0001389933-12-000010.txt : 20120515 0001389933-12-000010.hdr.sgml : 20120515 20120515133000 ACCESSION NUMBER: 0001389933-12-000010 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20120331 FILED AS OF DATE: 20120515 DATE AS OF CHANGE: 20120515 EFFECTIVENESS DATE: 20120515 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: 12842944 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-120515.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: March 31, 2012 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 May 15, 2012 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: 57 Form 13F Information Table Value Total: $63,766 --------------------- (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 --------------------------------- -------- ---------- -------- ------------ ---- ---- ---------- -------- --------- ------- ------- ACHILLION PHARMACEUTICALS COM 00448Q201 712 74300 SH Sole 74300 ASPENBIO PHARMA INC COM NEW 045346202 14 19173 SH Sole 19173 ARIAD PHARMACEUTICALS INC COM 04033A100 5107 319615 SH Sole 319615 CARDIONET INC COM 14159L103 1052 341476 SH Sole 341476 BIODEL INC COM 09064M105 62 104840 SH Sole 104840 BIOLINERX LTD SPONSORED ADR 09071M106 251 87413 SH Sole 87413 BIOSPECIFICS TECHNOLOGIES COM 090931106 764 48298 SH Sole 48298 COMBIMATRIX CORPORATIO *W EXP 05/01/201 20009T113 3 23266 SH Sole 23266 CONCEPTUS INC COM 206016107 277 19272 SH Sole 19272 CARDICA INC COM 14141R101 1358 634469 SH Sole 634469 CARDIOVASCULAR SYSTEMS INC COM 141619106 263 28470 SH Sole 28470 NEURALSTEM INC COM 64127R302 276 246800 SH Sole 246800 CUTERA INC COM 232109108 446 52163 SH Sole 52163 CYTRX CORP COM NEW 232828301 151 376500 SH Sole 376500 DIGIRAD CORP COM 253827109 313 149169 SH Sole 149169 DERMA SCIENCES INC COM PAR $.01 249827502 789 82009 SH Sole 82009 DISCOVERY LABORATORIES INC COM NEW 254668403 2747 1025000 SH Sole 1025000 DYNAVAX TECHNOLOGIES CORP COM 268158102 4445 883652 SH Sole 883652 DEXCOM INC COM 252131107 209 20000 SH Sole 20000 EDAP TMS SA SPONSORED ADR 268311107 475 250000 SH Sole 250000 ENTEROMEDICS INC COM NEW 29365M208 456 201802 SH Sole 201802 EXACTECH INC COM 30064E109 536 33836 SH Sole 33836 GREATBATCH INC COM 39153L106 516 21043 SH Sole 21043 GILEAD SCIENCES INC COM 375558103 520 10650 SH Sole 10650 GIVEN IMAGING LTD ORD SHS M52020100 1630 87009 SH Sole 87009 GRAYMARK HEALTHCARE INC COM PAR $.0001 389465303 350 700401 SH Sole 700401 INFUSYSTEM HOLDINGS INC COM 45685K102 1174 605061 SH Sole 605061 ISIS PHARMACEUTICALS INC COM 464330109 1238 141200 SH Sole 141200 JOHNSON & JOHNSON COM 478160104 620 9400 SH Sole 9400 MASIMO CORPORATION COM 574795100 409 17500 SH Sole 17500 MEDIVATION INC COM 58501N101 187 2500 SH Sole 2500 MEDLINK INTERNATIONAL INC COM 58502M102 9 156751 SH Sole 156751 MANNKIND CORP NOTE 3.750% 12/1 56400PAA0 1012 1891000 PRN Sole 1891000 MISONIX INC COM 604871103 130 64286 SH Sole 64286 NEUROMETRIX INC COM NEW 641255203 147 198716 SH Sole 198716 NUVASIVE INC NOTE 2.750% 7/0 670704AC9 855 1000000 PRN Sole 1000000 NOVADAQ TECHNOLOGIES INC COM 66987G102 6601 1007786 SH Sole 1007786 ONCOLYTICS BIOTECH INC COM 682310107 215 50800 SH Sole 50800 ONCOTHYREON INC COM 682324108 277 63450 SH Sole 63450 PHARMACYCLICS INC COM 716933106 5762 207577 SH Sole 207577 PROTALIX BIOTHERAPEUTICS INC COM 74365A101 478 75000 SH Sole 75000 INSULET CORPORATION NOTE 3.750% 6/1 45784PAC5 3151 3000000 PRN Sole 3000000 INSULET CORP COM 45784P101 3154 164781 SH Sole 164781 POZEN INC COM 73941U102 1077 179548 SH Sole 179548 RIGEL PHARMACEUTICALS INC COM NEW 766559603 1996 247994 SH Sole 247994 ROCKWELL MEDICAL TECH INC COM 774374102 577 61040 SH Sole 61040 RTI BIOLOGICS INC COM 74975N105 386 104262 SH Sole 104262 SPECTRANETICS CORP COM 84760C107 1165 112062 SH Sole 112062 SUNSHINE HEART INC COM 86782U106 264 29791 SH Sole 29791 STEREOTAXIS INC COM 85916J102 475 730658 SH Sole 730658 TRANSGENOMIC INC COM 89365K206 600 500000 SH Sole 500000 THERAGENICS CORP COM 883375107 1021 554751 SH Sole 554751 TRANS1 INC COM 89385X105 1895 516324 SH Sole 516324 TRIUS THERAPEUTICS INC COM 89685K100 178 33204 SH Sole 33204 VASCULAR SOLUTIONS INC COM 92231M109 313 29002 SH Sole 29002 VIKING SYSTEMS INC COM 92685Q200 742 3657168 SH Sole 3657168 YM BIOSCIENCES INC COM 984238105 3935 2115799 SH Sole 2115799