-----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, WvRJpG1bbM58IBWabLW0kWB/OYqpGh/4lbgg+RH11mq8M2r4bH58wtmvDcRM9qjq yiZEnpM0Fi+tphJ18sOjFg== 0001200952-03-000205.txt : 20030214 0001200952-03-000205.hdr.sgml : 20030214 20030213185436 ACCESSION NUMBER: 0001200952-03-000205 CONFORMED SUBMISSION TYPE: SC 13D PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20030214 GROUP MEMBERS: DAVID NIERENBERG GROUP MEMBERS: HAREDALE, LTD. GROUP MEMBERS: JAMES HENRY HILDEBRANDT GROUP MEMBERS: THE D3 FAMILY FUND GROUP MEMBERS: THE DAVID AND PATRICIA NIERENBERG 1993 TRUST GROUP MEMBERS: TOXFORD CORPORATION FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: NIERENBERG DAVID CENTRAL INDEX KEY: 0001040899 FILING VALUES: FORM TYPE: SC 13D BUSINESS ADDRESS: STREET 1: 19605 N E 8TH STREET CITY: CAMAS STATE: WA ZIP: 98607 BUSINESS PHONE: 3606048600 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 SEC ACT: 1934 Act SEC FILE NUMBER: 005-77922 FILM NUMBER: 03562004 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 SC 13D 1 dn_baby13d30214.txt SCHEDULE 13D UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. )* ----- NATUS MEDICAL INCORPORATED (BABY) - -------------------------------------------------------------------------------- (Name of Issuer) COMMON - -------------------------------------------------------------------------------- (Title of Class of Securities) 639050103 ------------------------------ (CUSIP Number) David Nierenberg, The D3 Family Fund, 19605 NE 8th St., Camas, WA 98607 360-604-8600 ------------------------------------------------------------------------------ (Name, Address and Telephone Number of Person Authorized to Receive Notices and Communications) 2/6/2003 ------------------------------- (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 Rule 13d-1(e), 13d-1(f) or 13d-1(g), check the following box [_]. Note: Schedules filed in paper format shall include a signed original and five copies of the schedule, including all exhibits. See Rule 13d-7 for other parties to whom copies are to be sent. *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 26 SCHEDULE 13D ------------ CUSIP No. 639050103 1) NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON The D3 Family Fund, L.P. -------------------------------------------------------------------------- 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 State -------------------------------------------------------------------------- 7) SOLE VOTING POWER NUMBER OF 857,400 (5.3%) SHARES -------------------------------------------------- BENEFICIALLY 8) SHARED VOTING POWER OWNED BY 0 -------------------------------------------------- EACH 9) SOLE DISPOSITIVE POWER REPORTING 857,400 (5.3%) PERSON -------------------------------------------------- WITH 10) SHARED DISPOSITIVE POWER 0 -------------------------------------------------- 11) AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 997,999 -------------------------------------------------------------------------- 12) CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES* [ ] -------------------------------------------------------------------------- 13) PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 6.1% -------------------------------------------------------------------------- 14) TYPE OF REPORTING PERSON* PN -------------------------------------------------------------------------- Page 2 of 26 SCHEDULE 13D ------------ CUSIP No. 639050103 1) NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON The Nierenberg Family 1993 Trust -------------------------------------------------------------------------- 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 State -------------------------------------------------------------------------- 7) SOLE VOTING POWER NUMBER OF 18,587 (0.1%) SHARES -------------------------------------------------- BENEFICIALLY 8) SHARED VOTING POWER OWNED BY 0 -------------------------------------------------- EACH 9) SOLE DISPOSITIVE POWER REPORTING 18,587 (0.1%) PERSON -------------------------------------------------- WITH 10) SHARED DISPOSITIVE POWER 0 -------------------------------------------------- 11) AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 997,999 -------------------------------------------------------------------------- 12) CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES* [ ] -------------------------------------------------------------------------- 13) PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 6.1% -------------------------------------------------------------------------- 14) TYPE OF REPORTING PERSON* OO -------------------------------------------------------------------------- Page 