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