0001389933-14-000001.txt : 20140214 0001389933-14-000001.hdr.sgml : 20140214 20140213190854 ACCESSION NUMBER: 0001389933-14-000001 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20131231 FILED AS OF DATE: 20140214 DATE AS OF CHANGE: 20140213 EFFECTIVENESS DATE: 20140214 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: 14608728 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 12-31-2013 12-31-2013 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 02-13-2014 1 47 97156 false 1 0001389932 028-12328 Fischel Nathan INFORMATION TABLE 2 DAFNAInfoTable.xml INFORMATION TABLE ADAMIS PHARMACEUTICALS CORP COM NEW 00547W208 799 125000 SH SOLE 125000 0 0 AMPIO PHARMACEUTICALS INC COM 03209T109 3035 425703 SH SOLE 425703 0 0 ATRICURE INC COM 04963C209 8531 456701 SH SOLE 456701 0 0 BAXANO SURGICAL INC COM 071773105 340 336351 SH SOLE 336351 0 0 BIOSPECIFICS TECHNOLOGIES COM 090931106 1120 51692 SH SOLE 51692 0 0 BIOTA PHARMACEUTICALS INC COM 090694100 1371 327190 SH SOLE 327190 0 0 BIOTELEMETRY INC COM 090672106 1712 215645 SH SOLE 215645 0 0 CARDICA INC COM 14141R101 1037 1063469 SH SOLE 1063469 0 0 CHEMBIO DIAGNOSTICS INC COM 163572209 186 55202 SH SOLE 55202 0 0 CLOVIS ONCOLOGY INC COM 189464100 759 12600 SH SOLE 12600 0 0 COMBIMATRIX CORP *W EXP 05/01/201 20009T121 1 2325 SH SOLE 2325 0 0 CONATUS PHARMACEUTICALS INC COM 20600T108 875 135666 SH SOLE 135666 0 0 CURIS INC COM 231269101 423 150000 SH SOLE 150000 0 0 CUTERA INC COM 232109108 903 88694 SH SOLE 88694 0 0 DERMA SCIENCES INC COM PAR $.01 249827502 617 57009 SH SOLE 57009 0 0 DISCOVERY LABORATORIES INC COM NEW 254668403 12822 5698739 SH SOLE 5698739 0 0 DYAX CORP COM 26746E103 569 75500 SH SOLE 75500 0 0 DYNAVAX TECHNOLOGIES CORP COM 268158102 568 290000 SH SOLE 290000 0 0 EXACTECH INC COM 30064E109 752 31636 SH SOLE 31636 0 0 GIVEN IMAGING ORD SHS M52020100 4702 156320 SH SOLE 156320 0 0 INSPIREMD INC COM NEW 45779A309 705 286724 SH SOLE 286724 0 0 INSULET CORP NOTE 3.750% 6/1 45784PAC5 4370 3000000 PRN SOLE 3000000 0 0 INSULET CORP COM 45784P101 4507 121481 SH SOLE 121481 0 0 INTERCEPT PHARMACEUTICALS IN COM 45845P108 655 9598 SH SOLE 9598 0 0 JOHNSON AND JOHNSON COM 478160104 861 9400 SH SOLE 9400 0 0 KERYX BIOPHARMACEUTICALS COM 492515101 570 44000 SH SOLE 44000 0 0 MASIMO CORPORATION COM 574795100 512 17500 SH SOLE 17500 0 0 MERRIMACK PHARMACEUTICALS IN COM 590328100 1826 342453 SH SOLE 342453 0 0 NOVADAQ TECHNOLOGIES INC COM 66987G102 4684 284041 SH SOLE 284041 0 0 NUVASIVE INC NOTE 2.750% 7/0 670704AC9 1092 1000000 PRN SOLE 1000000 0 0 NXSTAGE MEDICAL INC COM 67072V103 3842 384154 SH SOLE 384154 0 0 OCERA THERAPEUTICS INC COM 67552A108 821 63223 SH SOLE 63223 0 0 ONCOGENEX PHARMACEUTICAL INC COM 68230A106 928 111245 SH SOLE 111245 0 0 PALATIN TECHNOLOGIES INC COM PAR $.01 696077403 253 344690 SH SOLE 344690 0 0 PHARMACYCLICS INC COM 716933106 11491 108628 SH SOLE 108628 0 0 PROTALIX BIOTHERAPEUTICS INC COM 74365A101 4584 1178440 SH SOLE 1178440 0 0 RETRACTABLE TECHNOLOGIES INC COM 76129W105 62 20000 SH SOLE 20000 0 0 RTI SURGICAL INC COM 74975N105 591 167058 SH SOLE 167058 0 0 SPECTRANETICS CORP COM 84760C107 1309 52362 SH SOLE 52362 0 0 STEREOTAXIS INC COM NEW 85916J409 6293 1738498 SH SOLE 1738498 0 0 SYNERON MEDICAL LTD ORD SHS M87245102 1119 90947 SH SOLE 90947 0 0 SYNTHETIC BIOLOGICS INC COM 87164U102 283 184900 SH SOLE 184900 0 0 TG THERAPEUTICS INC COM 88322Q108 293 75000 SH SOLE 75000 0 0 THRESHOLD PHARMACEUTICAL INC COM NEW 885807206 1310 280500 SH SOLE 280500 0 0 UROPLASTY INC COM NEW 917277204 790 289332 SH SOLE 289332 0 0 VENAXIS INC COM 92262A107 1263 590000 SH SOLE 590000 0 0 XENOPORT INC COM 98411C100 1020 177362 SH SOLE 177362 0 0