UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
 
 
 
FORM 10-K/A
 
 
Amendment No. 1
 
 

ý
Annual report pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 for the fiscal year ended December 31, 2017
 
OR
¬
Transition report pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 for the transition period from                      to                     .
Commission file number: 000–33001
 
 
 
 NATUS MEDICAL INCORPORATED
(Exact name of Registrant as specified in its charter)
Delaware
 
77–0154833
(State or other jurisdiction of
incorporation or organization)
 
(I.R.S. Employer
Identification Number)
6701 Koll Center Parkway, Suite 120, Pleasanton, CA 94566
(Address of principal executive offices) (Zip Code)
(925) 223-6700
(Registrant’s telephone number, including area code)
Securities Registered Pursuant to Section 12(b) of the Act:
Title of each class
 
Name of each exchange on which registered
Common Stock, $0.001 par value per share
 
The NASDAQ Stock Market LLC
(Nasdaq Global Select Market)
Securities Registered Pursuant to Section 12(g) of the Act: None
Indicate by check mark if the registrant is a well-known seasoned issuer, as defined in Rule 405 of the Securities Act.    Yes  ý    No  ¨
Indicate by check mark if the registrant is not required to file reports pursuant to Section 13 or Section 15(d) of the Act.    Yes  ¨    No  ý
Indicate by check mark whether the registrant (1) has filed all reports required to be filed by Section 13 or 15(d) of the Securities Exchange Act of 1934 during the preceding 12 months (or for such shorter period that the registrant was required to file such reports) and (2) has been subject to such requirements for the past 90 days.    Yes  ý    No  ¨
Indicate by check mark whether the registrant has submitted electronically and posted on its corporate Web site, if any, every Interactive Data File required to be submitted and posted pursuant to Rule 405 of Regulation S-T (§232.405 of this chapter) during the preceding 12 months (or for such shorter period that the registrant was required to submit and post such files).    Yes  ý  No  ¨
Indicate by check mark if disclosure of delinquent filers pursuant to Item 405 of Regulation S-K (§229.405 of this chapter) is not contained herein, and will not be contained, to the best of registrant’s knowledge, in definitive proxy or information statements incorporated by reference in Part III of the Form 10-K or any amendment to this Form 10-K.  ý
Indicate by check mark whether the registrant is a large accelerated filer, an accelerated filer, a non-accelerated filer, or a smaller reporting company. See the definitions of “large accelerated filer," "accelerated filer,” and "smaller reporting company" in Rule 12b-2 of the Exchange Act:





 
Large accelerated filer ý
 
Accelerated filer ¬
 
 
 
 
 
Non-accelerated filer ¬
 
Smaller reporting company ¬
 
(Do not check if a smaller reporting company)
 
Indicate by check mark whether the registrant is a shell company (as defined in Rule 12b-2 of the Act).    Yes  ¨    No  ý
As of June 30, 2017, the last business day of Registrant’s most recently completed second fiscal quarter, there were 33,149,439 shares of Registrant’s common stock outstanding, and the aggregate market value of such shares held by non-affiliates of Registrant (based upon the closing sale price of such shares on the Nasdaq Global Select Market on June 30, 2017) was $1,236,474,075. Shares of Registrant’s common stock held by each executive officer and director and by each entity that owns 5% or more of Registrant’s outstanding common stock have been excluded in that such persons may be deemed to be affiliates. This determination of affiliate status is not necessarily a conclusive determination for other purposes.
On February 18, 2018, the registrant had 33,160,428 shares of its common stock outstanding.
DOCUMENTS INCORPORATED BY REFERENCE
The Registrant has incorporated by reference, into Part III of this Form 10-K, portions of its Proxy Statement for the 2018 Annual Meeting of Stockholders.








EXPLANATORY NOTE
This Amendment No. 1 on Form 10-K/A (this "Amendment") to the registrant's Annual Report on Form 10-K for the fiscal year ended December 31, 2017, initially filed with the Securities and Exchange Commission ("SEC") on March 1, 2018 (the "Original Filing"), is being filed to amend and restate Item 15(a)(3) in Part IV of the Original Filing in order to update the Exhibit Index referred to therein.
Also included in this Amendment are (i) signature page and (ii) certifications required of the principal executive officer and principal financial officer under Section 302 of the Sarbanes-Oxley Act of 2002. Because no financial statements are contained within this Amendment, we are not including certifications pursuant to Section 906 of the Sarbanes-Oxley Act of 2002.
No attempt has been made in this Amendment to modify or update the other disclosures presented in the Original Filing. This Amendment does not reflect events occurring after the filing of the Original Filing or modify or update those disclosures, including the exhibits to the Original Filing, affected by subsequent events. Accordingly, this Amendment should be read in conjunction with the Original Filing and our other filings made with the SEC.  