3 of 26 SCHEDULE 13D ------------ CUSIP No. 639050103 1) NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON Haredale, Ltd. -------------------------------------------------------------------------- 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 The Bahamas -------------------------------------------------------------------------- 7) SOLE VOTING POWER NUMBER OF 22,600 (0.1%) SHARES -------------------------------------------------- BENEFICIALLY 8) SHARED VOTING POWER OWNED BY 0 -------------------------------------------------- EACH 9) SOLE DISPOSITIVE POWER REPORTING 22,600 (0.1%) PERSON -------------------------------------------------- WITH 10) SHARED DISPOSITIVE POWER 0 -------------------------------------------------- 11) AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 997,999 -------------------------------------------------------------------------- 12) CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES* [ ] -------------------------------------------------------------------------- 13) PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 6.1% -------------------------------------------------------------------------- 14) TYPE OF REPORTING PERSON* CO -------------------------------------------------------------------------- Page 4 of 26 SCHEDULE 13D ------------ CUSIP No. 639050103 1) NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON James Henry Hildebrandt -------------------------------------------------------------------------- 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 Canada -------------------------------------------------------------------------- 7) SOLE VOTING POWER NUMBER OF 10,700 (0.1%) SHARES -------------------------------------------------- BENEFICIALLY 8) SHARED VOTING POWER OWNED BY 0 -------------------------------------------------- EACH 9) SOLE DISPOSITIVE POWER REPORTING 10,700 (0.1%) PERSON -------------------------------------------------- WITH 10) SHARED DISPOSITIVE POWER 0 -------------------------------------------------- 11) AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 997,999 -------------------------------------------------------------------------- 12) CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES* [ ] -------------------------------------------------------------------------- 13) PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 6.1% -------------------------------------------------------------------------- 14) TYPE OF REPORTING PERSON* IN -------------------------------------------------------------------------- Page 5 of 26 SCHEDULE 13D ------------ CUSIP No. 639050103 1) NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON Toxford Corporation -------------------------------------------------------------------------- 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 The Channel Islands -------------------------------------------------------------------------- 7) SOLE VOTING POWER NUMBER OF 6,300 (0.0%) SHARES -------------------------------------------------- BENEFICIALLY 8) SHARED VOTING POWER OWNED BY 0 -------------------------------------------------- EACH 9) SOLE DISPOSITIVE POWER REPORTING 6,300 (0.0%) PERSON -------------------------------------------------- WITH 10) SHARED DISPOSITIVE POWER 0 -------------------------------------------------- 11) AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 997,999 -------------------------------------------------------------------------- 12) CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES* [ ] -------------------------------------------------------------------------- 13) PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 6.1% -------------------------------------------------------------------------- 14) TYPE OF REPORTING PERSON* CO -------------------------------------------------------------------------- Page 6 of 26 SCHEDULE 13D ------------ CUSIP No. 639050103 1) NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON David Nierenberg -------------------------------------------------------------------------- 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 USA -------------------------------------------------------------------------- 7) SOLE VOTING POWER NUMBER OF 18,055* (0.1%) SHARES -------------------------------------------------- BENEFICIALLY 8) SHARED VOTING POWER OWNED BY 0 -------------------------------------------------- EACH 9) SOLE DISPOSITIVE POWER REPORTING 18,055* (0.0%) PERSON -------------------------------------------------- WITH 10) SHARED DISPOSITIVE POWER 0 -------------------------------------------------- 11) AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 