0001389933-15-000013.txt : 20150515 0001389933-15-000013.hdr.sgml : 20150515 20150514180824 ACCESSION NUMBER: 0001389933-15-000013 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20150331 FILED AS OF DATE: 20150515 DATE AS OF CHANGE: 20150514 EFFECTIVENESS DATE: 20150515 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: 15864473 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 03-31-2015 03-31-2015 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 05-14-2015 1 71 130246 false 1 0001389932 028-12328 Fischel Nathan INFORMATION TABLE 2 DAFNAInfoTable.xml ACHILLION PHARMACEUTICALS COM 00448Q201 2382 241600 SH SOLE 241600 0 0 ACTINIUM PHARMACEUTICALS INC COM 00507W107 222 90000 SH SOLE 90000 0 0 AERIE PHARMACEUTICALS INC COM 00771V108 5022 160242 SH SOLE 160242 0 0 AFFIMED THERAPEUTICS BV COM N01045108 394 62500 SH SOLE 62500 0 0 ALDEYRA THERAPEUTICS INC COM 01438T106 356 35000 SH SOLE 35000 0 0 APPLIED GENETIC TECHNOL CORP COM 03820J100 2185 109323 SH SOLE 109323 0 0 APTOSE BIOSCIENCES INC COM NEW 03835T200 121 22289 SH SOLE 22289 0 0 ASCENDIS PHARMA A S SPONSORED ADR ADDED 04351P101 1623 93541 SH SOLE 93541 0 0 ATRICURE INC COM 04963C209 13061 637431 SH SOLE 637431 0 0 AUSPEX PHARMACEUTICALS INC COM 05211J102 12083 120500 SH SOLE 120500 0 0 BIOCRYST PHARMACEUTICALS INC COM 09058V103 1505 166656 SH SOLE 166656 0 0 BIOTELEMETRY INC COM 090672106 2085 235645 SH SOLE 235645 0 0 BLUEBIRD BIO INC COM 09609G100 966 8000 SH SOLE 8000 0 0 BOVIE MEDICAL CORP COM 10211F100 239 100000 SH SOLE 100000 0 0 CARDICA INC COM 14141R101 936 1486004 SH SOLE 1486004 0 0 CAREDX INC COM 14167L103 687 123883 SH SOLE 123883 0 0 CAS MEDICAL SYSTEMS INC COM PAR $0.004 124769209 134 100000 SH SOLE 100000 0 0 CHECK CAP LTD SHS ADDED M2361E112 605 110000 SH SOLE 110000 0 0 CHECK CAP LTD-CW20 *W EXP 02/28/202 ADDED M2361E120 55 55000 SH SOLE 55000 0 0 CHEMBIO DIAGNOSTICS INC COM NEW 163572209 106 26287 SH SOLE 26287 0 0 CLOVIS ONCOLOGY INC COM 189464100 1737 23400 SH SOLE 23400 0 0 COGENTIX MEDICAL INC COM 19243A104 593 353181 SH SOLE 353181 0 0 CURIS INC COM 231269101 720 299800 SH SOLE 299800 0 0 CUTERA INC COM 232109108 303 23490 SH SOLE 23490 0 0 CYNAPSUS THERAPEUTICS INC COM 23257Y156 521 543927 SH SOLE 543927 0 0 CYNAPSUS THERAPEUTICS INC COM 23257Y701 687 717200 SH SOLE 717200 0 0 CYTRX CORP COM PAR $.001 232828509 1014 300813 SH SOLE 300813 0 0 DERMA SCIENCES INC COM PAR $.01 249827502 3167 373918 SH SOLE 373918 0 0 DISCOVERY LABORATORIES INC COM NEW 254668403 5748 4829874 SH SOLE 4829874 0 0 ENCISION INC COM 29254Q104 829 1062500 SH SOLE 1062500 0 0 EPIZYME INC COM 