-----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, Outq1+ELxn+JgcqbOTPlJIpKNek7B1ytwMKlP5XLQp421L9JXbaLsNQ7OdkvYYNN pGeZHopUUzuB6llnlFb3qQ== 0001389933-10-000008.txt : 20101115 0001389933-10-000008.hdr.sgml : 20101115 20101112181615 ACCESSION NUMBER: 0001389933-10-000008 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20100930 FILED AS OF DATE: 20101115 DATE AS OF CHANGE: 20101112 EFFECTIVENESS DATE: 20101115 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: 101188416 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-101112.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, 2010 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: Nathan Fischel Title: CEO & CCO Phone: (310) 954-3200 Signature, Place, and Date of Signing: Nathan Fischel, MD, CFA Los Angeles, CA November 12, 2010 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: 43 Form 13F Information Table Value Total: $44,359 --------------------- (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 - --------------------------------- -------- ---------- -------- ------------ ---- ---- ---------- -------- --------- ------- ------- AETERNA ZENTARIS INC COM 007975204 1975 1519390 SH Sole 1519390 ANTHERA PHARMACEUTICALS, INC COM 03674U102 140 33333 SH Sole 33333 ARADIGM CORPORATION COM 038505301 84 433407 SH Sole 433407 BIOSPECIFICS TECHNOLOGIES CORP COM 090931106 1976 73400 SH Sole 73400 BOVIE MEDICAL CORPORATION COM 10211F100 294 136023 SH Sole 136023 CALLISTO PHARMACEUTICALS INC COM 1312EM104 15 61900 SH Sole 61900 CARDIAC SCIENCE CORPORATION COM 14141A108 108 60203 SH Sole 60203 CARDIOME PHARMA CORP COM 14159U202 395 64820 SH Sole 64820 CARDIONET INC COM 14159L103 1341 297300 SH Sole 297300 CARDIOVASCULAR SYSTEMS INC COM 141619106 510 97370 SH Sole 97370 COMBIMATRIX CORPORATION *W 20009T113 6 23266 SH Sole 23266 CONCEPTUS INC COM 206016107 286 20772 SH Sole 20772 CYTOKINETICS INC COM 23282W100 5910 2238753 SH Sole 2238753 DIGIRAD CORP COM 253827109 8 3700 SH Sole 3700 GILEAD SCIENCES INC COM 375558103 796 22340 SH Sole 22340 GIVEN IMAGING LTD COM M52020100 1351 75053 SH Sole 75053 HANSEN MEDICAL INC COM 411307101 2247 1560252 SH Sole 1560252 IDERA PHARMACEUTICALS INC COM 45168K306 48 14690 SH Sole 14690 INSULET CORPORATION COM 45784P101 2343 165681 SH Sole 165681 INTERMUNE, INC COM 45884X103 963 70701 SH Sole 70701 ISIS PHARMACEUTICALS INC COM 464330109 4468 531846 SH Sole 531846 JOHNSON & JOHNSON COM 478160104 849 13700 SH Sole 13700 KERYX BIOPHARMACEUTICALS INC COM 492515101 164 34000 SH Sole 34000 MAKO SURGICAL CORP COM 560879108 320 33448 SH Sole 33448 MAP PHARMACEUTICALS ONC COM 56509R108 260 17000 SH Sole 17000 MASIMO CORP COM 574795100 874 32000 SH Sole 32000 MEDIVATION INC COM 58501N101 473 36420 SH Sole 36420 NEUROCRINE BIOSCIENCES INC COM 64125C109 135 22200 SH Sole 22200 ONCOTHYREON INC COM 682324108 499 142857 SH Sole 142857 PHOTOMEDEX INC COM 719358301 539 97589 SH Sole 97589 PLURISTEM THERAPEUTICS COM 72940R102 333 223214 SH Sole 223214 POZEN INC COM 73941U102 625 88286 SH Sole 88286 PROLOR BIOTECH INC COM 74344F106 639 106383 SH Sole 106383 RAPTOR PHARMACEUTICAL CORP COM 75382F106 192 65042 SH Sole 65042 RIGEL PHARMACEUTICALS INC COM 766559603 1547 184000 SH Sole 184000 SOLIGENIX INC COM 834223109 172 953667 SH Sole 953667 SONOSITE INC COM 83568G104 3511 104768 SH Sole 104768 STEREOTAXIS INC COM 85916J102 620 149800 SH Sole 149800 TARGACEPT INC COM 87611R306 1596 71421 SH Sole 71421 THERAGENICS CORP COM 883375107 230 181151 SH Sole 181151 TRANS1 INC COM 89385X105 1725 698426 SH Sole 698426 VICAL INC COM 925602104 1338 600000 SH Sole 600000 ZYMOGENETICS INC COM 98985T109 2454 251738 SH Sole 251738
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