Initial Statement of Beneficial Ownership (3)
03 October 2019 - 7:30AM
Edgar (US Regulatory)
FORM 3
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
OMB Number:
3235-0104
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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Peery Kimberly R. |
2. Date of Event Requiring Statement (MM/DD/YYYY)
10/1/2019
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3. Issuer Name and Ticker or Trading Symbol
Stereotaxis, Inc. [STXS]
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(Last)
(First)
(Middle)
C/O STEREOTAXIS, INC., 4320 FOREST PARK AVENUE, SUITE 100 |
4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
_____ Director _____ 10% Owner ___X___ Officer (give title below) _____ Other (specify below) Chief Financial Officer / |
(Street)
ST. LOUIS,, MO 63108
(City)
(State)
(Zip)
| 5. If Amendment, Date Original Filed(MM/DD/YYYY)
| 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 Beneficially Owned
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1.Title of Security (Instr. 4) | 2. Amount of Securities Beneficially Owned (Instr. 4) | 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 4. Nature of Indirect Beneficial Ownership (Instr. 5) |
Common Stock | 945 | D | |
Common Stock | 3750 (1) | D | |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security (Instr. 4) | 2. Date Exercisable and Expiration Date (MM/DD/YYYY) | 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) | 4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 5) | 6. Nature of Indirect Beneficial Ownership (Instr. 5) |
Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Stock Appreciation Rights | 3/27/2015 (2) | 3/26/2024 | Common Stock | 4000 | $4.04 | D | |
Stock Options (Right to Buy) | 2/26/2019 (3) | 3/25/2028 | Common Stock | 15750 | $0.74 | D | |
Stock Options (Right to Buy) | 3/3/2020 (4) | 3/2/2029 | Common Stock | 35000 | $2.03 | D | |
Explanation of Responses: |
(1) | Unvested restricted share units granted on 2/09/16. Each restricted share unit represents a right to receive one share of common stock. The restricted share units vest over a four year period in equal installments of 25%, each occurring on the anniversary date of the grant. |
(2) | Stock appreciation rights granted on 3/27/14 of which 4,000 are outstanding and vested. |
(3) | Stock options granted on 2/26/18 of which 647 are vested with the remaining vesting ratably per month through 02/29/2022. |
(4) | Stock options granted on 3/03/19, none of which are vested. The stock options vest as follows: (1) 25% vest one year after the date of the grant (2) the remaining 75% vest ratably per month over the next three years. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Peery Kimberly R. C/O STEREOTAXIS, INC. 4320 FOREST PARK AVENUE, SUITE 100 ST. LOUIS,, MO 63108 |
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| Chief Financial Officer |
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Signatures
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/s/ Kimberly R. Peery | | 10/2/2019 |
**Signature of Reporting Person | Date |