Filing Details
- Accession Number:
- 0001289340-12-000040
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2012-05-14 18:58:24
- Reporting Period:
- 2012-05-07
- Filing Date:
- 2012-05-14
- Accepted Time:
- 2012-05-14 17:58:24
- 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 |
|---|---|---|---|---|---|---|---|
| 1299430 | D Christopher Alafi | P.o. Box 7338 Berkeley CA 94707 | 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 | 8,674,908 | $0.00 | 12,666,281 | No | 4 | P | Indirect | Alafi Capital Company LLC |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | P | Indirect | Alafi Capital Company LLC |
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 | 8,674,908 | $0.00 | 8,674,908 | $0.34 |
| Common Stock | Common Stock Warrant (right to buy) | Acquisiton | 2012-05-07 | 781,018 | $0.00 | 781,018 | $0.34 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 8,674,908 | 2012-05-10 | 2018-05-10 | No | 4 | P | Indirect |
| 781,018 | 2012-05-07 | 2017-05-07 | No | 4 | J | Indirect |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Common Stock | 245,933 | Direct | |
| Common Stock | 126,000 | Indirect | Christopher Alafi Trust |
| Common Stock | 2,225 | Indirect | Alafi Family Foundation |
| Common Stock | 30,000 | Indirect | by Mother |
Footnotes
- The reported securities are included within 8,674,908 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 Alafi Capital Company LLC and Issuer.
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