Delaware | 77-0154833 | |
(State or other jurisdiction of Incorporation) | (I.R.S. Employer Identification No.) |
Large accelerated filer ý | Accelerated filer ¨ | |
Non-accelerated filer ¨ | Smaller reporting company ¨ | |
Emerging growth company ¨ |
Title of Each Class of Securities to be Registered | Amount to be Registered (1) | Proposed Maximum Offering Price Per Unit | Proposed Maximum Aggregate Offering Price | Amount of Registration Fee |
Common Stock, $0.001 par value | ||||
-- To be issued under the 2018 Equity Incentive Plan | 4,400,000 (2) | $33.29 (3) | $146,476,000.00 | $17,752.90 |
Total | 4,400,000 | $146,476,000.00 | $17,752.90 |
(1) | Pursuant to Rule 416(a) under the Securities Act of 1933, as amended (the “Securities Act”), this Registration Statement shall also cover any additional shares of the Registrant's common stock that become issuable under the Registrant's 2018 Equity Incentive Plan (the “EIP”), which amended and restated the Registrant's 2011 Stock Awards Plan (the “Prior Plan”), by reason of any stock dividend, stock split, recapitalization or other similar transaction effected without the receipt of consideration that increases the number of the Registrant's outstanding shares of common stock. |
(2) | Represents 1,400,000 shares of common stock that were previously reserved for issuance under the Prior Plan, and 3,000,000 additional shares of common reserved for issuance under the EIP, to be granted by the Registrant. |
(3) | Estimated solely for the purpose of calculating the registration fee in accordance with Rules 457(c) and 457(h) under the Securities Act and based upon the average of the high and low prices of the Registrant's common stock as reported on the NASDAQ Global Market on January 18, 2019. |
(a) | The Registrant's Annual Report on Form 10-K, as amended, (File No. 000-33001) filed with the Commission on March 1, 2018, and amended on March 12, 2018, April 30, 2018 and July 20, 2018. |
(b) | The Registrant's Quarterly Reports on Form 10-Q (File No. 000-33001) filed with the Commission on May 9, 2018, August 8, 2018 and November 8, 2018. |
(c) | The Registrant's Periodic Reports on Form 8-K (File No. 001-33001) filed with the Commission on January 5, 2018, February 22, 2018, June 27, 2018, July 12, 2018, August 29, 2018, September 17, 2018, December 7, 2018, December 18, 2018 and January 15, 2019. |
(d) | The description of Registrant's common stock contained in Registrant's Registration Statement on Form 8-A filed with the Commission on July 17, 2001, as amended, including any amendment or report filed for the purpose of updating such description. |
Incorporated By Reference | Filed | ||||||||||||
Exhibit No. | Exhibit | Filing | Exhibit No. | File No. | File Date | Herewith | |||||||
3.1.1 | Restated Certificate of Incorporation of the Registrant | S-1 | 3.1.1 | 333-44138 | 8/18/2000 | ||||||||
3.1 | Restate Bylaws of the Registrant | 8-K | 3.1 | 000-33001 | 12/7/2018 | ||||||||
5.1 | Opinion of Fenwick & West, LLP | X | |||||||||||
23.1 | Consent of KPMG, LLP, independent registered public accounting firm | X | |||||||||||
23.3 | Consent of Fenwick & West, LLP (contained in Exhibit 5.1) | X | |||||||||||
24.1 | Power of Attorney (included on the signature page to this Registration Statement) | X | |||||||||||
99.1 | 2018 Equity Incentive Plan | 8-K | 10.1 | 000-33001 | 12/18/2018 |
a. | The undersigned Registrant hereby undertakes: |
1. | To file, during any period in which offers or sales are being made, a post-effective amendment to this Registration Statement: |
(i) | To include any prospectus required by Section 10(a)(3) of the Securities Act; |
(ii) | To reflect in the prospectus any facts or events arising after the effective date of this Registration Statement (or the most recent post-effective amendment thereof) which, individually or in the aggregate, represent a fundamental change in the information set forth in this Registration Statement. Notwithstanding the foregoing, any increase or decrease in volume of securities offered (if the total dollar value of securities offered would not exceed that which was registered) and any deviation from the low or high end of the estimated maximum offering range may be reflected in the form of prospectus filed with the Commission pursuant to Rule 424(b) if, in the aggregate, the changes in volume and price represent no more than 20 percent change in the maximum aggregate offering price set forth in the “Calculation of Registration Fee” table in the effective Registration Statement; and |
