0001289340-18-000041.txt : 20180305 0001289340-18-000041.hdr.sgml : 20180305 20180305180149 ACCESSION NUMBER: 0001289340-18-000041 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20180305 FILED AS OF DATE: 20180305 DATE AS OF CHANGE: 20180305 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Fischel Nathan CENTRAL INDEX KEY: 0001389932 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36159 FILM NUMBER: 18667837 MAIL ADDRESS: STREET 1: 10990 WILSHIRE BOULEVARD STREET 2: SUITE 1400 CITY: LOS ANGELES STATE: CA ZIP: 90024 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 4 1 edgar.xml PRIMARY DOCUMENT X0306 4 2018-03-05 0001289340 Stereotaxis, Inc. STXS 0001389932 Fischel Nathan C/O STEREOTAXIS, INC. 4320 FOREST PARK AVENUE, SUITE 100 ST. LOUIS MO 63108 1 0 1 0 Common Stock 2018-03-05 4 X 0 12307692 .28 A 13680554 I See footnote 1 Common Stock 74500 D Common Stock Warrant (right to buy) .70 2018-03-01 4 D 0 12307692 D 2016-09-29 2021-09-29 Common Stock 12307692 0 I See footnote 1 Common Stock Warrant (right to buy) .28 2018-03-01 4 A 0 12307692 A 2016-09-29 2021-09-29 Common Stock 12307692 12307692 I See footnote 1 Common Stock Warrant (right to buy) .28 2018-03-05 4 X 0 12307692 0 D 2016-09-29 2021-09-29 Common Stock 12307692 0 I See footnote 1 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. On February 28, 2018, the issuer and certain holders of outstanding warrants issued pursuant to the Stock Purchase Agreement dated September 26, 2016, including the reporting person, entered into an amendment to the warrants. The amendment provided that the exercise price of the warrants would be reduced for a limited period of time, provided that at least $6 million of warrants was exercised during the limited period. This condition was satisfied on March 1, 2018. The transactions reported in the first two lines of Table II above report the amendment of the warrant to temporarily reduce the exercise price from $0.70 per share to $0.28 per share. The amendment is reported as the disposition of the old warrant and the acquisition of a new one. The amendment to the warrant was approved by a transaction committee consisting solely of independent directors for purposes of Rules 16b-3(d) and (e). /s/ Karen Witte Duros, Attorney-in-Fact 2018-03-05