-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, NOKK0fA6z/Hi20CWSs5CO7oqA1Ur7sG3VpCu2JZZCxRVUq+ars1DDQUXcT3umhgA k8tRWtMLA5iAfhFhTrwmTg== 0001012870-02-000317.txt : 20020414 0001012870-02-000317.hdr.sgml : 20020414 ACCESSION NUMBER: 0001012870-02-000317 CONFORMED SUBMISSION TYPE: SC 13G PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20020130 GROUP MEMBERS: TRINITY SIDE-BY-SIDE FUND I, LP GROUP MEMBERS: TRINITY VENTURES II, LP GROUP MEMBERS: TRINITY VENTURES III, LP SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: NATUS MEDICAL INC CENTRAL INDEX KEY: 0000878526 STANDARD INDUSTRIAL CLASSIFICATION: ELECTROMEDICAL & ELECTROTHERAPEUTIC APPARATUS [3845] IRS NUMBER: 770154833 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G SEC ACT: 1934 Act SEC FILE NUMBER: 005-77922 FILM NUMBER: 02521821 BUSINESS ADDRESS: STREET 1: 1501 INDUSTRIAL ROAD CITY: SAN CARLOS STATE: CA ZIP: 94070 BUSINESS PHONE: 6508020400 MAIL ADDRESS: STREET 1: 1501 INDUSTRIAL ROAD CITY: SAN CARLOS STATE: CA ZIP: 94070 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: TRINITY VENTURES LP CENTRAL INDEX KEY: 0001109835 IRS NUMBER: 943326136 STATE OF INCORPORATION: CA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G BUSINESS ADDRESS: STREET 1: 3000 SAND HILL ROAD STREET 2: BLDG 4 STE 160 CITY: MENLO PARK STATE: CA ZIP: 94025 BUSINESS PHONE: 6508549500 MAIL ADDRESS: STREET 1: 3000 SAND HILL ROAD STREET 2: BLDG 4 STE 160 CITY: MENLO PARK STATE: CA ZIP: 94025 SC 13G 1 dsc13g.txt SCHEDULE 13G UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G (Amendment No._____)* Under the Securities Exchange Act of 1934 Natus Medical, Inc --------------------------------------------------- (Name of Issuer) Common Stock --------------------------------------------------- (Title of Class of Securities) 639050 10 3 --------------------------------------------------- (CUSIP Number) February 14, 2002, - -------------------------------------------------------------------------------- (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this Schedule is filed: [_] Rule 13d-1(b) [_] Rule 13d-1(c) [X] Rule 13d-1(d) *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 8 pages CUSIP No.: 639050 10 3 Page 2 of 7 Pages - ------------------------------------------------------------------------------ Names of Reporting Persons. (1) S.S or I.R.S. Identification Nos. of Above Persons Trinity Ventures, II, L.P. 77-0213227 - ------------------------------------------------------------------------------ Check the Appropriate Box If a Member of a Group (2) (a) [X] (b) [_] - ------------------------------------------------------------------------------ SEC Use Only (3) - ------------------------------------------------------------------------------ Citizenship or Place of Organization (4) California, United States of America - ------------------------------------------------------------------------------ Sole Voting Power (5) Number of 1,029,597 Shares ----------------------------------------------------------- Shared Voting Power Beneficially (6) Owned by -0- ----------------------------------------------------------- Each Sole Dispositive Power (7) Reporting 1,029,597 Person ----------------------------------------------------------- Shared Dispositive Power (8) With -0- - ------------------------------------------------------------------------------ Aggregate Amount Beneficially Owned By Each Reporting Person (9) 1,029,597 - ------------------------------------------------------------------------------ Check If The Aggregate Amount In Row (11) Excludes Certain Shares* (10) [_] - ------------------------------------------------------------------------------ Percent Of Class Represented By Amount In Row (11) (11) 6.49% - ------------------------------------------------------------------------------ Type Of Reporting Person (12) PN - ------------------------------------------------------------------------------ *SEE INSTRUCTION BEFORE FILLING OUT! Page 2 of 8 Pages CUSIP NO. 639050 10 3 Page 3 of 7 Pages - ------------------------------------------------------------------------------ NAMES OF REPORTING PERSONS. 1 SS or I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS Trinity Ventures III, L.P. 94-3113455 - ------------------------------------------------------------------------------ CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP 2 (a) [X] (b) [_] - ------------------------------------------------------------------------------ SEC USE ONLY 3 - ------------------------------------------------------------------------------ CITIZENSHIP OR PLACE OF ORGANIZATION 4 California, United States of America - ------------------------------------------------------------------------------ SOLE VOTING POWER 5 NUMBER OF 285,049 SHARES ----------------------------------------------------------- SHARED VOTING POWER BENEFICIALLY 6 OWNED BY -0- ----------------------------------------------------------- EACH SOLE DISPOSITIVE POWER 7 REPORTING 285,049 PERSON ----------------------------------------------------------- SHARED DISPOSITIVE POWER WITH 8 -0- - ------------------------------------------------------------------------------ AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 9 285,049 - ------------------------------------------------------------------------------ CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES* 10 - ------------------------------------------------------------------------------ PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 11 1.8% - ------------------------------------------------------------------------------ TYPE OF REPORTING PERSON 12 PN - ------------------------------------------------------------------------------ *SEE INSTRUCTION BEFORE FILLING OUT! Page 3 of 8 pages CUSIP NO. 639050 10 3 Page 3 of 7 Pages - ------------------------------------------------------------------------------ NAMES OF REPORTING PERSONS. 