0001169232-05-000534.txt : 20120725
0001169232-05-000534.hdr.sgml : 20120725
20050208124429
ACCESSION NUMBER: 0001169232-05-000534
CONFORMED SUBMISSION TYPE: SC 13D/A
PUBLIC DOCUMENT COUNT: 1
FILED AS OF DATE: 20050208
DATE AS OF CHANGE: 20050208
GROUP MEMBERS: THE D3 CHILDREN'S FUND, L.P.
GROUP MEMBERS: THE D3 FAMILY BULLDOG FUND, L.P.
GROUP MEMBERS: THE D3 FAMILY FUND, L.P.
GROUP MEMBERS: THE D3 FAMILY RETIREMENT FUND, L.P.
GROUP MEMBERS: THE D3 OFFSHORE FUND, L.P.
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 13D/A
SEC ACT: 1934 Act
SEC FILE NUMBER: 005-77922
FILM NUMBER: 05582900
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: NIERENBERG DAVID
CENTRAL INDEX KEY: 0001040899
FILING VALUES:
FORM TYPE: SC 13D/A
BUSINESS ADDRESS:
STREET 1: 19605 N E 8TH STREET
CITY: CAMAS
STATE: WA
ZIP: 98607
BUSINESS PHONE: 3606048600
SC 13D/A
1
d62110_sc13d-a.txt
AMENDMENT NO. 6
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
SCHEDULE 13D/A
Under the Securities Act of 1934
(Amendment No. 6)
Natus Medical Incorporated (BABY)
(Name of Issuer)
Common Stock
(Title of Class of Securities)
639050103
(CUSIP Number)
David Nierenberg
The D3 Family Funds
19605 NE 8th Street
Camas, WA 98607
360-604-8600
(Name, Address and Telephone Number of Person
Authorized to Receive Notices and Communications)
February 7, 2005
(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 ss.ss.240.13d-1(e), 240.13d-1(f) or 240.13d-1(g), check the
following box: |_|
--------------------------------------------------------------------------------
1 NAME OF REPORTING PERSON
S.S. OR I.R.S. IDENTIFICATION NOS. OF ABOVE PERSON
The D3 Family Fund, L.P. (David Nierenberg is president of the General
Partner, which is Nierenberg Investment Management Company.)
--------------------------------------------------------------------------------
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
1,427,022 common shares (8.4%)
-----------------------------------------------------------------
NUMBER OF 8 SHARED VOTING POWER
SHARES
BENEFICIALLY 0
OWNED BY -----------------------------------------------------------------
EACH 9 SOLE DISPOSITIVE POWER
REPORTING
PERSON 1,427,022
WITH -----------------------------------------------------------------
10 SHARED DISPOSITIVE POWER
0
--------------------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
2,558,514 shares (15.0%)
--------------------------------------------------------------------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES |_|
--------------------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
15.0%
--------------------------------------------------------------------------------
14 TYPE OF REPORTING PERSON
PN
--------------------------------------------------------------------------------
2
--------------------------------------------------------------------------------
1 NAME OF REPORTING PERSON
S.S. OR I.R.S. IDENTIFICATION NOS. OF ABOVE PERSON
The D3 Family Retirement Fund, L.P. (David Nierenberg is president of the
General Partner, which is Nierenberg Investment Management Company.)
--------------------------------------------------------------------------------
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
473,940 common shares (2.8%)
-----------------------------------------------------------------
NUMBER OF 8 SHARED VOTING POWER
SHARES
BENEFICIALLY 0
OWNED BY -----------------------------------------------------------------
EACH 9 SOLE DISPOSITIVE POWER
REPORTING
PERSON 473,940
WITH -----------------------------------------------------------------
10 SHARED DISPOSITIVE POWER
0
--------------------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
2,558,514 shares (15.0%)
--------------------------------------------------------------------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES |_|
--------------------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
15.0%
--------------------------------------------------------------------------------
14 TYPE OF REPORTING PERSON
PN
--------------------------------------------------------------------------------
3
--------------------------------------------------------------------------------
1 NAME OF REPORTING PERSON
S.S. OR I.R.S. IDENTIFICATION NOS. OF ABOVE PERSON
The D3 Children's Fund, L.P. (David Nierenberg is president of the General
Partner, which is Nierenberg Investment Management Company.)
