0001389933-12-000012.txt : 20120809
0001389933-12-000012.hdr.sgml : 20120809
20120808174600
ACCESSION NUMBER: 0001389933-12-000012
CONFORMED SUBMISSION TYPE: 13F-HR
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20120630
FILED AS OF DATE: 20120809
DATE AS OF CHANGE: 20120808
EFFECTIVENESS DATE: 20120809
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: 121017899
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-120808.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: June 30, 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 August 8, 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: $73,369
---------------------
(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 520 83800 SH Sole 83800
ARIAD PHARMACEUTICALS INC COM 04033A100 5501 319615 SH Sole 319615
ATRICURE INC COM 04963C209 943 98128 SH Sole 98128
BIOLINERX LTD SPONSORED ADR 09071M106 113 46473 SH Sole 46473
BIOSPECIFICS TECHNOLOGIES COM 090931106 907 48298 SH Sole 48298
CARDICA INC COM 14141R101 1193 634469 SH Sole 634469
CARDIONET INC COM 14159L103 951 468298 SH Sole 468298
CARDIOVASCULAR SYSTEMS INC COM 141619106 279 28470 SH Sole 28470
COMBIMATRIX CORPORATIO *W EXP 05/01/201 20009T113 2 23266 SH Sole 23266
CONCEPTUS INC COM 206016107 382 19272 SH Sole 19272
CUTERA INC COM 232109108 827 114935 SH Sole 114935
CYTOKINETICS INC COM 23282W100 347 541715 SH Sole 541715
DENDREON CORP COM 24823Q107 511 69100 SH Sole 69100
DERMA SCIENCES INC COM PAR $.01 249827502 875 91909 SH Sole 91909
DEXCOM INC COM 252131107 525 40500 SH Sole 40500
DIGIRAD CORP COM 253827109 330 149169 SH Sole 149169
DISCOVERY LABORATORIES INC COM NEW 254668403 2378 1025000 SH Sole 1025000
DYNAVAX TECHNOLOGIES CORP COM 268158102 3085 714214 SH Sole 714214
EDAP TMS S A SPONSORED ADR 268311107 360 185427 SH Sole 185427
EXACTECH INC COM 30064E109 564 33636 SH Sole 33636
GILEAD SCIENCES INC COM 375558103 546 10650 SH Sole 10650
GIVEN IMAGING LTD ORD SHS M52020100 1375 87009 SH Sole 87009
GRAYMARK HEALTHCARE INC COM PAR $.0001 389465303 266 700401 SH Sole 700401
GREATBATCH INC COM 39153L106 759 33443 SH Sole 33443
INFUSYSTEM HOLDINGS INC COM 45685K102 1025 542184 SH Sole 542184
INSULET CORP COM 45784P101 3521 164781 SH Sole 164781
INSULET CORP NOTE 3.750% 6/1 45784PAC5 3326 3000000 PRN Sole 3000000
ISIS PHARMACEUTICALS INC COM 464330109 1694 141200 SH Sole 141200
JOHNSON & JOHNSON COM 478160104 635 9400 SH Sole 9400
MANNKIND CORP NOTE 3.750%12/1 56400PAA0 993 1891000 PRN Sole 1891000
MASIMO CORPORATION COM 574795100 392 17500 SH Sole 17500
MEDLINK INTERNATIONAL-CL A COM 58502M102 6 156751 SH Sole 156751
MISONIX INC COM 604871103 150 64286 SH Sole 64286
NEURALSTEM INC COM 64127R302 181 196738 SH Sole 196738
NEUROMETRIX INC COM NEW 641255203 123 198716 SH Sole 198716
NOVADAQ TECHNOLOGIES INC COM 66987G102 6800 1000000 SH Sole 1000000
NUVASIVE INC NOTE 2.750% 7/0 670704AC9 980 1000000 PRN Sole 1000000
PHARMACYCLICS INC COM 716933106 9046 165639 SH Sole 165639
PROTALIX BIOTHERAPEUTICS INC COM 74365A101 2209 385500 SH Sole 385500
RIGEL PHARMACEUTICALS INC COM NEW 766559603 2303 247685 SH Sole 247685
RTI BIOLOGICS INC COM 74975N105 877 233268 SH Sole 233268
SPECTRANETICS CORP COM 84760C107 849 74362 SH Sole 74362
STEREOTAXIS INC COM 85916J102 169 804075 SH Sole 804075
SUNSHINE HEART INC COM 86782U106 95 29266 SH Sole 29266
THERAGENICS CORP COM 883375107 1115 554751 SH Sole 554751
THRESHOLD PHARMACEUTICAL COM NEW 885807206 4229 571428 SH Sole 571428
TRANS1 INC COM 89385X105 1231 496474 SH Sole 496474
TRANSGENOMIC INC COM 89365K206 271 300710 SH Sole 300710
TRIUS THERAPEUTICS INC COM 89685K100 191 33204 SH Sole 33204
TROVAGENE INC COM NEW 897238309 244 62500 SH Sole 62500
TROVAGENE INC *W EXP 99/99/999 897238119 22 31250 SH Sole 31250
UNILIFE CORP COM 90478E103 135 40000 SH Sole 40000
VASCULAR SOLUTIONS INC COM 92231M109 364 29002 SH Sole 29002
VERTEX PHARMACEUTICALS INC COM 92532F100 688 12300 SH Sole 12300
VIKING SYSTEMS INC COM 92685Q200 592 3483118 SH Sole 3483118
XENOPORT INC COM 98411C100 1163 192500 SH Sole 192500
YM BIOSCIENCES INC COM 984238105 4210 2115799 SH Sole 2115799