information required by Part III is omitted from this Report on Form 10-K since we intend to file our definitive Proxy Statement
for our next Annual Meeting of Stockholders, pursuant to Regulation 14A of the Securities Exchange Act of 1934, as amended (the
“Proxy Statement”), no later than April 30, 2019, and certain information to be included in the Proxy Statement is
incorporated herein by reference.
AND EXECUTIVE OFFICERS OF THE REGISTRANT |
required by this item concerning our directors is incorporated by reference to the information set forth in the section titled
“Information About the Board of Directors” in our Proxy Statement. Information regarding Section 16 reporting compliance
is incorporated by reference to the information set forth in the section titled “Section 16(a) Beneficial Ownership Reporting
Compliance” in our Proxy Statement. Information about our audit committee members and audit committee financial expert is
incorporated by reference to the information set forth in the section titled “Board Meetings and Committees” in our
Board of Directors adopted a Code of Business Conduct and Ethics for all our directors, officers and employees effective August
1, 2004 as amended from time to time. Stockholders may request a free copy of our Code of Business Conduct and Ethics from our
Chief Financial Officer as follows:
Martin C. Stammer
Forest Park Avenue, Suite 100
Louis, MO 63108
intend to promptly disclose any amendments to, or waivers from, any provision of the Code of Business Conduct and Ethics by posting
the relevant material on our website (www.stereotaxis.com) in accordance with SEC rules.
following is information with respect to our executive officers:
Executive Officer and Chairman of the Board since February 2017
since September 2016
Fischel, 32, was named Chief Executive Officer and Chairman of the Board on February 3, 2017. He has served as a director of Stereotaxis since
leading the equity investment and positive strategic initiatives announced in September 2016. He has served for over nine
years as Principal and portfolio manager for medical device investments at DAFNA Capital Management, LLC. In addition to
his research responsibilities, Mr. Fischel has been deeply involved in all aspects of DAFNA Capital’s operations including
legal, accounting, IT, compliance, human resources and marketing. Prior to joining DAFNA Capital, he was a research analyst
at SCP Vitalife, a healthcare venture capital fund. Mr. Fischel completed his B.S. magna cum laude in Applied Mathematics with
a minor in Accounting at the University of California at Los Angeles and received his MBA from Bar-Ilan University in Tel
Aviv. He is a Certified Public Accountant, Chartered Financial Analyst and Chartered Alternative Investment Analyst.
Legal Officer, Chief Compliance Officer, and Corporate Secretary
Barry, 55, was appointed as the Chief Legal Officer, Chief Compliance Officer, and Corporate Secretary in November 2018. He has
20 years of experience representing life sciences companies. Prior to joining Stereotaxis, he served as Vice President of Legal
Affairs & Chief Compliance Officer for BioFire Diagnostics, a bioMerieux company, and previously held senior legal roles with
Sonova Holding, AG, CareFusion, and Cardinal Health. Mr. Barry received his J.D. from Duke University and holds a B.S. from St.
since February 2013
Stammer, 38, was appointed as the Chief Financial Officer in February 2013. He previously served as Vice President, Controller
since August 2012 and as Corporate Controller from July 2011 to August 2012. He joined the Company as Senior Manager, Financial
Reporting in October 2009. Prior to joining the Company, from 2003 to 2009, Mr. Stammer was employed in various roles and capacities
at Deloitte & Touche LLP, including most recently as Audit Manager. Mr. Stammer received his M.S. and B.S. in Accountancy
from the University of Illinois and is a Certified Public Accountant.