(iii) | To include any material information with respect to the plan of distribution not previously disclosed in this Registration Statement or any material change to such information in this Registration Statement; provided, however, that paragraphs (1)(i), (1)(ii) and (1)(iii) do not apply if the information required to be included in a post-effective amendment by those paragraphs is contained in reported file with or furnished to the Commission by the registrant pursuant to Section 13 or Section 15(d) of the Exchange Act, that are incorporated by reference in this Registration Statement, or is contained in a form of prospectus filed pursuant to Rule 424(b) that is part of this Registration Statement. |
2. | That, for the purposes of determining any liability under the Securities Act, each post-effective amendment shall be deemed to be a new registration statement relating to the securities offered therein, and the offering of such securities at the time shall be deemed to be the initial bona fide offering thereof. |
3. | To remove from registration by means of a post-effective amendment any of the securities being registered which remain unsold at the termination of the offering. |
b. | The Company hereby undertakes that, for purposes of determining any liability under the Securities Act, each filing of the Company's annual report pursuant to Section 13(a) or Section 15(d) of the Exchange Act that is incorporated by reference in this Registration Statement shall be deemed to be a new registration statement relating to the securities |
h. | Insofar as indemnification for liabilities arising under the Securities Act of 1933 may be permitted to directors, officers and controlling persons of the registrant pursuant to the foregoing provisions, or otherwise, the registrant has been advised that in the opinion of the Securities and Exchange Commission such indemnification is against public policy as expressed in the Act and is, therefore, unenforceable. In the event that a claim for indemnification against such liabilities (other than the payment by the registrant of expenses incurred or paid by a director, officer or controlling person of the registrant in the successful defense of any action, suit or proceeding) is asserted by such director, officer or controlling person in connection with the securities being registered, the registrant will, unless in the opinion of its counsel the matter has been settled by controlling precedent, submit to a court of appropriate jurisdiction the question whether such indemnification by it is against public policy as expressed in the Act and will be governed by the final adjudication of such issue. |
NATUS MEDICAL INCORPORATED | ||
By | /s/ JONATHAN A. KENNEDY | |
Jonathan A. Kennedy President and Chief Executive Officer | ||
By | /s/ B. DREW DAVIES | |
B. Drew Davies Executive Vice President and Chief Financial Officer |
Signature | Title | Date | ||
/S/ JONATHAN A. KENNEDY | President and Chief Executive Officer (Principal Executive Officer) | January 22, 2019 | ||
(Jonathan A. Kennedy) | ||||
/S/ BARBARA R. PAUL | Chairperson of the Board of Directors | January 22, 2019 | ||
(Barbara R. Paul) | ||||
/S/ ROBERT A. GUNST | Director | January 22, 2019 | ||
(Robert A. Gunst) | ||||
/S/ LISA W. HEINE | Director | January 22, 2019 | ||
(Lisa W. Heine) | ||||
/S/ JOSHUA H. LEVINE | Director | January 22, 2019 | ||
(Joshua H. Levine) | ||||
/S/ KENNETH E. LUDLUM | Director | January 22, 2019 | ||
(Kenneth E. Ludlum) |
Incorporated By Reference | Filed | ||||||||||||
Exhibit No. | Exhibit | Filing | Exhibit No. | File No. | File Date | Herewith | |||||||
S-1 | 3.1.1 | 333-44138 | 8/18/2000 | ||||||||||
8-K | 3.1 | 000-33001 | 12/7/2018 | ||||||||||
X | |||||||||||||
X | |||||||||||||
X | |||||||||||||
X | |||||||||||||
8-K | 10.1 | 000-33001 | 12/18/2018 |