SEC Filing | Stereotaxis Inc.

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SEC FORM 3 SEC Form 3

FORM 3

UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES

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^*

MIDDLETON FRED A

(Last)

(First)

(Middle)

400 SOUTH EL CAMINO RD

SUITE 1200

(Street)

SAN MATEO

99402

(City)

(State)

(Zip)

2. Date of Event Requiring Statement (Month/Day/Year)
08/11/2004

3. Issuer Name and Ticker or Trading Symbol
Stereotaxis, Inc. [ STXS ]

4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)

X	Director	10% Owner
	Officer (give title below)	Other (specify below)

5. If Amendment, Date of Original Filed (Month/Day/Year)

6. Individual or Joint/Group Filing (Check Applicable Line)

X	Form filed by One Reporting Person
	Form filed by More than One Reporting Person

Table I - Non-Derivative Securities Beneficially Owned
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)

Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 4)	2. Date Exercisable and Expiration Date (Month/Day/Year)		3. Title and Amount of Securities Underlying Derivative Security (Instr. 4)		4. Conversion or Exercise Price of Derivative Security	5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5)	6. Nature of Indirect Beneficial Ownership (Instr. 5)
1. Title of Derivative Security (Instr. 4)	Date Exercisable	Expiration Date	Title	Amount or Number of Shares	4. Conversion or Exercise Price of Derivative Security	5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5)	6. Nature of Indirect Beneficial Ownership (Instr. 5)
Series D-1 Convertible Preferred Stock	⁽¹⁾	⁽¹⁾	Common Stock	37,598	⁽²⁾	I	Sanderling V Limited Partnership
Series D-1 Convertible Preferred Stock	⁽¹⁾	⁽¹⁾	Common Stock	229,928	⁽²⁾	I	Sanderling Venture Partners V Co-Investment Fund, L.P.
Series D-1 Convertible Preferred Stock	⁽¹⁾	⁽¹⁾	Common Stock	2,165	⁽²⁾	I	Sanderling Management Limited, Cust. FBO Sanderling Ventures Limited, L.P.
Series D-1 Convertible Preferred Stock	⁽¹⁾	⁽¹⁾	Common Stock	4,448	⁽²⁾	I	Sanderling Ventures Management V
Series D-1 Convertible Preferred Stock	⁽¹⁾	⁽¹⁾	Common Stock	541	⁽²⁾	I	Sanderling Management Limited, Cust. FBO Middleton-McNeil, L.P.
Series D-2 Convertible Preferred Stock	⁽¹⁾	⁽¹⁾	Common Stock	28,882	⁽²⁾	I	Sanderling V Beteiligungs GmbH & Co. KG
Series D-2 Convertible Preferred Stock	⁽¹⁾	⁽¹⁾	Common Stock	120,343	⁽²⁾	I	Sanderling V Biomedical Co-Investment Fund, L.P.
Series D-2 Convertible Preferred Stock	⁽¹⁾	⁽¹⁾	Common Stock	32,459	⁽²⁾	I	Sanderling V Limited Partnership
Series D-2 Convertible Preferred Stock	⁽¹⁾	⁽¹⁾	Common Stock	198,499	⁽²⁾	I	Sanderling Venture Partners V Co-Investment Fund, L.P.
Series D-2 Convertible Preferred Stock	⁽¹⁾	⁽¹⁾	Common Stock	3,840	⁽²⁾	I	Sanderling Ventures Management V
Series E-2 Convertible Preferred Stock	⁽¹⁾	⁽¹⁾	Common Stock	47,402	⁽²⁾	I	Sanderling IV Biomedical Co-Investment Fund, L.P.
Series E-2 Convertible Preferred Stock	⁽¹⁾	⁽¹⁾	Common Stock	17,825	⁽²⁾	I	Sanderling V Beteiligungs GmbH & Co. KG
Series E-2 Convertible Preferred Stock	⁽¹⁾	⁽¹⁾	Common Stock	74,273	⁽²⁾	I	Sanderling V Biomedical Co-Investment Fund, L.P.
Series E-2 Convertible Preferred Stock	⁽¹⁾	⁽¹⁾	Common Stock	20,033	⁽²⁾	I	Sanderling V Limited Partnership
Series E-2 Convertible Preferred Stock	⁽¹⁾	⁽¹⁾	Common Stock	122,509	⁽²⁾	I	Sanderling Venture Partners V Co-Investment Fund, L.P.
Series E-2 Convertible Preferred Stock	⁽¹⁾	⁽¹⁾	Common Stock	9,480	⁽²⁾	I	Sanderling Ventures Management V
Series D-1 Common Stock Warrants	11/21/2001	11/21/2006	Common Stock	480	7.81	I	Sanderling II Limited Partnership
Series D-1 Common Stock Warrants	11/21/2001	11/21/2006	Common Stock	16,805	7.81	I	Sanderling V Beteiligungs GmbH & Co. KG
Series D-1 Common Stock Warrants	11/21/2001	11/21/2006	Common Stock	4,800	7.81	I	Sanderling V Biomedical Co-Investment Fund, L.P.
Series D-1 Common Stock Warrants	11/21/2001	11/21/2006	Common Stock	13,728	7.81	I	Sanderling V Limited Partnership
Series D-1 Common Stock Warrants	11/21/2001	11/21/2006	Common Stock	30,721	7.81	I	Sanderling Venture Partners V Co-Investment Fund, L.P.
Series D-1 Common Stock Warrants	11/21/2001	11/21/2006	Common Stock	667	7.81	I	Sanderling Ventures Management V
Series D-2 Common Stock Warrants	12/17/2002	12/31/2007	Common Stock	4,332	7.81	I	Sanderling V Beteiligungs GmbH & Co. KG
Series D-2 Common Stock Warrants	12/17/2002	12/31/2007	Common Stock	18,051	7.81	I	Sanderling V Biomedical Co-Investment Fund, L.P.
Series D-2 Common Stock Warrants	12/17/2002	12/31/2007	Common Stock	4,868	7.81	I	Sanderling V Limited Partnership
Series D-2 Common Stock Warrants	12/17/2002	12/31/2007	Common Stock	27,774	7.81	I	Sanderling Venture Partners V Co-Investment Fund, L.P.
Series D-2 Common Stock Warrants	12/17/2002	12/31/2007	Common Stock	575	7.81	I	Sanderling Ventures Management V
Series E-2 Common Stock Warrants	01/28/2004	01/27/2009	Common Stock	9,480	10.55	I	Sanderling IV Biomedical Co-Investment Fund, L.P.
Series E-2 Common Stock Warrants	01/28/2004	01/27/2009	Common Stock	3,565	10.55	I	Sanderling V Beteiligungs GmbH & Co. KG
Series E-2 Common Stock Warrants	01/28/2004	01/27/2009	Common Stock	14,854	10.55	I	Sanderling V Biomedical Co-Investment Fund, L.P.

Explanation of Responses:

1. All Series of the Issuer's Convertible Preferred Stock are convertible into common stock upon demand at any time.

2. 1-for-3.6.

Remarks:

This is the second of three Forms 3 filed by the reporting person on the August 11, 2004.

	/s/ Fred A. Middleton	08/04/2004
	** Signature of Reporting Person	Date
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 5 (b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
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 Number.

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