1 SS or I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS Trinity Side-By-Side Fund I, L.P. 94-3125683 - ------------------------------------------------------------------------------ CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP 2 (a) [X] (b) [_] - ------------------------------------------------------------------------------ SEC USE ONLY 3 - ------------------------------------------------------------------------------ CITIZENSHIP OR PLACE OF ORGANIZATION 4 California, United States of America - ------------------------------------------------------------------------------ SOLE VOTING POWER 5 NUMBER OF 55,164 SHARES ----------------------------------------------------------- SHARED VOTING POWER BENEFICIALLY 6 OWNED BY -0- ----------------------------------------------------------- EACH SOLE DISPOSITIVE POWER 7 REPORTING 55,164 PERSON ----------------------------------------------------------- SHARED DISPOSITIVE POWER WITH 8 -0- - ------------------------------------------------------------------------------ AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 9 55,164 - ------------------------------------------------------------------------------ CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES* 10 - ------------------------------------------------------------------------------ PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 11 0.35% - ------------------------------------------------------------------------------ TYPE OF REPORTING PERSON 12 PN - ------------------------------------------------------------------------------ *SEE INSTRUCTION BEFORE FILLING OUT! Page 4 of 8 pages Item 1. (a) Name of Issuer: Natus Medical, Inc. ("Issuer") (b) Address of Issuer's Principal Executive Offices: 1501 Industrial Road San Carlos, CA 94070 Item 2. (a) Name of Person Filing: Trinity Ventures on behalf of Trinity Ventures II, L.P. ("Trinity II"), Trinity Ventures III, L.P. ("Trinity III"), and Trinity Side-By-Side Fund I, L.P. ("Trinity SBS I") (b) Address of Principal Business Office: c/o Trinity Ventures 3000 Sand Hill Road Building 4, Suite 160 Menlo Park, CA 94025 (c) Citizenship/Place of Organization: Trinity Ventures - California Trinity II - California Trinity III - California Trinity SBS I - California (d) Title of Class of Securities: Common Stock (e) CUSIP Number: 639050 10 3 Item 3. Not applicable. Page 5 of 8 pages Item 4 Ownership.
- -------------------------------------------------------------------------------------------------------- Trinity II Trinity III Trinity SBS I - -------------------------------------------------------------------------------------------------------- (a) Beneficial Ownership 1,029,597 285,049 55,164 - -------------------------------------------------------------------------------------------------------- (b) Percentage of Class 6.49% 1.8% 0.35% - -------------------------------------------------------------------------------------------------------- (c)(i) Sole Voting Power 1,029,597 285,049 55,164 - -------------------------------------------------------------------------------------------------------- (ii) Shared Voting Power -0- -0- -0- - -------------------------------------------------------------------------------------------------------- (iii) Sole Dispositive Power 1,029,597 285,049 55,164 - -------------------------------------------------------------------------------------------------------- (iv) Shared Dispositive Power -0- -0- -0- - --------------------------------------------------------------------------------------------------------
Item 5. Ownership of Five Percent or Less of a Class If this statement is being filed to report the fact that as of the date hereof the reporting person has ceased to be the beneficial owner of more than five percent of class of securities, check the following: [_] Item 6. Ownership of More than Five Percent on Behalf of Another Person Not applicable. Item 7. Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on By the Parent Holding Company. Not applicable. Item 8. Identification and Classification of Members of the Group No reporting person is a member of a group as defined in Section 240.13d-1(b)(1)(ii)(H) of the Act. Item 9. Notice of Dissolution of Group Not applicable. EXHIBIT(S): A: Joint Filing Statement Page 6 of 8 pages Item 10. Certification 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. Date: January 29, 2002 Trinity Ventures II, L.P. By: Trinity TVL Partners, L.P. its General Partner By: /s/ Kathleen A. Murphy ----------------------------------- Kathleen A. Murphy Managing Member Trinity Ventures III, L.P. By: Trinity TVL Partners, L.P. its General Partner By: /s/ Kathleen A. Murphy ----------------------------------------- Kathleen A. Murphy Managing Member Trinity Side-By-Side Fund I, L.P. By: Trinity TVL Partners, L.P. its General Partner By: /s/ Kathleen A. Murphy ----------------------------------------- Kathleen A. Murphy Managing Member Page 7 of 8 pages Exhibit A We, the undersigned, hereby express our agreement that the attached Schedule 13G is filed on behalf of us. Date: January 29, 2002 Trinity Ventures II, L.P. By: Trinity TVL Partners, L.P. its General Partner By: /s/ Kathleen A. Murphy ----------------------------------------- Kathleen A. Murphy Managing Member Trinity Ventures III, L.P. By: Trinity TVL Partners, L.P. its General Partner By: /s/ Kathleen A. Murphy ----------------------------------------- Kathleen A. Murphy Managing Member Trinity Side-By-Side Fund I, L.P. By: Trinity TVL Partners, L.P. its General Partner By: /s/ Kathleen A. Murphy ----------------------------------------- Kathleen A. Murphy Managing Member Page 8 of 8 pages -----END PRIVACY-ENHANCED MESSAGE-----