Amended Current Report Filing (8-k/a)
May 07 2020 - 4:04PM
Edgar (US Regulatory)
UNITED
STATES
SECURITIES
AND EXCHANGE COMMISSION
Washington,
DC 20549
FORM
8-K/A
CURRENT
REPORT
Pursuant
to Section 13 OR 15(D) of the Securities Exchange Act Of 1934
Date
of report (Date of earliest event reported): April 14, 2020
STEREOTAXIS,
INC.
(Exact
Name of Registrant as Specified in Its Charter)
Delaware
(State
or Other Jurisdiction of Incorporation)
001-36159
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94-3120386
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(Commission
File Number)
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(IRS
Employer Identification No.)
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4320
Forest Park Avenue, Suite 100, St. Louis, Missouri
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63108
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(Address
of Principal Executive Offices)
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(Zip
Code)
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(314)
678-6100
(Registrant’s
Telephone Number, Including Area Code)
(Former
Name or Former Address, if Changed Since Last Report)
Check
the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant
under any of the following provisions:
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[ ]
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Written
communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)
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[ ]
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Soliciting
material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)
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[ ]
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Pre-commencement
communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))
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[ ]
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Pre-commencement
communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))
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Indicate
by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of 1933 (§230.405
of this chapter) or Rule 12b-2 of the Securities Exchange Act of 1934 (§240.12b-2 of this chapter).
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. [ ]
Securities
registered pursuant to Section 12(b) of the Act: [ ]
Title
of each class
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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
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Explanatory
Note:
Stereotaxis,
Inc. (the “Company”) is filing this Current Report on Form 8-K/A, which amends its Current Report on Form 8-K filed
on April 20, 2020 (the “Original Filing”). The Original Filing was filed to report the separation of Kevin Barry,
the Stereotaxis, Inc. Chief Legal Counsel, Chief Compliance Officer, and Secretary, from the Company effective April 15, 2020.
This filing updates and supplements the information that was included in the Original Filing.
Item
5.02.
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Departure
of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain
Officers
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As
disclosed in the Original filing, on April 20, 2020, the Company reported that effective April 15, 2020, Kevin Barry was no longer
employed by the Company.
In
connection with his separation, the Company and Mr. Barry entered into a Separation Agreement and Release, dated May 1,
2020. As set forth in the Separation Agreement and Release, in addition to other benefits, all shares of Mr. Barry’s stock
options which have not vested as of the date of his separation will become fully vested. Specifically, all outstanding unvested
options of the 30,000 options granted on November 5, 2018, and all outstanding unvested options of the 10,000 options granted
on March 3, 2019, will become fully exercisable as of the effective date of the Separation Agreement and Release.
A
copy of the Separation Agreement and Release is filed as Exhibit 99.1 hereto and incorporated herein by reference.
Item 9.01.
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Financial Statements and Exhibits
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99.1
Separation Agreement and Release, dated May 1, 2020, by and between Kevin Barry and Stereotaxis, Inc.
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 hereunto duly authorized.
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STEREOTAXIS, INC.
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Date:
May 7, 2020
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By:
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/s/
Kimberly R. Peery
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Name:
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Kimberly R. Peery
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Title:
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Chief Financial Officer
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