997,999 -------------------------------------------------------------------------- 12) CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES [ ] -------------------------------------------------------------------------- 13) PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 6.1% -------------------------------------------------------------------------- 14) TYPE OF REPORTING PERSON IN -------------------------------------------------------------------------- * Consists of stock options vested and exercisable within 60 days after December 31, 2002 which give the reporting person the right to acquire 18,055 shares of common stock. Page 7 of 26 SCHEDULE 13D ------------ CUSIP No. 639050103 1) NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON The David and Patricia Nierenberg 1993 Irrevocable Trust, June 11, 1993, Lawrence K. Orr, Trustee -------------------------------------------------------------------------- 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 NUMBER OF 30,857 (0.2%) SHARES -------------------------------------------------- BENEFICIALLY 8) SHARED VOTING POWER OWNED BY 0 -------------------------------------------------- EACH 9) SOLE DISPOSITIVE POWER REPORTING 30,857 (0.2%) PERSON -------------------------------------------------- WITH 10) SHARED DISPOSITIVE POWER 0 -------------------------------------------------- 11) AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 997,999 -------------------------------------------------------------------------- 12) CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES* [ ] -------------------------------------------------------------------------- 13) PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 6.1% -------------------------------------------------------------------------- 14) TYPE OF REPORTING PERSON* OO (Irrevocable trust) -------------------------------------------------------------------------- Page 8 of 26 SCHEDULE 13D ------------ CUSIP No. 639050103 1) NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON Olivier Roux -------------------------------------------------------------------------- 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 France -------------------------------------------------------------------------- 7) SOLE VOTING POWER NUMBER OF 20,000 (0.1%) SHARES -------------------------------------------------- BENEFICIALLY 8) SHARED VOTING POWER OWNED BY 0 -------------------------------------------------- EACH 9) SOLE DISPOSITIVE POWER REPORTING 20,000 (0.1%) PERSON -------------------------------------------------- WITH 10) SHARED DISPOSITIVE POWER 0 -------------------------------------------------- 11) AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 997,999 -------------------------------------------------------------------------- 12) CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES* [ ] -------------------------------------------------------------------------- 13) PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 6.1% -------------------------------------------------------------------------- 14) TYPE OF REPORTING PERSON* OO (Irrevocable trust) -------------------------------------------------------------------------- Page 9 of 26 SCHEDULE 13D ------------ CUSIP No. 639050103 1) NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON Henry Hooper -------------------------------------------------------------------------- 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 USA -------------------------------------------------------------------------- 7) SOLE VOTING POWER NUMBER OF 1,500 (0.01%) SHARES -------------------------------------------------- BENEFICIALLY 8) SHARED VOTING POWER OWNED BY 0 -------------------------------------------------- EACH 9) SOLE DISPOSITIVE POWER REPORTING 1,500 (0.01%) PERSON -------------------------------------------------- WITH 10) SHARED DISPOSITIVE POWER 0 -------------------------------------------------- 11) AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 997,999 -------------------------------------------------------------------------- 12) CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES* [ ] -------------------------------------------------------------------------- 13) PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 6.1% -------------------------------------------------------------------------- 14) TYPE OF REPORTING PERSON* IN -------------------------------------------------------------------------- Page 10 of 26 SCHEDULE 13D ------------ CUSIP No. 639050103 1) NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON Bruno Tiphine -------------------------------------------------------------------------- 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 France -------------------------------------------------------------------------- 7) SOLE VOTING POWER NUMBER OF 4,500 (0.03%) SHARES -------------------------------------------------- BENEFICIALLY 8) SHARED VOTING POWER OWNED BY 0 -------------------------------------------------- EACH 9) SOLE DISPOSITIVE POWER REPORTING 4,500 (0.03%) PERSON -------------------------------------------------- WITH 10) SHARED DISPOSITIVE POWER 0 -------------------------------------------------- 11) AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 997,999 -------------------------------------------------------------------------- 12) CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES* [ ] -------------------------------------------------------------------------- 13) PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 6.1% -------------------------------------------------------------------------- 14) TYPE OF REPORTING PERSON* IN -------------------------------------------------------------------------- Page 11 of 26 SCHEDULE 13D ------------ CUSIP No. 639050103 1) NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON Rita & Bruno Tiphine -------------------------------------------------------------------------- 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 Italy & France -------------------------------------------------------------------------- 7) SOLE VOTING POWER NUMBER OF 7,500 (0.1%) SHARES -------------------------------------------------- BENEFICIALLY 8) SHARED VOTING POWER OWNED BY 0 -------------------------------------------------- EACH 9) SOLE DISPOSITIVE POWER REPORTING 7,500 (0.1%) PERSON -------------------------------------------------- WITH 10) SHARED DISPOSITIVE POWER 0 -------------------------------------------------- 11) AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 997,999 -------------------------------------------------------------------------- 12) CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES* [ ] -------------------------------------------------------------------------- 13) PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 6.1% -------------------------------------------------------------------------- 14) TYPE OF REPORTING PERSON* IN -------------------------------------------------------------------------- Page 12 of 26 ITEM 1. SECURITY AND ISSUER Common stock of Natus Medical Incorporated, 1501 Industrial Road, San Carlos, CA 94070. ITEM 2. IDENTITY AND BACKGROUND (a) The D3 Family Fund, L.P. (b) 19605 N.E. 8th St., Camas, Washington 98607 (c) Investment in the equities of public micro-cap issuers (d) None (e) None (f) A Washington limited partnership ITEM 3. SOURCE AND AMOUNT OF FUNDS OR OTHER CONSIDERATION Source of funds is money invested in the partnership by its partners. Aggregate amount invested in Natus shares purchased by the partnership is $3,929,215. ITEM 4. PURPOSE OF TRANSACTION The purpose of the share purchases is for investment. None of the other actions described in items 4(a)-(j) are currently contemplated. ITEM 5. INTEREST IN SECURITIES OF THE ISSUER (a,b) The D3 Family Fund, L.P. owns, and has sole voting and dispositive power over 857,400 BABY shares. In addition, 18,587 shares are owned by The Nierenberg 1993 Family Trust, 22,600 by Haredale, Ltd., 10,700 shares by James Henry Hildebrandt, 6,300 shares by Toxford Corporation, 30,857 shares by The David and Patricia Nierenberg 1993 Irrevocable Trust, June 11, 1993, Lawrence K. Orr, Trustee, 20,000 shares by Olivier Roux, 1,500 shares by Henry Hooper, 4,500 shares by Bruno Tiphine, 7,500 shares by Rita and Bruno Tiphine and 18,055 shares by David Nierenberg. The shares held by David Nierenberg individually consist of stock options vested and exercisable within 60 days after December 31, 2002. Aggregate ownership is 6.14% (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 Page 13 of 26 ITEM 7. MATERIAL TO BE FILED AS EXHIBITS N/A 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 14, 2003 /s/ DAVID NIERENBERG - ------------------- ------------------------------------ Date David Nierenberg, President Nierenberg Investment Management Company, Inc., the general partner of The D3 Family Fund, L.P. ITEM 1. SECURITY AND ISSUER Common stock of Natus Medical Incorporated, 1501 Industrial Road, San Carlos, CA 94070. ITEM 2. IDENTITY AND BACKGROUND (a) The Nierenberg Family 1993 Trust (b) 19605 NE 8th Street, Camas, Washington 98607 (c) A trust (d) None (e) None (f) Washington ITEM 3. SOURCE AND AMOUNT OF FUNDS OR OTHER CONSIDERATION Source of