-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, RayJ81bv91WxpcupmD001nT6oi64S6k3CIz+wgOLsjuhUUkCD3MExtUirE3t+UpA 8YRxaek+pRiQPrl/DKyMTg== 0001116679-08-001775.txt : 20080812 0001116679-08-001775.hdr.sgml : 20080812 20080812131053 ACCESSION NUMBER: 0001116679-08-001775 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20080630 FILED AS OF DATE: 20080812 DATE AS OF CHANGE: 20080812 EFFECTIVENESS DATE: 20080812 FILER: COMPANY DATA: COMPANY CONFORMED NAME: DAFNA Capital Management LLC CENTRAL INDEX KEY: 0001389933 IRS NUMBER: 364334068 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-12327 FILM NUMBER: 081009030 BUSINESS ADDRESS: STREET 1: 10990 WILSHIRE BOULEVARD STREET 2: SUITE 1400 CITY: LOS ANGELES STATE: CA ZIP: 90024 BUSINESS PHONE: (310) 724-5800 MAIL ADDRESS: STREET 1: 10990 WILSHIRE BOULEVARD STREET 2: SUITE 1400 CITY: LOS ANGELES STATE: CA ZIP: 90024 13F-HR 1 dafna13f-081208.txt UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 13F FORM 13F COVER PAGE Report for the Calendar Year or Quarter Ended: June 30, 2008 --------------------------------- Check here if Amendment |_|; Amendment Number: --------- This Amendment (Check only one.): |_| is a restatement. |_| adds new holdings entries. Institutional Investment Manager Filing this Report: Name: DAFNA Capital Management, LLC ---------------------------------------- Address: 10990 Wilshire Boulevard, Suite 1400 ---------------------------------------- Los Angeles, CA 90024 ---------------------------------------- ---------------------------------------- Form 13F File Number: 28 - 12327 ---------------- The institutional investment manager filing this report and the person by whom it is signed hereby represent that the person signing the report is authorized to submit it, that all information contained herein is true, correct and complete, and that it is understood that all required items, statements, schedules, lists, and tables, are considered integral parts of this form. Person Signing this Report on Behalf of Reporting Manager: Name: Mandana Hedayat, CFA --------------------------------------- Title: CCO --------------------------------------- Phone: (310) 724-5800 --------------------------------------- Signature, Place, and Date of Signing: /s/Mandana Hedayat Los Angeles, CA 8/11/2008 - -------------------------- ----------------------------- -------------------- [Signature] [City, State] [Date] SEC 1685 (3-01) 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 control number. Report Type (Check only one): |X| 13F HOLDINGS REPORT. (Check here if all holdings of this reporting manager are reported in this report.) |_| 13F NOTICE. (Check here if no holdings reported are in this report, and all holdings are reported by other reporting manager(s).) |_| 13F COMBINATION REPORT. (Check here if a portion of the holdings for this reporting manager are reported in this report and a portion are reported by other reporting manager(s).) List of Other Managers Reporting for this Manager: [If there are no entries in this list, omit this section.] Form 13F File Number Name 28 - ------------------ ------------------------------- [Repeat as necessary.] 2 FORM 13F SUMMARY PAGE Report Summary: Number of Other Included Managers: 1 ----------------- Form 13F Information Table Entry Total: 25 ----------------- Form 13F Information Table Value Total: 116,003 ----------------- (thousands) List of Other Included Managers: Provide a numbered list of the name(s) and Form 13F file number(s) of all institutional investment managers with respect to which this report is filed, other than the manager filing this report. [If there are no entries in this list, state "NONE" and omit the column headings and list entries.] No. Form 13F File Number Name 1 28 - 12328 Nathan Fischel ------- ------------------ -------------------------------- [Repeat as necessary.] 3
Column 1 Column 2 Column 3 Column 4 Column 5 Column 6 Column 7 Column 8 ----------------------- Voting Authority - ------------------------------------------------------------------------------------------------------------------------------------ Title of Value Shrs or Sh/ Put/ Investment Other Class Cusip (X$1000) Prn Amt Prn Call Discretion Managers Sole Shared Other - ------------------------------------------------------------------------------------------------------------------------------------ ADOLOR CORP COM 00724X102 2,805 511,900 SH Sole 511,900 AMAG PHARMACUETICALS INC. COM 00163U106 9,032 264,878 SH Sole 264,878 ARQULE INC COM 04269E107 1,708 525,600 SH Sole 525,600 ARRAY BIOPHARMA INC COM 04269X105 727 154,672 SH Sole 154,672 AVALON PHARMACEUTICALS INC COM 05346P106 70 58,455 SH Sole 58,455 BIODEL INC COM 09064M105 5,156 396,578 SH Sole 396,578 CADENCE PHARMACEUTICALS INC COM 12738T100 616 101,212 SH Sole 101,212 CYTOKINETICS INC COM 23282W100 6,195 1,669,789 SH Sole 1,669,789 DYNAVAX TECHNOLOGIES CORP COM 268158102 23 15,800 SH Sole 15,800 GILEAD SCIENCES INC COM 375558103 2,374 44,840 SH Sole 44,840 HUMAN GENOME SCIENCES INC COM 444903108 6,608 1,268,300 SH Sole 1,268,300 INSPIRE PHARMACEUTICALS INC COM 457733103 808 188,800 SH Sole 188,800 INTERMUNE INC COM 45884X103 710 54,100 SH Sole 54,100 ISIS PHARMACEUTICALS INC COM 464330109 20,677 1,517,018 SH Sole 1,517,018 MICROMET INC COM 59509C105 1,157 436,700 SH Sole 436,700 MONOGRAM BIOSCIENCES INC COM 60975U108 1,856 1,687,611 SH Sole 1,687,611
4
PONIARD PHARMACEUTICALS INC COM 732449301 159 37,500 SH Sole 37,500 POZEN INC COM 73941U102 15,921 1,463,289 SH Sole 1,463,289 PROGENICS PHARMACEUTICALS INC COM 743187106 2,696 169,900 SH Sole 169,900 RIGEL PHARMACEUTICALS INC COM 766559603 13,501 595,796 SH Sole 595,796 SAVIENT PHARMACEUTICALS COM 80517Q100 9,871 390,151 SH Sole 390,151 SEATTLE GENETICS INC COM 812578102 9,204 1,087,947 SH Sole 1,087,947 SGX PHARMACEUTICALS INC COM 78423C108 802 594,377 SH Sole 594,377 SOMAXON PHARMACEUTICALS INC COM 834453102 912 191,178 SH Sole 191,178 UNITED THERAPEUTICS CORP COM 91307C102 2,414 24,700 SH Sole 24,700
5 -----END PRIVACY-ENHANCED MESSAGE-----