SEC Form 4 · accession 0001289340-15-000081
Stereotaxis, Inc. · STXS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Frank Cheng
Officer — Senior VP, Marketing and BD
Period of report
Sep 28, 2015
Accepted (ET)
Sep 29, 2015 · 2:02 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001289340
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | Sep 28, 2015 | X | 4,546 | $1.10 | A | 60,196 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Common SharesF2 | $1.10 | Sep 28, 2015 | X | 4,546 | D | Sep 9, 2015 | Oct 2, 2015 | Common Stock | 4,546 | 2,067 | D |
Explanation of responses
- F1Shares to be settled following the closing of the offering period for warrants, which is expected to be October 2, 2015.
- F2The Company issued to each holder of record, as of September 9, 2015, and certain warrant holders, subscription warrants to acquire shares of common stock of Stereotaxis, Inc. in accordance with a prospectus dated September 4, 2015. Each subscription warrant entitles the holder to purchase one share of Stereotaxis, Inc. common stock.