0001389933-14-000012.txt : 20141114
0001389933-14-000012.hdr.sgml : 20141114
20141113182411
ACCESSION NUMBER: 0001389933-14-000012
CONFORMED SUBMISSION TYPE: 13F-HR
PUBLIC DOCUMENT COUNT: 2
CONFORMED PERIOD OF REPORT: 20140930
FILED AS OF DATE: 20141114
DATE AS OF CHANGE: 20141113
EFFECTIVENESS DATE: 20141114
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: 141219683
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
primary_doc.xml
13F-HR
LIVE
false
false
false
0001389933
XXXXXXXX
09-30-2014
09-30-2014
DAFNA Capital Management LLC
10990 WILSHIRE BOULEVARD
SUITE 1400
LOS ANGELES
CA
90024
13F HOLDINGS REPORT
028-12327
N
Nathan Fischel
CEO
310-954-3200
Nathan Fischel, MD, CFA
Los Angeles
CA
11-13-2014
1
59
99148
false
1
0001389932
028-12328
Fischel Nathan
INFORMATION TABLE
2
DAFNAInfoTable.xml
AASTROM BIOSCIENCES INC
COM PAR$
00253U404
681
238900
SH
SOLE
238900
0
0
ACHILLION PHARMACEUTICALS
COM
00448Q201
259
26000
SH
SOLE
26000
0
0
AERIE PHARMACEUTICALS INC
COM
00771V108
3007
145342
SH
SOLE
145342
0
0
AFFIMED THERAPEUTICS BV
COM
N01045108
756
120000
SH
SOLE
120000
0
0
AMPIO PHARMACEUTICALS INC
COM
03209T109
530
150000
SH
SOLE
150000
0
0
ATRICURE INC
COM
04963C209
8816
598883
SH
SOLE
598883
0
0
AUSPEX PHARMACEUTICALS INC
COM
05211J102
3902
152002
SH
SOLE
152002
0
0
BIOCRYST PHARMACEUTICALS INC
COM
09058V103
747
76400
SH
SOLE
76400
0
0
BIOLIFE SOLUTIONS INC
COM NEW
09062W204
244
116279
SH
SOLE
116279
0
0
BIOSPECIFICS TECHNOLOGIES
COM
090931106
2120
60054
SH
SOLE
60054
0
0
BIOTELEMETRY INC
COM
090672106
1581
235645
SH
SOLE
235645
0
0
BLUEBIRD BIO INC
COM
09609G100
897
25000
SH
SOLE
25000
0
0
CARDICA INC
COM
14141R101
1590
1486004
SH
SOLE
1486004
0
0
CAREDX INC
COM
14167L103
525
75000
SH
SOLE
75000
0
0
CELSUS THERAPEUTICS PLC
SPONSORED ADR NE
15119A202
268
43900
SH
SOLE
43900
0
0
CHEMBIO DIAGNOSTICS INC
COM NEW
163572209
205
55202
SH
SOLE
55202
0
0
CLOVIS ONCOLOGY INC
COM
189464100
1674
36900
SH
SOLE
36900
0
0
CURIS INC
COM
231269101
212
150000
SH
SOLE
150000
0
0
CUTERA INC
COM
232109108
896
88694
SH
SOLE
88694
0
0
CYNAPSUS THERAPEUTICS INC COM ACCD INVS
COM
23257Y156
149
280769
SH
SOLE
280769
0
0
CYTRX CORP
COM PAR $.001
232828509
572
225000
SH
SOLE
225000
0
0
DERMA SCIENCES INC
COM PAR $.01
249827502
3205
384794
SH
SOLE
384794
0
0
DISCOVERY LABORATORIES INC
COM NEW
254668403
10486
5698739
SH
SOLE
5698739
0
0
ENCISION INC
COM
29254Q104
983
1062500
SH
SOLE
1062500
0
0
EXACTECH INC
COM
30064E109
724
31636
SH
SOLE
31636
0
0
FATE THERAPEUTICS INC
COM
31189P102
387
75930
SH
SOLE
75930
0
0
GALMED PHARMACEUTICALS LTD
SHS
M47238106
1006
116987
SH
SOLE
116987
0
0
GENVEC INC
COM NEW
37246C307
208
100000
SH
SOLE
100000
0
0
GLOBEIMMUNE INC
COM
37957B100
74
10745
SH
SOLE
10745
0
0
INSPIREMD INC
COM NEW
45779A309
140
63700
SH
SOLE
63700
0
0
INSULET CORP
COM
45784P101
4032
109418
SH
SOLE
109418
0
0
INSULET CORP
NOTE 2.000% 6/1
45784PAD3
2675
2407000
PRN
SOLE
2407000
0
0
INTELLIPHARMACEUTICS INTERNA
COM
458173101
219
72787
SH
SOLE
72787
0
0
INTERCEPT PHARMACEUTICALS IN
COM
45845P108
473
2000
SH
SOLE
2000
0
0
JOHNSON AND JOHNSON
COM
478160104
1002
9400
SH
SOLE
9400
0
0
LPATH INC
COM NEW
548910306
362
102798
SH
SOLE
102798
0
0
LUMENIS LTD
SHS CL B
M6778Q121
259
29018
SH
SOLE
29018
0
0
MASIMO CORPORATION
COM
574795100
372
17500
SH
SOLE
17500
0
0
NEUROCRINE BIOSCIENCES INC
COM
64125C109
1036
66141
SH
SOLE
66141
0
0
NOVADAQ TECHNOLOGIES INC
COM
66987G102
3344
263541
SH
SOLE
263541
0
0
NUVASIVE INC
NOTE 2.750% 7/0
670704AC9
1146
1000000
PRN
SOLE
1000000
0
0
NXSTAGE MEDICAL INC
COM
67072V103
5044
384154
SH
SOLE
384154
0
0
OCERA THERAPEUTICS INC
COM
67552A108
3311
675650
SH
SOLE
675650
0
0
ONCOTHYREON INC
COM
682324108
413
214972
SH
SOLE
214972
0
0
PHARMACYCLICS INC
COM
716933106
13026
110928
SH
SOLE
110928
0
0
PROTALIX BIOTHERAPEUTICS INC
COM
74365A101
3118
1288440
SH
SOLE
1288440
0
0
RETRACTABLE TECHNOLOGIES INC
COM
76129W105
58
20000
SH
SOLE
20000
0
0
RTI SURGICAL INC
COM
74975N105
411
85918
SH
SOLE
85918
0
0
SCYNEXIS INC
COM
811292101
370
50000
SH
SOLE
50000
0
0
SPECTRANETICS CORP
COM
84760C107
1120
42162
SH
SOLE
42162
0
0
STEREOTAXIS INC
COM NEW
85916J409
3190
1374975
SH
SOLE
1374975
0
0
SYNERON MEDICAL LTD
ORD SHS
M87245102
911
90947
SH
SOLE
90947
0
0
TARGACEPT INC
COM
87611R306
339
133972
SH
SOLE
133972
0
0
THRESHOLD PHARMACEUTICALS
COM NEW
885807206
2007
555965
SH
SOLE
555965
0
0
TONIX PHARMACEUTICALS HLDG C
COM NEW
890260201
171
25000
SH
SOLE
25000
0
0
UNIQURE
SHS
N90064101
296
32000
SH
SOLE
32000
0
0
UROPLASTY INC
COM NEW
917277204
1215
486062
SH
SOLE
486062
0
0
VENAXIS INC
COM
92262A107
1092
658000
SH
SOLE
658000
0
0
XENOPORT INC
COM
98411C100
1292
240190
SH
SOLE
240190
0
0