SEC Form 4
FORM 4 UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940
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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
1. Name and Address of Reporting Person*
MIDDLETON FRED A

(Last) (First) (Middle)
400 SOUTH EL CAMINO REAL
SUITE 1200

(Street)
SAN MATEO CA 94402-1708

(City) (State) (Zip)
2. Issuer Name and Ticker or Trading Symbol
Stereotaxis, Inc. [ STXS ]
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
X Director 10% Owner
Officer (give title below) Other (specify below)
3. Date of Earliest Transaction (Month/Day/Year)
08/13/2013
4. If Amendment, Date of Original Filed (Month/Day/Year)
6. Individual or Joint/Group Filing (Check Applicable Line)
X Form filed by One Reporting Person
Form filed by More than One Reporting Person
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1. Title of Security (Instr. 3) 2. Transaction Date (Month/Day/Year) 2A. Deemed Execution Date, if any (Month/Day/Year) 3. Transaction Code (Instr. 8) 4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5) 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 7. Nature of Indirect Beneficial Ownership (Instr. 4)
Code V Amount (A) or (D) Price
Common Stock 08/13/2013 M 624,113 A $3.36 1,584,877 I Sanderling Venture Partners VI Co-Investment Fund, L.P.
Common Stock 08/13/2013 F(1) 328,475 D $6.39 1,256,402 I Sanderling Venture Partners VI Co-Investment Fund, L.P.
Common Stock 08/13/2013 M 26,506 A $3.36 54,623 I Sanderling Ventures Management VI
Common Stock 08/13/2013 F(2) 13,950 D $6.39 40,673 I Sanderling Ventures Management VI
Common Stock 88,072 D
Common Stock 6,358 I Sanderling VI Limited Partnership
Common Stock 5,335 I Sanderling VI Beteiligungs GmbH & Co. KG
Common Stock 1,500 I Sanderling Mgmt. LLC 401K Pension Profit Sharing Plan
Common Stock 53,275 I Sanderling IV Biomedical Co-Investment Fund, L.P.
Common Stock 11,097 I Sanderling V Beteiligungs GmbH & Co. KG
Common Stock 39,716 I Sanderling V Biomedical Co-Investment Fund, L.P.
Common Stock 11,956 I Sanderling V Limited Partnership
Common Stock 67,790 I Sanderling Venture Partners V Co-Investment Fund, L.P.
Common Stock 22,451 I Sanderling Venture Partners IV Co-Investment Fund
Common Stock 82 I Sanderling Ventures Management V
Common Stock 79 I Middleton McNeil Retirement Trust
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 3) 2. Conversion or Exercise Price of Derivative Security 3. Transaction Date (Month/Day/Year) 3A. Deemed Execution Date, if any (Month/Day/Year) 4. Transaction Code (Instr. 8) 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) 6. Date Exercisable and Expiration Date (Month/Day/Year) 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) 8. Price of Derivative Security (Instr. 5) 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) 10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 11. Nature of Indirect Beneficial Ownership (Instr. 4)
Code V (A) (D) Date Exercisable Expiration Date Title Amount or Number of Shares
Common Stock Warrant (right to buy) $3.36 08/13/2013 M 624,113 05/07/2012 05/07/2018 Common Stock 624,113 $0 0 I Sanderling Venture Partners VI Co-Investment Fund LP
Common Stock Warrant (right to buy) $3.36 08/13/2013 M 26,506 05/07/2012 05/07/2018 Common Stock 26,506 $0 0 I Sanderling Ventures Management VI
Explanation of Responses:
1. On August 13, 2013, the reporting person exercised a warrant to purchase 624,113 shares of Stereotaxis, Inc. common stock for $3.36 per share. The reporting person paid the exercise price on a cashless basis, resulting in Stereotaxis, Inc. withholding 328,475 shares to pay the exercise price and issuing to the reporting person the remaining 295,638 shares.
2. On August 13, 2013, the reporting person exercised a warrant to purchase 26,506 shares of Stereotaxis, Inc. common stock for $3.36 per share. The reporting person paid the exercise price on a cashless basis, resulting in Stereotaxis, Inc. withholding 13,950 shares to pay the exercise price and issuing to the reporting person the remaining 12,556 shares.
Remarks:
/s/ Karen W. Duros, Attorney-in-Fact 08/15/2013
** Signature of Reporting Person Date
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 4 (b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
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