-----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, JQgaFtyyOqWcRhroN3vpkafRhg5sY9fqF70TKQ4KwpiTUx0eCB+qAuXMNSZ5OWyI 9OP7bfr9HT5RfbnH6YnvTw== 0001389933-09-000042.txt : 20091116 0001389933-09-000042.hdr.sgml : 20091116 20091116152357 ACCESSION NUMBER: 0001389933-09-000042 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20090930 FILED AS OF DATE: 20091116 DATE AS OF CHANGE: 20091116 EFFECTIVENESS DATE: 20091116 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: 091186315 BUSINESS ADDRESS: STREET 1: 10990 WILSHIRE BOULEVARD STREET 2: SUITE 1400 CITY: LOS ANGELES STATE: CA ZIP: 90024 BUSINESS PHONE: (310) 954-3200 MAIL ADDRESS: STREET 1: 10990 WILSHIRE BOULEVARD STREET 2: SUITE 1400 CITY: LOS ANGELES STATE: CA ZIP: 90024 13F-HR 1 dafna13f-091113.txt 13F FILING UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 13F FORM 13F COVER PAGE Report for the Calendar Year or Quarter Ended: September 30, 2009 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 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) 954-3200 Signature, Place, and Date of Signing: Mandana Hedayat Los Angeles, CA November 16, 2009 Report Type (Check only one.): [X] 13F HOLDINGS REPORT. [ ] 13F NOTICE. [ ] 13F COMBINATION REPORT. 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.] 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. FORM 13F SUMMARY PAGE Report Summary: Number of Other Included Managers: 1 Form 13F Information Table Entry Total: 38 Form 13F Information Table Value Total: $67,567 --------------------- (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.]
- --------------------------------- -------- ---------- -------- --------------------- ------------------- ------------------------- Column 1 Column Column Column Column Column Column Column 8 2 3 4 5 6 7 - --------------------------------- -------- ---------- -------- --------------------- ------------------- ------------------------- Voting Authority - --------------------------------- -------- ---------- -------- --------------------- ---------- -------- ------------------------- TITLE OF VALUE SHRS OR SH/ PUT/ INVESTMENT OTHER NAME OF ISSUER CLASS CUSIP (x$1000) PRN AMT PRN CALL DISCRETION MANAGERS SOLE SHARED NONE - --------------------------------- -------- ---------- -------- ------------ ---- ---- ---------- -------- --------- ------- ------- AMGEN INC COM 031162100 247 4,100 SH Sole 4,100 ARADIGM CORPORATION COM 038505301 118 657,907 SH Sole 657,907 BIOSPECIFICS TECHNOLOGIES CORP COM 090931106 1,921 60,000 SH Sole 60,000 CARDIAC SCIENCE CORPORATION COM 14141A108 61 15,230 SH Sole 15,230 CARDICA INC COM 14141R101 603 399,202 SH Sole 399,202 CARDIOME PHARMA CORP COM 14159U202 4,680 1,080,874 SH Sole 1,080,874 CARDIONET INC COM 14159L103 1,179 175,400 SH Sole 175,400 CELSION CORPORATION COM 15117N305 1,003 285,715 SH Sole 285,715 COMBIMATRIX CORPORATION *W 20009T113 35 23,266 SH Sole 23,266 CYNOSURE INC COM 232577205 313 26,900 SH Sole 26,900 CYPRESS BIOSCIENCES INC COM 232674507 181 22,200 SH Sole 22,200 CYTOKINETICS INC COM 23282W100 10,419 1,969,631 SH Sole 1,969,631 DENDREON CORP COM 24823Q107 5,562 198,700 SH Sole 198,700 GILEAD SCIENCES INC COM 375558103 2,359 50,740 SH Sole 50,740 GIVEN IMAGING LTD COM M52020100 1,739 116,650 SH Sole 116,650 HALOZYME THERAPEUTICS INC COM 40637H109 164 23,016 SH Sole 23,016 IDENIX PHARMACEUTICALS INC COM 45166R204 518 167,591 SH Sole 167,591 INSULET CORPORATION COM 45784P101 3,223 286,981 SH Sole 286,981 INVACARE CORP COM 461203101 550 24,700 SH Sole 24,700 ISIS PHARMACEUTICALS INC COM 464330109 6,891 472,960 SH Sole 472,960 JAVELIN PHARMACEUTICALS INC COM 471894105 686 351,657 SH Sole 351,657 LEMAITRE VASCULAR INC COM 525558201 17 4,038 SH Sole 4,038 MAKO SURGICAL CORP COM 560879108 1,296 147,912 SH Sole 147,912 MICRUS ENDOVASCULAR COM 59518V102 1,112 85,882 SH Sole 85,882 NATUS MEDICAL INC DEL COM 639050103 123 8,000 SH Sole 8,000 ONYX PHARMACEUTICALS INC COM 683399109 2,018 67,345 SH Sole 67,345 POZEN INC COM 73941U102 5,846 794,333 SH Sole 794,333 PROTALIX BIOTHERAPEUTICS INC COM 74365A101 838 101,402 SH Sole 101,402 PSIVIDA CORP COM 74440J101 664 204,175 SH Sole 204,175 RIGEL PHARMACEUTICALS INC COM 766559603 820 100,000 SH Sole 100,000 Rockwell Medical Technologies COM 774374102 3,012 387,096 SH Sole 387,096 SONOSITE INC COM 83568G104 4,136 156,300 SH Sole 156,300 TARGACEPT INC COM 87611R306 1,134 53,084 SH Sole 53,084 THERAGENICS CORP COM 883375107 220 137,603 SH Sole 137,603 TRANS1 INC COM 89385X105 1,053 218,936 SH Sole 218,936 UNITED THERAPEUTICS CORP COM 91307C102 1,127 23,006 SH Sole 23,006 VITAL IMAGES INC COM 92846N104 1,324 105,788 SH Sole 105,788 ZIOPHARM ONCOLOGY INC COM 98973P101 375 136,987 SH Sole 136,987
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