Amended Annual Report (10-k/a)
April 09 2020 - 4:11PM
Edgar (US Regulatory)
UNITED
STATES
SECURITIES
AND EXCHANGE COMMISSION
WASHINGTON,
D.C. 20549
FORM
10-K/A
Amendment No. 1
(MARK
ONE)
[X]
|
ANNUAL
REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934
|
FOR
THE FISCAL YEAR ENDED DECEMBER 31, 2019
OR
[ ]
|
TRANSITION
REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934
|
FOR
THE TRANSITION PERIOD FROM TO
COMMISSION
FILE NUMBER 001-36159
STEREOTAXIS,
INC.
(Exact
name of the Registrant as Specified in its Charter)
DELAWARE
|
|
94-3120386
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(State
or Other Jurisdiction of
Incorporation
or Organization)
|
|
(I.R.S.
Employer
Identification
Number)
|
4320
Forest Park Avenue, Suite 100
St.
Louis, MO 63108
(Address
of Principal Executive Offices including Zip Code)
(314)
678-6100
(Registrant’s
Telephone Number, Including Area Code)
Securities
registered pursuant to Section 12(b) of the Act:
Title
of each class
|
|
Trading
Symbol(s)
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Name
of each exchange on which registered
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Common
Stock, par value $0.001 per share
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STXS
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|
NYSE
American LLC
|
Securities
registered pursuant to Section 12(g) of the Act: None
Indicate
by check mark if the registrant is a well-known seasoned issuer, as defined in Rule 405 of the Securities Act. Yes [ ]
No [X]
Indicate
by check mark if the registrant is not required to file reports pursuant to Section 13 or Section 15(d) of the Act. Yes [ ]
No [X]
Indicate
by check mark whether the registrant (1) has filed all reports required to be filed by Section 13 or 15(d) of the Securities Exchange
Act of 1934 during the preceding 12 months (or for such shorter period that the registrant was required to file such reports),
and (2) has been subject to such filing requirements for the past 90 days. Yes [X] No [ ]
Indicate
by check mark whether the registrant has submitted electronically every Interactive Data File required to be submitted pursuant
to Rule 405 of Regulation S-T during the preceding 12 months (or for such shorter period that the registrant was required to submit
such files). Yes [X] No [ ]
Indicate
by check mark whether the registrant is a large accelerated filer, an accelerated filer, a non-accelerated filer, a smaller reporting
company or an emerging growth company. See the definitions of “large accelerated filer,” “accelerated filer,”
“smaller reporting company” and “emerging growth company” in Rule 12b-2 of the Exchange Act.
Large
accelerated filer [ ]
|
|
Accelerated
filer [X]
|
|
Non-accelerated
filer [ ]
|
|
Smaller
reporting company [X]
|
Emerging
growth company [ ]
|
|
|
|
|
|
|
If
an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for
complying with any new or revised financial accounting standards provided pursuant to Section 13(a) of the Exchange Act. [ ]
Indicate
by check mark whether the registrant is a shell company (as defined in Rule 12b-2 of the Act). Yes [ ] No [X]
The
aggregate market value of the registrant’s common stock held by non-affiliates of the registrant on the last business day
of the registrant’s most recently completed second fiscal quarter (based on the closing sales prices on the OTCQX on June
30, 2019) was approximately $112.4 million.
The
number of outstanding shares of the registrant’s common stock on February 29, 2020 was 69,033,391.
DOCUMENTS
INCORPORATED BY REFERENCE
Portions
of the Proxy Statement for the registrant’s 2020 Annual Meeting of Shareholders are incorporated by reference in Part III,
Items 10, 11, 12, 13 and 14.
EXPLANATORY
NOTE
Stereotaxis,
Inc. (“we” or the “Company”) is filing this Amendment No. 1 on Form 10-K/A (this “Amendment”)
to its Annual Report on Form 10-K for the fiscal year ended December 31, 2019 (the “Original Form 10-K Filing”), which
was originally filed with the U.S. Securities and Exchange Commission (the “SEC”) on March 16, 2020, solely to include
the correct version of Exhibit 4.7, Description of Registrant’s securities registered pursuant to Section 12 of the Securities
Exchange Act of 1934. The Company inadvertently filed an incorrect version of Exhibit 4.7 with the Original Form 10-K Filing.
This Amendment also includes new certifications by our principal executive officer and principal financial officer as required
by Item 15 of Part IV.
Except
as expressly set forth herein, this Amendment does not reflect events occurring after the date of the Original Form 10-K Filing
or modify or update any of the other disclosures contained therein in any way other than as required to reflect the amendments
referred to above. Accordingly, this Amendment should be read in conjunction with the Original Form 10-K Filing and the Company’s
other filings with the SEC.
PART
IV
ITEM
15.
|
EXHIBITS
AND FINANCIAL STATEMENT SCHEDULES
|
|
(a)
|
The
following documents are filed as part of this Annual Report on Form 10-K
|
EXHIBIT
INDEX
SIGNATURES
Pursuant
to the requirements of the Securities Exchange Act of 1934, the Registrant has duly caused this report to be signed on its behalf
by the undersigned thereunto duly authorized.
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STEREOTAXIS,
INC.
(Registrant)
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|
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Date:
April
9, 2020
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By:
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/s/
David L. Fischel
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David
L. Fischel
Chief
Executive Officer
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Pursuant
to the requirements of the Securities Exchange Act of 1934, this report has been signed below by the following persons on behalf
of the Registrant and in the capacities and on the dates indicated.
Signature
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Title
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Date
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/s/
David L. Fischel
|
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Chairman
of the Board of Directors and Chief Executive Officer
|
|
April
9, 2020
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David
L. Fischel
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|
(principal
executive officer)
|
|
|
|
|
|
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/s/
Kimberly R. Peery
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Chief
Financial Officer
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April
9, 2020
|
Kimberly
R. Peery
|
|
(principal
financial officer and principal accounting officer)
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|
|
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*
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Director
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April
9, 2020
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David
W. Benfer
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*
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Director
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April
9, 2020
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Nathan
Fischel
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*
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Director
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April
9, 2020
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Joe
Kiani
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*
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Director
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April
9, 2020
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Arun
Menawat
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*
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Director
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April
9, 2020
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Robert
J. Messey
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*
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Director
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April
9, 2020
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Ross
B. Levin
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By:
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/s/
Kimberly R. Peery
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Kimberly
R. Peery
Attorney-in-fact
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