funds is money invested in the Trust by its Trustors. Shares were acquired by the Trust when Natus was not a publicly held company. ITEM 4. PURPOSE OF TRANSACTION The purpose of the share purchases is for investment. None of the other actions described in items 4(a)-(j) are currently contemplated. ITEM 5. INTEREST IN SECURITIES OF THE ISSUER (a,b) The Nierenberg Family 1993 Trust owns and Mr. Nierenberg, as trustee has sole voting and dispositive power over its 18,587 shares. Page 14 of 26 (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 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 14, 2003 /s/ DAVID NIERENBERG - ------------------- ------------------------------------ Date David Nierenberg Authorized to trade for The Nierenberg Family 1993 Trust ITEM 1. SECURITY AND ISSUER Common stock of Natus Medical Incorporated, 1501 Industrial Road, San Carlos, CA 94070. ITEM 2. IDENTITY AND BACKGROUND (a) Haredale Ltd. (b) P.O. Box N-4465, Nassau, New Providence, The Bahamas. (c) Haredale is in the investment business at the address above. (d) None (e) None (f) The Bahamas. ITEM 3. SOURCE AND AMOUNT OF FUNDS OR OTHER CONSIDERATION Source of funds is Haredale working capital. Haredale has invested $104,501 in shares of BABY. ITEM 4. PURPOSE OF TRANSACTION Page 15 of 26 The purpose of the share purchases is for investment. None of the other actions described in items 4(a)-(j) are currently contemplated. ITEM 5. INTEREST IN SECURITIES OF THE ISSUER (a,b) Haredale owns, and Mr. Nierenberg has sole voting and dispositive power over, its 22,600 shares. (c) N/A (d) N/A (e) N/A ITEM 6. CONTRACTS, ARRANGEMENTS, UNDERSTANDINGS OR RELATIONSHIPS WITH RESPECT TO SECURITIES OF THE ISSUER Haredale pays Mr. Nierenberg an annual management fee and a share of its net profits for his personal management of its account. ITEM 7. MATERIAL TO BE FILED AS EXHIBITS N/A 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 14, 2003 /s/ DAVID NIERENBERG - ------------------- ------------------------------------ Date David Nierenberg Authorized to trade for Haredale, Ltd. ITEM 1. SECURITY AND ISSUER Common stock of Natus Medical Incorporated, 1501 Industrial Road, San Carlos, CA 94070. ITEM 2. IDENTITY AND BACKGROUND (a) James Henry Hildebrandt a Canadian citizen resident in Hong Kong. (b) c/o Bain & Company, Tenth Floor, One Pacific Place, 88 Queensway, Hong Kong. (c) Mr. Hildebrandt is a management consultant. (d) None (e) None (f) Canada Page 16 of 26 ITEM 3. SOURCE AND AMOUNT OF FUNDS OR OTHER CONSIDERATION Source of funds is working capital. Mr. Hildebrandt has invested $50,867 in shares of BABY. ITEM 4. PURPOSE OF TRANSACTION The purpose of the share purchases is for investment. None of the other actions described in items 4(a)-(j) are currently contemplated. ITEM 5. INTEREST IN SECURITIES OF THE ISSUER (a,b) Mr. Hildebrandt owns, and Mr. Nierenberg has sole voting and dispositive power over, his 10,700 BABY shares. (c) N/A (d) N/A (e) N/A ITEM 6. CONTRACTS, ARRANGEMENTS, UNDERSTANDINGS OR RELATIONSHIPS WITH RESPECT TO SECURITIES OF THE ISSUER Mr. Hildebrandt pays Mr. Nierenberg an annual management fee and a share of its net profits for his personal management of his account. ITEM 7. MATERIAL TO BE FILED AS EXHIBITS N/A 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 14, 2003 /s/ DAVID NIERENBERG - ------------------ ------------------------------------ Date David Nierenberg Authorized to trade for John Henry Hildebrandt ITEM 1. SECURITY AND ISSUER Common stock of Natus Medical Incorporated, 1501 Industrial Road, San Carlos, CA 94070. ITEM 2. IDENTITY AND BACKGROUND (a) Toxford Corporation (b) P.O. Box 3048, St. Andrews House, Le Bordage, St. Peter Port, Guernsey, Channel Islands, British Isles. Page 17 of 26 (c) Toxford Corporation is in the investment business. (d) None (e) None (f) Channel Islands, British Isles. ITEM 3. SOURCE AND AMOUNT OF FUNDS OR OTHER CONSIDERATION Source of funds is Toxford working capital. Toxford has invested $29,903 in shares of BABY. ITEM 4. PURPOSE OF TRANSACTION The purpose of the share purchases is for investment. None of the other actions described in items 4(a)-(j) are currently contemplated. ITEM 5. INTEREST IN SECURITIES OF THE ISSUER (a,b) Toxford Corporation owns, and Mr. Nierenberg has sole voting and dispositive power over, its 6,300 BABY shares. (c) N/A (d) N/A (e) N/A ITEM 6. CONTRACTS, ARRANGEMENTS, UNDERSTANDINGS OR RELATIONSHIPS WITH RESPECT TO SECURITIES OF THE ISSUER Toxford Corporation pays Mr. Nierenberg an annual management fee and a share of its net profits for his personal management of its account. ITEM 7. MATERIAL TO BE FILED AS