Derivative Securities Acquired, Disposed of,
or Beneficially Owned
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5.
Amount of 6.
4. Securities Owner-
Securities Acquired (A) or Beneficially ship
2A. 3. Disposed of (D) Owned Form: 7.
2. Deemed Transaction (Instr. 3, 4 and 5) Following Direct Nature of
Trans- Execution Code ----------------------------- Reported (D) or Indirect
1. action Date, if (Instr. 8) (A) Transaction(s) Indirect Beneficial
Title of Security Date any ------------ or (Instr. 3 & (I) Ownership
(Instr. 3) (mm/dd/yy) (mm/dd/yy) Code V Amount (D) Price Instr.4) (Instr.4) (Instr.4)
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Common Stock, par value 03/13/03 N/A P 22,800 A $3.3358 (2) I By Perry
$0.001 per share Partners
International,
Inc. (3)
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Common Stock, par value 03/13/03 N/A P 150 A $3.3358 (2) I By Auda
$0.001 per share Classics, PLC
(3)
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Common Stock, par value 03/13/03 N/A P 250 A $3.52 (2) I By Perry
$0.001 per share Partners, L.P.
(3)
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Common Stock, par value 03/13/03 N/A P 750 A $3.52 (2) I By Perry
$0.001 per share Partners
International,
Inc. (3)
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Page 4 of 4