Filing Details
- Accession Number:
- 0001289340-12-000038
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2012-05-14 18:55:18
- Reporting Period:
- 2012-05-07
- Filing Date:
- 2012-05-14
- Accepted Time:
- 2012-05-14 17:55:18
- SEC Url:
- Form 4 Filing
Issuer
Cik | Name | Symbol | Sector (SIC) | IRS No |
---|---|---|---|---|
1289340 | Stereotaxis Inc. | STXS | Electromedical & Electrotherapeutic Apparatus (3845) | 943120386 |
Insiders
Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
---|---|---|---|---|---|---|---|
1267959 | A Fred Middleton | 400 South El Camino Real Suite 1200 San Mateo CA 94402-1708 | Yes | No | No | No |
Reported Non-Derivative Transactions
Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
---|---|---|---|---|---|---|---|---|---|---|
Common Stock | Acquisiton | 2012-05-10 | 6,241,119 | $0.00 | 7,822,726 | No | 4 | P | Indirect | Sanderling Venture Partners VI Co-Investment Fund, L.P. |
Common Stock | Acquisiton | 2012-05-10 | 265,062 | $0.00 | 281,178 | No | 4 | P | Indirect | Sanderling Ventures Management VI |
Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
---|---|---|---|---|
No | 4 | P | Indirect | Sanderling Venture Partners VI Co-Investment Fund, L.P. |
No | 4 | P | Indirect | Sanderling Ventures Management VI |
Reported Derivative Transactions
Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
---|---|---|---|---|---|---|---|
Common Stock | Common Stock Warrant (right to buy) | Acquisiton | 2012-05-10 | 6,241,119 | $0.00 | 6,241,119 | $0.34 |
Common Stock | Common Stock Warrant (right to buy) | Acquisiton | 2012-05-10 | 265,062 | $0.00 | 265,062 | $0.34 |
Common Stock | Common Stock Warrant (right to buy) | Acquisiton | 2012-05-07 | 1,498,482 | $0.00 | 1,498,482 | $0.34 |
Common Stock | Common Stock Warrant (right to buy) | Acquisiton | 2012-05-07 | 29,000 | $0.00 | 29,000 | $0.34 |
Common Stock | Common Stock Warrant (right to buy) | Acquisiton | 2012-05-07 | 34,553 | $0.00 | 34,553 | $0.34 |
Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
---|---|---|---|---|---|---|
6,241,119 | 2012-05-10 | 2018-05-10 | No | 4 | P | Indirect |
265,062 | 2012-05-10 | 2018-05-10 | No | 4 | P | Indirect |
1,498,482 | 2012-05-07 | 2017-05-07 | No | 4 | J | Indirect |
29,000 | 2012-05-07 | 2017-05-07 | No | 4 | J | Indirect |
34,553 | 2012-05-07 | 2017-05-07 | No | 4 | J | Indirect |
Reported Non-Derivative Holdings
Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
---|---|---|---|
Common Stock | 340,932 | Direct | |
Common Stock | 30,609 | Indirect | Sanderling VI Beteiligungs GmbH & Co. KG |
Common Stock | 36,470 | Indirect | Sanderling VI Limited Partnership |
Common Stock | 781,351 | Indirect | Sanderling Venture Partners II, L.P. |
Common Stock | 15,000 | Indirect | Sanderling Mgmt. LLC 401K Pension Profit Sharing Plan |
Common Stock | 532,758 | Indirect | Sanderling IV Biomedical Co-Investment Fund, L.P. |
Common Stock | 110,971 | Indirect | Sanderling V Beteiligungs GmbH & Co. KG |
Common Stock | 397,164 | Indirect | Sanderling V Biomedical Co-Investment Fund, L.P. |
Common Stock | 119,566 | Indirect | Sanderling V Limited Partnership |
Common Stock | 677,906 | Indirect | Sanderling Venture Partners V Co-Investment Fund, L.P. |
Common Stock | 224,515 | Indirect | Sanderling Venture Partners iV Co-Investment Fund |
Common Stock | 828 | Indirect | Sanderling Ventures Management V |
Common Stock | 797 | Indirect | Middleton McNeil Retirement Trust |
Footnotes
- The reported securities are included within 6,241,119 Stereotaxis units purchased by the reporting person for 0.4611 per unit. Each unit consists of one share of common stock, and one warrant to purchase one share of common stock.
- The reported securities are included within 265,062 Stereotaxis units purchased by the reporting person for 0.4611 per unit. Each unit consists of one share of common stock, and one warrant to purchase one share of common stock.
- The warrant was issued dated May 7, 2012, subject to closing conditions, which were satisfied on May 11, 2012. Beneficial ownership was acquired on May 11, 2012, upon satisfaction of closing conditions.
- Warrant received in connection with the extension of an unsecured loan commitment between Sanderling Venture Partners VI Co-Investment Fund, L.P., Sanderling VI Beteiligungs GmbH & Co. KG, Sanderling VI Limited Partnership, respectively, and Issuer.