Statement of Changes in Beneficial Ownership (4)
June 11 2014 - 4:59PM
Edgar (US Regulatory)
FORM 4
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue.
See
Instruction 1(b).
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
OMB Number:
3235-0287
Estimated average burden
hours per response...
0.5
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
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MIDDLETON FRED A
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2. Issuer Name
and
Ticker or Trading Symbol
Stereotaxis, Inc.
[
STXS
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
__
X
__ Director
_____ 10% Owner
_____ Officer (give title below)
_____ Other (specify below)
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(Last)
(First)
(Middle)
C/O STEREOTAXIS, INC., 4320 FOREST PARK AVENUE, SUITE 100
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3. Date of Earliest Transaction
(MM/DD/YYYY)
6/10/2014
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(Street)
ST. LOUIS, MO 63108
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
_
X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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1.Title of Security
(Instr. 3)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code
(Instr. 8)
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4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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Common Stock
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6/10/2014
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A
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10000
(1)
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A
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$0
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61170
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D
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Common Stock
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1256402
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I
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Sanderling Venture Partners VI Co-Investment Fund, L.P.
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Common Stock
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40673
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I
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Sanderling Ventures Management VI
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Common Stock
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6358
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I
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Sanderling VI Limited Partnership
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Common Stock
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5335
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I
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Sanderling VI Beteiligungs GmbH & Co. KG
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Common Stock
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1500
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I
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Sanderling Mgmt. LLC 401K Pension Profit Sharing Plan
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Common Stock
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53275
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I
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Sanderling IV Biomedical Co-Investment Fund, L.P.
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Common Stock
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11097
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I
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Sanderling V Beteiligungs GmbH & Co. KG
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Common Stock
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39716
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I
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Sanderling V Biomedical Co-Investment Fund, L.P.
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Common Stock
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11956
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I
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Sanderling V Limited Partnership
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Common Stock
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67790
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I
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Sanderling Venture Partners V Co-Investment Fund, L.P.
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Common Stock
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22451
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I
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Sanderling Venture Partners IV Co-Investment Fund
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Common Stock
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82
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I
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Sanderling Ventures Management V
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Table II - Derivative Securities Beneficially Owned (
e.g.
, puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security
(Instr. 3)
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2. Conversion or Exercise Price of Derivative Security
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3. Trans. Date
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3A. Deemed Execution Date, if any
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4. Trans. Code
(Instr. 8)
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5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
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6. Date Exercisable and Expiration Date
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7. Title and Amount of Securities Underlying Derivative Security
(Instr. 3 and 4)
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8. Price of Derivative Security
(Instr. 5)
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9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4)
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10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4)
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11. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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(A)
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(D)
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Date Exercisable
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Expiration Date
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Title
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Amount or Number of Shares
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Explanation of Responses:
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(
1)
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Grant of restricted share units. Each restricted share unit represents a right to receive one share of common stock. The restricted share units vest one year from the date of grant or the date of the next annual shareholders' meeting, whichever is earlier.
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Reporting Owners
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Reporting Owner Name / Address
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Relationships
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Director
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10% Owner
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Officer
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Other
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MIDDLETON FRED A
C/O STEREOTAXIS, INC.
4320 FOREST PARK AVENUE, SUITE 100
ST. LOUIS, MO 63108
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X
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Signatures
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/s/ Karen W. Duros, Attorney-in-Fact
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6/11/2014
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**
Signature of Reporting Person
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Date
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
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*
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If the form is filed by more than one reporting person,
see
Instruction 4(b)(v).
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**
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Intentional misstatements or omissions of facts constitute Federal Criminal Violations.
See
18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
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Note:
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File three copies of this Form, one of which must be manually signed. If space is insufficient,
see
Instruction 6 for procedure.
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Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number.
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