0001389933-13-000002.txt : 20130214
0001389933-13-000002.hdr.sgml : 20130214
20130214125012
ACCESSION NUMBER: 0001389933-13-000002
CONFORMED SUBMISSION TYPE: 13F-HR
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20121231
FILED AS OF DATE: 20130214
DATE AS OF CHANGE: 20130214
EFFECTIVENESS DATE: 20130214
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: 13609661
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-130213.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: December 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 February 13, 2013
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: 47
Form 13F Information Table Value Total: $63,561
---------------------
(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 1064 132800 SH Sole 132800
ARIAD PHARMACEUTICALS INC COM 04033A100 3303 172215 SH Sole 172215
ATRICURE INC COM 04963C209 2356 341401 SH Sole 341401
BIOSPECIFICS TECHNOLOGIES COM 090931106 773 51692 SH Sole 51692
CARDICA INC COM 14141R101 698 634469 SH Sole 634469
CARDIONET INC COM 14159L103 1383 606401 SH Sole 606401
CARDIOVASCULAR SYSTEMS INC COM 141619106 357 28470 SH Sole 28470
COMBIMATRIX CORP *W EXP 05/01/201 20009T121 1 2325 SH Sole 2325
CUTERA INC COM 232109108 1084 120394 SH Sole 120394
DENDREON CORP COM 24823Q107 366 69100 SH Sole 69100
DERMA SCIENCES INC COM PAR $.01 249827502 910 81909 SH Sole 81909
DIGIRAD CORP COM 253827109 306 149169 SH Sole 149169
DISCOVERY LABORATORIES INC COM NEW 254668403 1057 500816 SH Sole 500816
DYAX CORP COM 26746E103 1252 359856 SH Sole 359856
EDAP TMS SA SPONSORED ADR 268311107 285 139527 SH Sole 139527
EXACTECH INC COM 30064E109 570 33636 SH Sole 33636
GIVEN IMAGING LTD ORD SHS M52020100 2907 166409 SH Sole 166409
GRAYMARK HEALTHCARE INC COM PAR $.0001 389465303 156 693027 SH Sole 693027
GREATBATCH INC COM 39153L106 777 33443 SH Sole 33443
INFUSYSTEM HOLDINGS INC COM 45685K102 813 542184 SH Sole 542184
INSULET CORP COM 45784P101 3497 164781 SH Sole 164781
INSULET CORP NOTE 3.750% 6/1 45784PAC5 3248 3000000 PRN Sole 3000000
JOHNSON & JOHNSON COM 478160104 659 9400 SH Sole 9400
LPATH INC COM NEW 548910306 248 49148 SH Sole 49148
MANNKIND CORP NOTE 3.750% 12/1 56400PAA0 1340 1891000 PRN Sole 1891000
MASIMO CORPORATION COM 574795100 368 17500 SH Sole 17500
NEUROMETRIX INC COM NEW 641255203 86 198716 SH Sole 198716
NOVADAQ TECHNOLOGIES INC COM 66987G102 5694 641200 SH Sole 641200
NUVASIVE INC NOTE 2.750% 7/0 670704AC9 898 1000000 PRN Sole 1000000
NXSTAGE MEDICAL INC COM 67072V103 892 79300 SH Sole 79300
PALATIN TECHNOLOGIES INC COM PAR $.01 696077403 78 130000 SH Sole 130000
PHARMACYCLICS INC COM 716933106 7866 136139 SH Sole 136139
PRECISION OPTICS CORP INC COM 740294301 331 388889 SH Sole 388889
PROTALIX BIOTHERAPEUTICS INC COM 74365A101 2177 419366 SH Sole 419366
RIGEL PHARMACEUTICALS INC COM NEW 766559603 2019 310567 SH Sole 310567
RTI BIOLOGICS INC COM 74975N105 1371 321067 SH Sole 321067
SPECTRANETICS CORP COM 84760C107 877 59362 SH Sole 59362
STEREOTAXIS INC COM NEW 85916J409 362 141783 SH Sole 141783
SYNERON MEDICAL LTD ORD SHS M87245102 884 101947 SH Sole 101947
THERAGENICS CORP COM 883375107 289 181619 SH Sole 181619
TRANS1 INC COM 89385X105 931 375251 SH Sole 375251
TROVAGENE INC *W EXP 99/99/999 897238119 81 31250 SH Sole 31250
UROPLASTY INC COM NEW 917277204 162 49770 SH Sole 49770
VASCULAR SOLUTIONS INC COM 92231M109 273 17302 SH Sole 17302
VERTEX PHARMACEUTICALS INC COM 92532F100 515 12300 SH Sole 12300
XENOPORT INC COM 98411C100 1745 224537 SH Sole 224537
YM BIOSCIENCES INC COM 984238105 6252 2178299 SH Sole 2178299