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, 2015 |
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 | ||||
Delaware | 77–0154833 | |
(State or other jurisdiction of incorporation or organization) | (I.R.S. Employer Identification Number) |
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) |
Large accelerated filer ý | Accelerated filer ¬ | ||
Non-accelerated filer ¬ | Smaller reporting company ¬ | ||
(Do not check if a smaller reporting company) |
NATUS MEDICAL INCORPORATED | ||
By | /s/ JAMES B. HAWKINS | |
James B. Hawkins President and Chief Executive Officer | ||
By | /s/ JONATHAN A. KENNEDY | |
Jonathan A. Kennedy Senior Vice President and Chief Financial Officer |
Incorporated By Reference | |||||||||||
Exhibit No. | Exhibit | Filing | Exhibit No. | File No. | File Date | ||||||
3.1 | Natus Medical Incorporated Restated Certificate of Incorporation | S-1 | 3.1.1 | 333-44138 | 8/18/2000 | ||||||
3.2 | Certificate of Amendment of the Amended and Restated Certificate of Incorporation | 8-K | 3.1 | 000-33001 | 9/13/2012 | ||||||
3.3 | Certificate of Designation of Rights, Preferences and Privileges of Series A Participating Preferred Stock of Natus Medical Incorporated | 8-A | 3.1.2 | 000-33001 | 9/6/2002 | ||||||
3.4 | Amended and Restated Bylaws of Natus Medical Incorporated | 10-Q | 3.1 | 000-33001 | 5/9/2012 | ||||||
10.1 | Form of Indemnification Agreement between Natus Medical Incorporated and each of its directors and officers | S-1 | 10.1 | 333-44138 | 8/18/2000 | ||||||
10.2* | Natus Medical Incorporated Amended and Restated 2000 Stock Awards Plan | 8-K | 10.1 | 000-33001 | 1/4/2006 | ||||||
10.2.1* | Form of Option Agreement under the Amended and Restated 2000 Stock Awards Plan | S-1 | 10.3.1 | 333-44138 | 8/18/2000 | ||||||
10.2.2* | Form of Restricted Share Agreement under the Amended and Restated 2000 Stock Awards Plan | 10-Q | 10.2 | 000-33001 | 8/9/2006 | ||||||
10.2.3* | Form of Restricted Stock Unit Agreement under the Amended and Restated 2000 Stock Awards Plan | 10-K | 10.3.3 | 000-33001 | 3/14/2008 | ||||||
10.3* | Natus Medical Incorporated 2000 Director Option Plan | 10-Q | 10.02 | 000-33001 | 5/9/2008 | ||||||
10.3.1* | Form of Option Agreement under the 2000 Director Option Plan | S-1 | 10.4.1 | 333-44138 | 8/18/2000 | ||||||
10.4* | Natus Medical Incorporated 2000 Supplemental Stock Option Plan | S-1 | 10.15 | 333-44138 | 2/9/2001 | ||||||
10.4.1* | Form of Stock Option Agreement for 2000 Supplemental Stock Option Plan | S-1 | 10.15.1 | 333-44138 | 2/9/2001 | ||||||
10.5* | Natus Medical Incorporated 2000 Employee Stock Purchase Plan and form of subscription agreement thereunder | 8-K | 10.2 | 000-33001 | 1/4/2006 | ||||||
10.6*# | 2011 Stock Awards Plan (Amended as of June 6, 2014) | ||||||||||
10.6.1* | Form of Stock Option Grant Agreement under the 2011 Stock Plan | 10-Q | 10.1 | 000-33001 | 11/7/2011 | ||||||
10.6.2* | Form of Restricted Stock Award Share Agreement | 10-Q | 10.2 | 000-33001 | 11/7/2011 | ||||||
10.6.3* | Form of Restricted Stock Unit Agreement | 10-Q | 10.3 | 000-33001 | 11/7/2011 | ||||||
10.7* | 2011 Employee Stock Purchase Plan | DEF 14A | Appendix B | 000-33001 | 4/20/2011 | ||||||
10.7.1* | 2011 Employee Stock Purchase Plan Subscription Agreement | DEF 14A | Appendix B-Exhibit A | 000-33001 | 4/20/2011 | ||||||
10.8* | Form of Employment Agreement between Natus Medical Incorporated and each of its executive officers other than its Chief Executive Officer and Chief Financial Officer | 10-K | 10.10 | 000-33001 | 3/10/2009 |
Incorporated By Reference | |||||||||||
Exhibit No. | Exhibit | Filing | Exhibit No. | File No. | File Date | ||||||
10.8.1* | Form of Amendment to Employment Agreement between Natus Medical Incorporated and each of its executive officers other than its Chief Executive Officer and Chief Financial Officer | 10-K | 10.8.1 | 000-33001 | 3/16/2015 | ||||||
10.9* | Amended employment agreement between Natus Medical Incorporated and its Chief Executive Officer, James B. Hawkins dated April 19, 2013 | 8-K | 99.1 | 000-33001 | 4/22/2013 | ||||||
10.10* | Form of Employment Agreement between Natus Medical Incorporated and Jonathan A. Kennedy dated April 8, 2013 | 10-Q | 10.1 | 000-33001 | 8/8/2013 | ||||||
10.11 | Credit Agreement between Natus Medical Incorporated and CitiBank, N.A. dated October 9, 2015 | 8-K | 10.1 | 000-33001 | 10/14/2015 | ||||||
10.12# | Agreement For the Acquisition of Medical Devices between Medix ICSA and the Ministry of Health of the Republic of Venezuela dated October 15, 2016 | ||||||||||
16.1 | Letter Regarding Change in Certifying Accountant | 8-K | 16.1 | 000-33001 | 3/28/2014 | ||||||
21.1# | Subsidiaries of the Registrant | ||||||||||
23.1# | Consent of Independent Registered Public Accounting Firm | ||||||||||
23.2# | Consent of Independent Registered Public Accounting Firm | ||||||||||
24.1 | Power of Attorney (included on signature page) | ||||||||||
31.1# | Certification of Principal Executive Officer pursuant to Section 302 of the Sarbanes-Oxley Act of 2002 | ||||||||||
31.2# | Certification of Principal Financial Officer pursuant to Section 302 of the Sarbanes-Oxley Act of 2002 | ||||||||||
31.3 | Certification of Principal Executive Officer pursuant to Section 302 of the Sarbanes-Oxley Act of 2002 | ||||||||||
31.4 | Certification of Principal Financial Officer pursuant to Section 302 of the Sarbanes-Oxley Act of 2002 | ||||||||||
32.1# | Certification of Principal Executive Officer and Principal Financial Officer pursuant to 18 U.S.C. Section 1350 as adopted pursuant to Section 906 of the Sarbanes-Oxley Act of 2002 | ||||||||||
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 |