PART IV 

ITEM 15.    Exhibits, Financial Statement Schedules
(a)(3) Exhibits 
The Exhibits listed in the Index to Exhibits, which appears immediately following the signature page and is incorporated herein by reference, are filed as part of this 10-K/A.









SIGNATURES
Pursuant to the requirements of Section 13 or 15(d) of the Securities Exchange Act of 1934, the registrant has duly caused this report on Form 10-K to be signed on its behalf by the undersigned thereunto duly authorized. 
 
 
 
NATUS MEDICAL INCORPORATED
 
 
By
 
/s/    JAMES B. HAWKINS        
 
 
James B. Hawkins
President and Chief Executive Officer
 
 
By
 
/s/    JONATHAN A. KENNEDY        
 
 
Jonathan A. Kennedy
Executive Vice President and Chief Financial Officer
Dated: March 12, 2018








EXHIBIT INDEX 

 
 
 
 
Incorporated By Reference
Exhibit No.
 
Exhibit
 
Filing
 
Exhibit No.
 
File No.
 
File Date
 
 
S-1
 
3.1.1

 
333-44138
 
8/18/2000
 
 
8-K
 
3.1

 
000-33001
 
9/13/2012
 
 
8-A
 
3.1.2

 
000-33001
 
9/6/2002
 
 
8-K
 
3.1

 
000-33001
 
6/18/2008
 
 
10-Q
 
3.1

 
000-33001
 
5/9/2012
 
 
S-1
 
10.1

 
333-44138
 
8/18/2000
 
 
8-K
 
10.1

 
000-33001
 
1/4/2006
 
 
S-1
 
10.3.1

 
333-44138
 
8/18/2000
 
 
10-Q
 
10.2

 
000-33001
 
8/9/2006
 
 
10-K
 
10.2.3

 
000-33001
 
3/14/2008
 
 
10-Q
 
10.02

 
000-33001
 
5/9/2008
 
 
S-1
 
10.4.1

 
333-44138
 
8/18/2000
 
 
S-1
 
10.15

 
333-44138
 
2/9/2001
 
 
S-1
 
10.15.1

 
333-44138
 
2/9/2001
 
 
8-K
 
10.2

 
000-33001
 
1/4/2006
 
 
14-A
 

 
000-33001
 
4/20/2011
 
 
10-Q
 
10.1

 
000-33001
 
11/7/2011
 
 
10-Q
 
10.2

 
000-33001
 
11/7/2011
 
 
10-Q
 
10.3

 
000-33001
 
11/7/2011
 
 
14-A
 

 
000-33001
 
4/20/2011
 
 
14-A
 

 
000-33001
 
4/20/2011
 
 
10-K
 
10.10

 
000-33001
 
3/10/2009






 
 
 
 
Incorporated By Reference
Exhibit No.
 
Exhibit
 
Filing
 
Exhibit No.
 
File No.
 
File Date
 
 
10-K
 
 
 
000-33001
 
3/16/2015
 
 
8-K
 
99.1

 
000-33001
 
4/22/2013
 
 
10-Q
 
10.1

 
000-33001
 
8/8/2013
 
 
8-K
 
10.1

 
000-33001
 
10/9/2015
 
 
10-Q
 
 
 
000-33001
 
2/29/2016
 
 
10-Q
 
10.2

 
000-33001
 
11/3/2016
 
 
10-Q
 
10.1

 
000-33001
 
11/3/2016
 
 
10-Q
 
10.3

 
000-33001
 
11/3/2016
 
 
8-K
 
16.1

 
000-33001
 
3/28/2014
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 





 
 
 
 
Incorporated By Reference
Exhibit No.
 
Exhibit
 
Filing
 
Exhibit No.
 
File No.
 
File Date
101.INS#
 
XBRL Instance Document
 
 
 
 
 
 
 
 
101.SCH#
 
XBRL Taxonomy Extension Schema Document
 
 
 
 
 
 
 
 
101.CAL#
 
XBRL Taxonomy Extension Label Calculation Linkbase Document
 
 
 
 
 
 
 
 
101.DEF#
 
XBRL Taxonomy Extension Definition Document
 
 
 
 
 
 
 
 
101.LAB#
 
XBRL Taxonomy Extension Label Linkbase Document
 
 
 
 
 
 
 
 
101.PRE#
 
XBRL Taxonomy Extension Presentation Linkbase Document
 
 
 
 
 
 
 
 


 *    Indicates a management contract or compensatory plan or arrangement
#     Previously filed with Annual Report on Form 10-K for year ended December 31, 2017