0001389933-13-000012.txt : 20131114 0001389933-13-000012.hdr.sgml : 20131114 20131114124446 ACCESSION NUMBER: 0001389933-13-000012 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20130930 FILED AS OF DATE: 20131114 DATE AS OF CHANGE: 20131114 EFFECTIVENESS DATE: 20131114 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: 131218270 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 primary_doc.xml 13F-HR LIVE false false false 0001389933 XXXXXXXX 09-30-2013 09-30-2013 DAFNA Capital Management LLC

10990 WILSHIRE BOULEVARD SUITE 1400 LOS ANGELES CA 90024

13F HOLDINGS REPORT 028-12327 N Nathan Fischel 310-954-3200 Nathan Fischel, MD, CFA Los Angeles CA 11-14-2013 1 52 91538 false 1 0001389932 028-12328 Fischel Nathan INFORMATION TABLE 2 DAFNAInfoTable.xml ACHILLION PHARMACEUTICALS COM 00448Q201 368 121800 SH SOLE 121800 0 0 AMPIO PHARMACEUTICALS INC COM 03209T109 3193 425703 SH SOLE 425703 0 0 ARIAD PHARMACEUTICALS INC COM 04033A100 2740 148915 SH SOLE 148915 0 0 ATRICURE INC COM 04963C209 5245 477701 SH SOLE 477701 0 0 AUTHENTIDATE HOLDING CORP COM NEW 052666203 126 142062 SH SOLE 142062 0 0 BAXANO SURGICAL INC COM 071773105 468 336351 SH SOLE 336351 0 0 BIOLASE INC COM 090911108 213 111604 SH SOLE 111604 0 0 BIOSPECIFICS TECHNOLOGIES COM 090931106 1006 51692 SH SOLE 51692 0 0 BIOTA PHARMACEUTICALS INC COM 090694100 845 202157 SH SOLE 202157 0 0 BIOTELEMETRY INC COM 090672106 3058 308565 SH SOLE 308565 0 0 CARDICA INC COM 14141R101 1383 1063469 SH SOLE 1063469 0 0 COMBIMATRIX CORP *W EXP 05/01/201 20009T121 1 2325 SH SOLE 2325 0 0 CONATUS PHARMACEUTICALS INC COM 20600T108 1162 115620 SH SOLE 115620 0 0 CURIS INC COM 231269101 2363 529896 SH SOLE 529896 0 0 CUTERA INC COM 232109108 789 88694 SH SOLE 88694 0 0 DERMA SCIENCES INC COM PAR $.01 249827502 706 57009 SH SOLE 57009 0 0 DISCOVERY LABORATORIES INC COM NEW 254668403 3970 2025646 SH SOLE 2025646 0 0 DYAX CORP COM 26746E103 518 75500 SH SOLE 75500 0 0 EXACTECH INC COM 30064E109 678 33636 SH SOLE 33636 0 0 GALENA BIOPHARMA INC COM 363256108 855 375000 SH SOLE 375000 0 0 GIVEN IMAGING LTD ORD SHS M52020100 3006 156320 SH SOLE 156320 0 0 GRAYMARK HEALTHCARE INC COM 389465303 284 693027 SH SOLE 693027 0 0 IDERA PHARMACEUTICALS INC COM NEW 45168K306 348 200000 SH SOLE 200000 0 0 INSPIREMD INC COM NEW 45779A309 1666 715200 SH SOLE 715200 0 0 INSULET CORP NOTE 3.750% 6/1 45784PAC5 4344 3000000 PRN SOLE 3000000 0 0 INSULET CORP COM 45784P101 4529 124981 SH SOLE 124981 0 0 INTERCEPT PHARMACEUTICALS IN COM 45845P108 663 9598 SH SOLE 9598 0 0 JOHNSON AND JOHNSON COM 478160104 815 9400 SH SOLE 9400 0 0 KALOBIOS PHARMACEUTICALS INC COM 48344T100 1130 250000 SH SOLE 250000 0 0 KERYX BIOPHARMACEUTICALS COM 492515101 748 74100 SH SOLE 74100 0 0 MASIMO CORPORATION COM 574795100 466 17500 SH SOLE 17500 0 0 MERRIMACK PHARMACEUTICALS IN COM 590328100 687 181153 SH SOLE 181153 0 0 NEURALSTEM INC COM 64127R302 847 312500 SH SOLE 312500 0 0 NOVADAQ TECHNOLOGIES INC COM 66987G102 4709 284041 SH SOLE 284041 0 0 NOVAVAX INC COM 670002104 662 210000 SH SOLE 210000 0 0 NUVASIVE INC NOTE 2.750% 7/0 670704AC9 974 1000000 PRN SOLE 1000000 0 0 NXSTAGE MEDICAL INC COM 67072V103 3312 251654 SH SOLE 251654 0 0 OCERA THERAPEUTICS INC COM 67552A108 67 7894 SH SOLE 7894 0 0 PALATIN TECHNOLOGIES INC COM PAR $.01 696077403 258 374490 SH SOLE 374490 0 0 PHARMACYCLICS INC COM 716933106 14120 102128 SH SOLE 102128 0 0 PROTALIX BIOTHERAPEUTICS INC COM 74365A101 5338 1178440 SH SOLE 1178440 0 0 RTI SURGICAL INC COM 74975N105 625 167058 SH SOLE 167058 0 0 SPECTRANETICS CORP COM 84760C107 880 52362 SH SOLE 52362 0 0 STEREOTAXIS INC COM NEW 85916J409 5279 1585332 SH SOLE 1585332 0 0 SYNERON MEDICAL LTD ORD SHS M87245102 784 90947 SH SOLE 90947 0 0 TG THERAPEUTICS INC COM 88322Q108 378 75000 SH SOLE 75000 0 0 THERAGENICS CORP COM 883375107 350 160719 SH SOLE 160719 0 0 TONIX PHARMACEUTICALS HOLDIN COM NEW 890260201 164 45000 SH SOLE 45000 0 0 UROPLASTY INC COM NEW 917277204 958 289332 SH SOLE 289332 0 0 VENAXIS INC COM 92262A107 1145 590000 SH SOLE 590000 0 0 WRIGHT MED GROUP INC NOTE 2.000% 8/1 98235TAC1 1229 1000000 PRN SOLE 1000000 0 0 XENOPORT INC COM 98411C100 1086 191262 SH SOLE 191262 0 0