Stereotaxis
    Print Page  Close Window
PRE 14A
STEREOTAXIS, INC. filed this Form PRE 14A on 03/28/2019
Entire Document
 << Previous Page | Next Page >>
 

 

There were 59,278,681 shares of common stock and 23,890 shares of Series A Convertible Preferred Stock outstanding as of March 13, 2019. Unless otherwise indicated, the table below includes the number of shares underlying options, stock appreciation rights and warrants that are currently exercisable or exercisable within 60 days after March 13, 2019, the number of shares represented by restricted share units that may become vested within 60 days after March 13, 2019, and the number of shares of common stock into which the shares of Series A Convertible Preferred Stock are convertible within 60 days after March 13, 2019. Such shares are considered outstanding and beneficially owned by the person holding the options, stock appreciation rights, warrants, restricted share units, or shares of Series A Convertible Preferred Stock, for the purposes of computing beneficial ownership of that person, but are not treated as outstanding for the purpose of computing the percentage ownership of any other person. To our knowledge, except as set forth in the footnotes to this table and subject to applicable community property laws, where applicable, each person named in the table has sole voting and investment power with respect to the shares set forth opposite such person’s name. Except as otherwise indicated, the address of each of the persons in this table is as follows: c/o Stereotaxis, Inc., 4320 Forest Park Avenue, Suite 100, St. Louis, Missouri 63108.

 

Name and Address of Beneficial
Owner of Common Stock
  Number of shares of
Common Stock
beneficially owned
   Percentage of
shares of Common
Stock beneficially
owned
 
Five percent shareholders        

2012 Revocable Trust of Andrew Redleaf (1) 3033 Excelsior Boulevard

Minneapolis, MN 55416

   6,237,702    9.99%

Joseph Kiani Dynasty Trust(2)

52 Discovery

Irvine, CA 92618

   6,153,846    10.38%

Arbiter Partners QP, L.P.(3)

530 Fifth Avenue, 20th Fl.

New York, NY 10036

   4,618,385    7.79%

DAFNA Capital Management, LLC (4)

10990 Wilshire Boulevard, Suite 1400

Los Angeles, CA 90024

   13,680,554    23.07%
Directors and Named Executive Officers          
David W. Benfer (5)    196,054    * 
David L. Fischel   20,000    * 
Nathan Fischel (6)   13,700,554    23.10%
Joe Kiani (7)   6,173,846    10.41%
Arun S. Menawat   329,285    * 
Robert J. Messey (8)   152,743    * 
Ross Levin   -    * 
Martin C. Stammer (9)   164,019    * 
Kevin. Barry   -    * 
All directors and executive officers as a group (10 persons)   20,736,501    34.91 

 

* Indicates ownership of less than 1%

 

(1) Based on the Company’s records. This amount excludes 399,179 shares of common stock issuable upon conversion of Series A Convertible Preferred Stock. The conversion of the Series A Convertible Preferred Stock is restricted to the extent that, upon such conversion, the number of shares of common stock then beneficially owned by the holder of such securities and its affiliates would exceed 9.99% of our common stock then outstanding.
   
(2) Based on a Schedule 13D filed by Joe Kiani on March 16, 2018, and the Company’s records. Excludes 7,119,916 shares of common stock issuable upon conversion of Series A Convertible Preferred Stock held by the Joseph Kiani Dynasty Trust. The conversion of the Series A Convertible Preferred Stock is restricted to the extent that, upon such conversion, the number of shares of common stock then beneficially owned by the holder of such securities and its affiliates would exceed 4.99% of our common stock then outstanding.
   
(3) Based on a Schedule 13G filed by Arbiter Partners Capital Management LLC on February 14, 2019, and the Company’s records. Excludes 5,339,937 shares of common stock issuable upon conversion of Series A Convertible Preferred Stock held by Arbiter. The conversion of the Series A Convertible Preferred Stock is restricted to the extent that, upon such conversion or exercise, the number of shares of common stock then beneficially owned by the holder of such securities and its affiliates would exceed 4.99% of our common stock then outstanding.

 

Page 23 
 << Previous Page | Next Page >>