EXHIBITS N/A 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 14, 2003 /s/ DAVID NIERENBERG - ------------------ ------------------------------------ Date David Nierenberg Authorized to trade for Toxford Corporation ITEM 1. SECURITY AND ISSUER Page 18 of 26 Common stock of Natus Medical Incorporated, 1501 Industrial Road, San Carlos, CA 94070. ITEM 2. IDENTITY AND BACKGROUND (a) David Nierenberg (b) 19605 N.E. 8th Street, Camas, Washington 98607 (c) Investment management. Mr. Nierenberg is a general partner of The D3 Family Fund, L.P. (d) None (e) None (f) USA ITEM 3. SOURCE AND AMOUNT OF FUNDS OR OTHER CONSIDERATION Source of funds is a distribution of BABY shares from Trinity Ventures, a venture capital firm which invested in BABY when it was a private company. ITEM 4. PURPOSE OF TRANSACTION The purpose of the share purchases is for investment. None of the other actions described in items 4(a)-(j) are currently contemplated. ITEM 5. INTEREST IN SECURITIES OF THE ISSUER (a,b) Mr. Nierenberg owns, and has sole voting and dispositive power over, his 18,055 shares, which consist of stock options vested and exercisable within 60 days after Decemebr 31, 2002, which give Mr. Nierenberg the right to acquire 18,055 shares of common stock. (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 Signature Page 19 of 26 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 14, 2003 /s/ DAVID NIERENBERG - ------------------ ------------------------------------ Date David Nierenberg ITEM 1. SECURITY AND ISSUER Common stock of Natus Medical Incorporated, 1501 Industrial Road, San Carlos, CA 94070. ITEM 2. IDENTITY AND BACKGROUND (a) The David and Patricia Nierenberg 1993 Irrevocable Trust, 6/11/93, Lawrence K. Orr, Trustee. (b) Lawrence K. Orr, Trinity Ventures, 3000 Sand Hill Road, Bldg. 4, Suite 160, Menlo Park, CA 94025. (c) This is an irrevocable trust for the benefit of the Nierenberg children. (d) None (e) None (f) A California trust. ITEM 3. SOURCE AND AMOUNT OF FUNDS OR OTHER CONSIDERATION Source of funds is money invested in the Trust by its Trustors. ITEM 4. PURPOSE OF TRANSACTION The purpose of the share purchases is for investment. None of the other actions described in items 4(a)-(j) are currently contemplated. ITEM 5. INTEREST IN SECURITIES OF THE ISSUER (a,b) The Trust owns, and Mr. Orr has sole voting and dispositive power over the trust's 30,857 shares. (c) N/A (d) N/A (e) N/A ITEM 6. CONTRACTS, ARRANGEMENTS, UNDERSTANDINGS OR RELATIONSHIPS WITH RESPECT TO SECURITIES OF THE ISSUER The trust pays Mr. Nierenberg an annual management fee and a share of its net profits for his personal management of its accounts. Page 20 of 26 ITEM 7. MATERIAL TO BE FILED AS EXHIBITS N/A 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 14, 2003 /s/ DAVID NIERENBERG - ------------------ ------------------------------------ Date David Nierenberg Authorized to trade for Tha David & Patricia Nierenberg 1993 Irrevocable Trust, June 11, 1993, Lawrence K. Orr, Trustee ITEM 1. SECURITY AND ISSUER Common stock of Natus Medical Incorporated, 1501 Industrial Road, San Carlos, CA 94070. ITEM 2. IDENTITY AND BACKGROUND (a) Olivier Roux (b) Talisman Management, Ltd., 37 Ixworth Place, London SW3, England (c) Mr. Roux is a management consultant. (d) None (e) None (f) A French citizen resident in the United Kingdom. ITEM 3. SOURCE AND AMOUNT OF FUNDS OR OTHER CONSIDERATION Source of funds is working capital. Mr. Roux has invested $80,200 in shares of BABY. ITEM 4. PURPOSE OF TRANSACTION The purpose of the share purchases is for investment. None of the other actions described in items 4(a)-(j) are currently contemplated. ITEM 5. INTEREST IN SECURITIES OF THE ISSUER (a,b) Mr. Roux owns, and Mr. Nierenberg has sole voting and dispositive power over his 20,000 shares. (c) N/A Page 21 of 26 (d) N/A (e) N/A ITEM 6. CONTRACTS, ARRANGEMENTS, UNDERSTANDINGS OR RELATIONSHIPS WITH RESPECT TO SECURITIES OF THE ISSUER Mr. Roux pays Mr. Nierenberg an annual management fee and a share of its net profits for his personal management of its accounts. ITEM 7. MATERIAL TO BE FILED AS EXHIBITS N/A 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 14, 2003 /s/ DAVID NIERENBERG - ------------------ ------------------------------------ Date David Nierenberg Authorized to trade for Olivier Roux ITEM 1. SECURITY AND ISSUER Common stock of Natus Medical Incorporated, 1501 Industrial Road, San Carlos, CA 94070. ITEM 2. IDENTITY AND BACKGROUND (a) Henry Hooper (b) 4317 NE Wistaria Drive, Portland, Oregon 97213 (c) Mr. Hooper is a general partner of The D3 Family Fund, L.P. (d) None (e) None (f) USA ITEM 3. SOURCE AND AMOUNT