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