13D Filing: DAFNA Capital Management and Stereotaxis Inc. (STXS)

Page 5 of 8 – SEC Filing


Item 2. Identity and Background

Item 2 is hereby amended and restated as follows:

(a), (f) This
Schedule 13D is being filed by: (i) DAFNA Capital Management, LLC, a Delaware limited liability company (DAFNA); (ii) Dr. Nathan Fischel, a citizen of Austria and permanent resident of the United States of America
(Dr. Fischel); and (iii) Dr. Fariba Ghodsian, a citizen of the United States of America (Dr. Ghodsian, and together with DAFNA and Dr. Fischel, the Reporting Persons). Dr. Fischel is
the Chief Executive Officer of DAFNA and Dr. Ghodsian is the Chief Investment Officer of DAFNA.

DAFNA is the investment manager and general partner
of each of DAFNA LifeScience, L.P., a Delaware limited partnership (LifeScience), DAFNA LifeScience Select, L.P., a Delaware limited partnership (Select), and DAFNA LifeScience Market Neutral, L.P., a Delaware limited
partnership (Market Neutral) and, together with LifeScience and Select, the Funds).

The securities are owned directly by certain
of the Funds. Each of DAFNA, Dr. Fischel, and Dr. Ghodsian may be deemed to beneficially own the securities under Section 13(d) of the Securities Exchange Act of 1934.

(b) The principal business address of each of the Reporting Persons is 10990 Wilshire Boulevard, Suite 1400 Los Angeles, California 90024.

(c) The principal business of DAFNA is serving as an SEC-registered investment adviser for private investment funds,
including the Funds. The principal occupation of Dr. Fischel is serving as the Chief Executive Officer of DAFNA. The principal occupation of Dr. Ghodsian is serving as the Chief Investment Officer of DAFNA.

(d) During the last five years, none of the Reporting Persons has been convicted in a criminal proceeding (excluding traffic violations or similar
misdemeanors).

(e) During the last five years, none of the Reporting Persons has been a party to a civil proceeding of a judicial or administrative body
of competent jurisdiction and as a result of such proceeding was or is subject to a judgment, decree or final order enjoining future violations of, or prohibiting or mandating activities subject to, federal or state securities laws or finding any
violation with respect to such laws.

Item 3. Source and Amount of Funds or Other Consideration

Item 3 is hereby amended and restated to read as follows:

Page 5 of 8

Follow Stereotaxis Inc. (NASDAQ:STXS)