0000950138-17-000150.txt : 20170210
0000950138-17-000150.hdr.sgml : 20170210
20170210191743
ACCESSION NUMBER: 0000950138-17-000150
CONFORMED SUBMISSION TYPE: 3
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20170203
FILED AS OF DATE: 20170210
DATE AS OF CHANGE: 20170210
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: Stereotaxis, Inc.
CENTRAL INDEX KEY: 0001289340
STANDARD INDUSTRIAL CLASSIFICATION: ELECTROMEDICAL & ELECTROTHERAPEUTIC APPARATUS [3845]
IRS NUMBER: 943120386
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
BUSINESS ADDRESS:
STREET 1: 4320 FOREST PARK AVENUE
STREET 2: SUITE 100
CITY: ST.LOUIS
STATE: MO
ZIP: 63108
BUSINESS PHONE: 314-678-6100
MAIL ADDRESS:
STREET 1: 4320 FOREST PARK AVENUE
STREET 2: SUITE 100
CITY: ST.LOUIS
STATE: MO
ZIP: 63108
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Fischel Nathan
CENTRAL INDEX KEY: 0001389932
FILING VALUES:
FORM TYPE: 3
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-36159
FILM NUMBER: 17595267
MAIL ADDRESS:
STREET 1: 10990 WILSHIRE BOULEVARD
STREET 2: SUITE 1400
CITY: LOS ANGELES
STATE: CA
ZIP: 90024
3
1
edgar.xml
PRIMARY DOCUMENT
X0206
3
2017-02-03
0
0001289340
Stereotaxis, Inc.
STXS
0001389932
Fischel Nathan
C/O STEREOTAXIS, INC.
4320 FOREST PARK AVENUE, SUITE 100
ST. LOUIS
MO
63108
1
0
0
0
Common Stock
1372862
I
See footnote
Series A Convertible Preferred Stock
.65
Common Stock
12558567
I
See footnote
Common Stock Warrant (right to buy)
.70
2016-09-29
2021-09-29
Common Stock
12307692
I
See footnote
Common Stock Warrant (right to buy)
3.361
2013-08-07
2018-11-11
Common Stock
1041357
I
See footnote
Held by funds of which DAFNA Capital Management, LLC, a Delaware limited liability company, is the investment manager and general partner. Dr. Fischel is the Chief Executive Officer, of DAFNA Capital Management, LLC.
The Series A convertible preferred stock is convertible at the election of the holder at any time and has no expiration date.
The number of shares is based on the initial conversion price of $.65. The conversion price is subject to adjustment. For purposes of determining the number of shares of common stock upon conversion, the value of the convertible preferred stock will be increased by the amount of dividends at a rate of 6% per annum, which will be cumulative and accrue daily from the date of issuance on the $1,000 stated value. The conversion of the Series A convertible preferred stock, and exercising of the warrants are restricted to the extent that, upon such conversion or exercise, the number of shares of common stock then beneficially owned by the holder of such securities and its affiliates would exceed 4.99% of the total number of shares of common stock then outstanding.
Initial conversion/exercise price. The conversion/exercise price is subject to adjustment.
The number of shares is based on the initial exercise price of $.70. The exercise price is subject to adjustment. The conversion of the Series A convertible preferred stock, and exercising of the warrants are restricted to the extent that, upon such conversion or exercise, the number of shares of common stock then beneficially owned by the holder of such securities and its affiliates would exceed 4.99% of the total number of shares of common stock then outstanding.
/s/ Karen W. Duros, Attorney-in-Fact
2017-02-09