--------------------------------------------------------------------------------
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
88,661 common shares (0.5%)
-----------------------------------------------------------------
NUMBER OF 8 SHARED VOTING POWER
SHARES
BENEFICIALLY 0
OWNED BY -----------------------------------------------------------------
EACH 9 SOLE DISPOSITIVE POWER
REPORTING
PERSON 88,661
WITH -----------------------------------------------------------------
10 SHARED DISPOSITIVE POWER
0
--------------------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
2,558,514 shares (15.0%)
--------------------------------------------------------------------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES |_|
--------------------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
15.0%
--------------------------------------------------------------------------------
14 TYPE OF REPORTING PERSON
PN
--------------------------------------------------------------------------------
4
--------------------------------------------------------------------------------
1 NAME OF REPORTING PERSON
S.S. OR I.R.S. IDENTIFICATION NOS. OF ABOVE PERSON
The D3 Offshore Fund, L.P. (David Nierenberg is president of the General
Partner, which is Nierenberg Investment Management Company.)
--------------------------------------------------------------------------------
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
300,658 common shares (1.8%)
-----------------------------------------------------------------
NUMBER OF 8 SHARED VOTING POWER
SHARES
BENEFICIALLY 0
OWNED BY -----------------------------------------------------------------
EACH 9 SOLE DISPOSITIVE POWER
REPORTING
PERSON 300,658
WITH -----------------------------------------------------------------
10 SHARED DISPOSITIVE POWER
0
--------------------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
2,558,514 shares (15.0%)
--------------------------------------------------------------------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES |_|
--------------------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
15.0%
--------------------------------------------------------------------------------
14 TYPE OF REPORTING PERSON
PN
--------------------------------------------------------------------------------
5
--------------------------------------------------------------------------------
1 NAME OF REPORTING PERSON
S.S. OR I.R.S. IDENTIFICATION NOS. OF ABOVE PERSON
The D3 Family Bulldog Fund, L.P. (David Nierenberg is president of the
General Partner, which is Nierenberg Investment Management Company.)
--------------------------------------------------------------------------------
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
268,233 common shares (1.6%)
-----------------------------------------------------------------
NUMBER OF 8 SHARED VOTING POWER
SHARES
BENEFICIALLY 0
OWNED BY -----------------------------------------------------------------
EACH 9 SOLE DISPOSITIVE POWER
REPORTING
PERSON 268,233
WITH -----------------------------------------------------------------
10 SHARED DISPOSITIVE POWER
0
--------------------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
2,558,514 shares (15.0%)
--------------------------------------------------------------------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES |_|
--------------------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
15.0%
--------------------------------------------------------------------------------
14 TYPE OF REPORTING PERSON
PN
--------------------------------------------------------------------------------
6
Item 1. Security and Issuer.
Common stock of Natus Medical Incorporated, 1501 Industrial Road,
San Carlos. CA 94070
Item 2. Identity and Background.
The D3 Family Fund, L.P. is a Washington State limited partnership,
whose principal business is investing in the equities of public
micro-cap issuers. Located at 19605 N.E. 8th St., Camas, Washington
98607. No convictions or administrative proceedings as described in
2 (d) and (e).
Item 3. Source and Amount of Funds or Other Consideration
Source of funds is money invested in the partnership by its
partners.
Item 4. Purpose of Transaction
We mentioned in our December 6, 2004, 13D filing that we would
happily buy more shares of BABY if we could do so without triggering
the poison pill. On Friday, February 4th, we called Jim Hawkins, the
CEO, with a request that he and the other members of the Board of
Directors consider allowing us to purchase up to 20% of the company,
without triggering the pill.
Item 5. Interest in Securities of the Issuer.
(a,b) D3 Family Fund, L.P. owns and has sole voting and dispositive
power over 1,427,022 common shares of BABY.
(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
7
SIGNATURE
After reasonable inquiry and to the best of my knowledge and belief, each
of the undersigned certifies that the information set forth in the Statement is
true, complete and correct.
February 7, 2005 /s/ DAVID NIERENBERG
---------------- -----------------------------------------
President
Nierenberg Investment Management
Company, Inc., the General Partner of
The D3 Family Fund, L.P.
8
Item 1. Security and Issuer.
Common stock of Natus Medical Incorporated, 1501 Industrial Road,
San Carlos. CA 94070
Item 2. Identity and Background.
The D3 Family Retirement Fund, L.P. is a Washington State limited
partnership, whose principal Business is investing in the equities
of public micro-cap issuers. Located at 19605 N.E. 8th St., Camas,
Washington 98607. No convictions or administrative proceedings as
described in 2 (d) and (e).
Item 3. Source and Amount of Funds or Other Consideration
Source of funds is money invested in the partnership by its
partners.
Item 4. Purpose of Transaction
We mentioned in our December 6, 2004, 13D filing that we would
happily buy more shares of BABY if we could do so without triggering
the poison pill. On Friday, February 4th, we called Jim Hawkins, the
CEO, with a request that he and the other members of the Board of
Directors consider allowing us to purchase up to 20% of the company,
without triggering the pill.