29428V104 376 20000 SH SOLE 20000 0 0 ESSA PHARMA INC COM 29668H104 1422 250000 SH SOLE 250000 0 0 EXACTECH INC COM 30064E109 811 31636 SH SOLE 31636 0 0 FATE THERAPEUTICS INC COM 31189P102 99 20190 SH SOLE 20190 0 0 GALENA BIOPHARMA INC COM 363256108 348 250000 SH SOLE 250000 0 0 GENVEC INC COM NEW 37246C307 295 100000 SH SOLE 100000 0 0 GLOBEIMMUNE INC COM 37957B100 69 9445 SH SOLE 9445 0 0 INSULET CORP COM 45784P101 3536 106018 SH SOLE 106018 0 0 INSULET CORP NOTE 2.000% 6/1 45784PAD3 2419 2407000 PRN SOLE 2407000 0 0 INTERCEPT PHARMACEUTICALS IN COM 45845P108 564 2000 SH SOLE 2000 0 0 JOHNSON AND JOHNSON COM 478160104 946 9400 SH SOLE 9400 0 0 KERYX BIOPHARMACEUTICALS COM 492515101 443 34800 SH SOLE 34800 0 0 LPATH INC COM NEW 548910306 276 111884 SH SOLE 111884 0 0 LUMENIS LTD SHS CL B M6778Q121 372 31072 SH SOLE 31072 0 0 MASIMO CORPORATION COM 574795100 2177 66000 SH SOLE 66000 0 0 MINERVA NEUROSCIENCES INC COM 603380106 507 101317 SH SOLE 101317 0 0 NANOSPHERE INC COM 63009F105 139 600000 SH SOLE 600000 0 0 NEOTHETICS INC COM 64066G101 1534 186807 SH SOLE 186807 0 0 NOVADAQ TECHNOLOGIES INC COM 66987G102 1654 101841 SH SOLE 101841 0 0 NUVASIVE INC NOTE 2.750% 7/0 670704AC9 935 760000 PRN SOLE 760000 0 0 NXSTAGE MEDICAL INC COM 67072V103 6341 366554 SH SOLE 366554 0 0 OPEXA THERAPEUTICS INC COM NEW 68372T202 0 500 SH SOLE 500 0 0 OTONOMY INC COM 68906L105 1768 50000 SH SOLE 50000 0 0 PHARMACYCLICS INC COM 716933106 18333 71628 SH SOLE 71628 0 0 PROTALIX BIOTHERAPEUTICS INC COM 74365A101 2191 1230789 SH SOLE 1230789 0 0 PROTALIX BIOTHERAPEUTICS INC NOTE 4.500% 9/1 74365AAB7 3060 4000000 PRN SOLE 4000000 0 0 RIGEL PHARMACEUTICALS INC COM NEW 766559603 3962 1109740 SH SOLE 1109740 0 0 RTI SURGICAL INC COM 74975N105 424 85918 SH SOLE 85918 0 0 SPECTRANETICS CORP COM 84760C107 1384 39812 SH SOLE 39812 0 0 STEREOTAXIS INC COM NEW 85916J409 2815 1372862 SH SOLE 1372862 0 0 SYNERON MEDICAL LTD ORD SHS M87245102 1126 90947 SH SOLE 90947 0 0 TANDEM DIABETES CARE INC COM 875372104 963 76340 SH SOLE 76340 0 0 TARGACEPT INC COM 87611R306 1382 465293 SH SOLE 465293 0 0 THRESHOLD PHARMACEUTICALS COM NEW 885807206 2540 625558 SH SOLE 625558 0 0 TONIX PHARMACEUTICALS HLDG C COM NEW 890260201 91 14400 SH SOLE 14400 0 0 TRANSITION THERAPEUTICS INC COM NEW 893716209 180 26410 SH SOLE 26410 0 0 UNIQURE B.V. NV SHS N90064101 730 30000 SH SOLE 30000 0 0 VENAXIS INC COM 92262A107 305 658000 SH SOLE 658000 0 0 XENOPORT INC COM 98411C100 828 116259 SH SOLE 116259 0 0 ZOGENIX INC COM 98978L105 1170 853700 SH SOLE 853700 0 0 ZS PHARMA INC COM 98979G105 1645 39100 SH SOLE 39100 0 0