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