Item 5. Interest in Securities of the Issuer.
(a,b) The D3 Family Retirement Fund, L.P. owns and has sole voting
and dispositive power over 473,940 common shares of BABY.
(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
9
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 7, 2005 /s/ DAVID NIERENBERG
-------------------- -----------------------------------------
Date David Nierenberg
President
Nierenberg Investment Management Company,
Inc., the General Partner of the D3
Family Retirement Fund, L.P.
10
Item 1. Security and Issuer.
Common stock of Natus Medical Incorporated, 1501 Industrial Road,
San Carlos. CA 94070
Item 2. Identity and Background.
The D3 Children's Fund, L.P. is a Washington State limited
partnership, whose principal business is investing in the equities
of public micro-cap issuers. Located at 19605 N.E. 8th St., Camas,
Washington 98607. No convictions or administrative proceedings as
described in 2 (d) and (e).
Item 3. Source and Amount of Funds or Other Consideration
Source of funds is money invested in the partnership by its
partners.
Item 4. Purpose of Transaction
We mentioned in our December 6, 2004, 13D filing that we would
happily buy more shares of BABY if we could do so without triggering
the poison pill. On Friday, February 4th, we called Jim Hawkins, the
CEO, with a request that he and the other members of the Board of
Directors consider allowing us to purchase up to 20% of the company,
without triggering the pill.
Item 5. Interest in Securities of the Issuer.
(a,b) The D3 Children's Fund, L.P. owns and has sole voting and
dispositive power over 88,661 common shares of BABY.
(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
11
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 7, 2005 /s/ DAVID NIERENBERG
-------------------- -----------------------------------------
Date David Nierenberg
President
Nierenberg Investment Management Company,
Inc., the General Partner of the D3
Children's Fund L.P.
12
Item 1. Security and Issuer.
Common stock of Natus Medical Incorporated, 1501 Industrial Road,
San Carlos. CA 94070
Item 2. Identity and Background.
The D3 Offshore Fund, L.P. is a Washington State limited
partnership, whose principal Business is investing in the equities
of public micro-cap issuers. Located at 19605 N.E. 8th St., Camas,
Washington 98607. No convictions or administrative proceedings as
described in 2 (d) and (e).
Item 3. Source and Amount of Funds or Other Consideration
Source of funds is money invested in the partnership by its
partners.
Item 4. Purpose of Transaction
We mentioned in our December 6, 2004, 13D filing that we would
happily buy more shares of BABY if we could do so without triggering
the poison pill. On Friday, February 4th, we called Jim Hawkins, the
CEO, with a request that he and the other members of the Board of
Directors consider allowing us to purchase up to 20% of the company,
without triggering the pill.
Item 5. Interest in Securities of the Issuer.
(a,b) The D3 Offshore Fund, L.P. owns and has sole voting and
dispositive power over 300,658 common shares of BABY.
(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
13
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 7, 2005 /s/ DAVID NIERENBERG
-------------------- -----------------------------------------
Date David Nierenberg
President
Nierenberg Investment Management Company,
Inc., the General Partner of the D3
Offshore Fund, L.P.
14
Item 1. Security and Issuer.
Common stock of Natus Medical Incorporated, 1501 Industrial Road,
San Carlos. CA 94070
Item 2. Identity and Background.
The D3 Family Bulldog Fund, L.P. is a Washington State limited
partnership, whose principal Business is investing in the equities
of public micro-cap issuers. Located at 19605 N.E. 8th St., Camas,
Washington 98607. No convictions or administrative proceedings as
described in 2 (d) and (e).
Item 3. Source and Amount of Funds or Other Consideration
Source of funds is money invested in the partnership by its
partners.
Item 4. Purpose of Transaction
We mentioned in our December 6, 2004, 13D filing that we would
happily buy more shares of BABY if we could do so without triggering
the poison pill. On Friday, February 4th, we called Jim Hawkins, the
CEO, with a request that he and the other members of the Board of
Directors consider allowing us to purchase up to 20% of the company,
without triggering the pill.
Item 5. Interest in Securities of the Issuer.
(a,b) The D3 Family Bulldog Fund, L.P. owns and has sole voting and
dispositive power over 268,233 common shares of BABY.
(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
15
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 7, 2005 /s/ DAVID NIERENBERG
-------------------- -----------------------------------------
Date David Nierenberg
President
Nierenberg Investment Management Company,
Inc., the General Partner of the D3
Family Bulldog Fund, L.P.
16