OF FUNDS OR OTHER CONSIDERATION Source of funds is money invested in the partnership by its partners. Aggregate amount invested BABY shares purchased by the partnership is $6,000. ITEM 4. PURPOSE OF TRANSACTION Page 22 of 26 The purpose of the share purchases is for investment. None of the other actions described in items 4(a)-(j) are currently contemplated. ITEM 5. INTEREST IN SECURITIES OF THE ISSUER (a,b) Mr. Hooper owns and has sole voting and dispositive power over, his 1,500 shares. (c) N/A (d) N/A (e) N/A ITEM 6. CONTRACTS, ARRANGEMENTS, UNDERSTANDINGS OR RELATIONSHIPS WITH RESPECT TO SECURITIES OF THE ISSUER Mr. Hooper pays Mr. Nierenberg an annual management fee and a share of its net profits for his personal management of its accounts. ITEM 7. MATERIAL TO BE FILED AS EXHIBITS N/A 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 14, 2003 /s/ DAVID NIERENBERG - ------------------ ------------------------------------ Date David Nierenberg Authorized to trade for Henry Hooper ITEM 1. SECURITY AND ISSUER Common stock of Natus Medical Incorporated, 1501 Industrial Road, San Carlos, CA 94070. ITEM 2. IDENTITY AND BACKGROUND (a) Bruno Tiphine (b) 92 Fellows Road, London NW3 3JG, England. (c) Mr. Tiphine is a management consultant. (d) None (e) None (f) A French citizen resident in the United Kingdom. Page 23 of 26 ITEM 3. SOURCE AND AMOUNT OF FUNDS OR OTHER CONSIDERATION Source of funds is money invested in the partnership by its partners. Aggregate amount invested BABY shares purchased by the partnership is $15,780. ITEM 4. PURPOSE OF TRANSACTION The purpose of the share purchases is for investment. None of the other actions described in items 4(a)-(j) are currently contemplated. ITEM 5. INTEREST IN SECURITIES OF THE ISSUER (a,b) Mr. Tiphine owns, and Mr. Nierenberg has sole voting and dispositive power over, his 4,500 shares. (c) N/A (d) N/A (e) N/A ITEM 6. CONTRACTS, ARRANGEMENTS, UNDERSTANDINGS OR RELATIONSHIPS WITH RESPECT TO SECURITIES OF THE ISSUER Mr. Tiphine pays Mr. Nierenberg an annual management fee and a share of its net profits for his personal management of Mr. Tiphine's accounts. ITEM 7. MATERIAL TO BE FILED AS EXHIBITS N/A 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 14, 2003 /s/ DAVID NIERENBERG - ------------------ ------------------------------------ Date David Nierenberg Authorized to trade for Bruno Tiphine ITEM 1. SECURITY AND ISSUER Common stock of Natus Medical Incorporated, 1501 Industrial Road, San Carlos, CA 94070. ITEM 2. IDENTITY AND BACKGROUND (a) Rita & Bruno Tiphine (b) 92 Fellows Road, London NW3 3JG, England. Page 24 of 26 (c) Mrs. Tiphine is a homemaker and Mr. Tiphine is a management consultant. (d) None (e) None (f) Italian and French citizens resident in the United Kingdom. ITEM 3. SOURCE AND AMOUNT OF FUNDS OR OTHER CONSIDERATION Source of funds is money invested in the partnership by its partners. Aggregate amount invested BABY shares purchased by the partnership is $26,496. ITEM 4. PURPOSE OF TRANSACTION The purpose of the share purchases is for investment. None of the other actions described in items 4(a)-(j) are currently contemplated. ITEM 5. INTEREST IN SECURITIES OF THE ISSUER (a,b) Mr. & Mrs. Tiphine own, and Mr. Nierenberg has sole voting and dispositive power over, their 7,500 shares. (c) N/A (d) N/A (e) N/A ITEM 6. CONTRACTS, ARRANGEMENTS, UNDERSTANDINGS OR RELATIONSHIPS WITH RESPECT TO SECURITIES OF THE ISSUER Mr. & Mrs. Tiphine pay Mr. Nierenberg an annual management fee and a share of its net profits for his personal management of their account. ITEM 7. MATERIAL TO BE FILED AS EXHIBITS N/A 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 14, 2003 /s/ DAVID NIERENBERG - ------------------ ------------------------------------ Date David Nierenberg Authorized to trade for Rita & Bruno Tiphine Page 25 of 26 The original statement shall be signed by each person on whose behalf the statement is filed or his authorized representative. If the statement is signed on behalf of a person by his authorized representative (other than an executive officer or general partner of the filing person), evidence of the representative's authority to sign on behalf of such person shall be filed with the statement provided, however, that a power of attorney for this purpose which is already on file with the Commission may be incorporated by reference. The name and any title of each person who signs the statement shall be typed or printed beneath his signature. ATTENTION: INTENTIONAL MISSTATEMENTS OR OMISSIONS OF FACT CONSTITUTE FEDERAL CRIMINAL VIOLATIONS (SEE 18 U.S.C. 1001) Page 26 of 26 -----END PRIVACY-ENHANCED MESSAGE-----