0001389933-15-000016.txt : 20150814 0001389933-15-000016.hdr.sgml : 20150814 20150814144728 ACCESSION NUMBER: 0001389933-15-000016 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20150630 FILED AS OF DATE: 20150814 DATE AS OF CHANGE: 20150814 EFFECTIVENESS DATE: 20150814 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: 151055005 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 06-30-2015 06-30-2015 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 08-14-2015 1 76 118236 false 1 0001389932 028-12328 Fischel Nathan INFORMATION TABLE 2 DAFNAInfoTable.xml ABBVIE INC COM 00287Y109 7833 116581 SH SOLE 116581 0 0 ACHILLION PHARMACEUTICALS COM 00448Q201 4255 480300 SH SOLE 480300 0 0 ACTINIUM PHARMACEUTICALS INC COM 00507W107 239 90000 SH SOLE 90000 0 0 AERIE PHARMACEUTICALS INC COM 00771V108 2768 156842 SH SOLE 156842 0 0 AFFIMED THERAPEUTICS BV COM N01045108 390 28950 SH SOLE 28950 0 0 ANTARES PHARMA INC COM 036642106 94 45000 SH SOLE 45000 0 0 APPLIED GENETIC TECHNOL CORP COM 03820J100 2411 157192 SH SOLE 157192 0 0 APTOSE BIOSCIENCES INC COM NEW 03835T200 359 70396 SH SOLE 70396 0 0 ARCA BIOPHARMA INC COM NEW 00211Y209 653 567859 SH SOLE 567859 0 0 ARENA PHARMACEUTICALS INC COM 040047102 877 189000 SH SOLE 189000 0 0 ASCENDIS PHARMA ADR ADDED 04351P101 1654 93541 SH SOLE 93541 0 0 ATRICURE INC COM 04963C209 13518 548611 SH SOLE 548611 0 0 BIOCRYST PHARMACEUTICALS INC COM 09058V103 3309 221656 SH SOLE 221656 0 0 BIOTELEMETRY INC COM 090672106 2222 235645 SH SOLE 235645 0 0 BIOTIE THERAPIES ADR 09074D103 200 10000 SH SOLE 10000 0 0 BLUEBIRD BIO INC COM 09609G100 1010 6000 SH SOLE 6000 0 0 CALADRIUS BIOSCIENCES INC COM 128058104 166 88900 SH SOLE 88900 0 0 CARA THERAPEUTICS INC COM 140755109 1543 126956 SH SOLE 126956 0 0 CARDICA INC COM 14141R101 742 1486004 SH SOLE 1486004 0 0 CAREDX INC COM 14167L103 947 145627 SH SOLE 145627 0 0 CAS MEDICAL SYSTEMS INC COM PAR $0.004 124769209 113 88522 SH SOLE 88522 0 0 CEL SCI CORP COM PAR $0.01 150837508 209 316500 SH SOLE 316500 0 0 CELYAD ADR 151205200 1561 30000 SH SOLE 30000 0 0 CHECK CAP LTD SHS ADDED M2361E112 385 110000 SH SOLE 110000 0 0 CHECK CAP LTD *W EXP 02/28/202 ADDED M2361E120 96 55000 SH SOLE 55000 0 0 CHEMBIO DIAGNOSTICS INC COM NEW 163572209 129 26287 SH SOLE 26287 0 0 CLOVIS ONCOLOGY INC COM 189464100 2029 23090 SH SOLE 23090 0 0 COGENTIX MEDICAL INC COM 19243A104 572 353181 SH SOLE 353181 0 0 CORBUS PHARMACEUTICALS HLDGS COM 21833P103 113 36590 SH SOLE 36590 0 0 CYNAPSUS THERAPEUTICS INC COM 23257Y156 559 33995 SH SOLE 33995 0 0 CYNAPSUS THERAPEUTICS INC COM PAR NO PAR 23257Y859 915 44824 SH SOLE 44824 0 0 CYNAPSUS THERAPEUTICS INC COM PAR NO PAR 23257Y859 815 50000 SH SOLE 50000 0 0 CYTRX CORP COM PAR $.001 232828509 1119 300813 SH SOLE 300813 0 0 DERMA SCIENCES INC COM PAR $.01 249827502 2677 373918 SH SOLE 373918 0 0 DERMIRA INC COM 24983L104 996 56736 SH SOLE 56736 0 0 DICERNA PHARMACEUTICALS INC COM 253031108 1211 86800 SH SOLE 86800 0 0 DISCOVERY LABORATORIES INC COM NEW 254668403 3261 4794874 SH SOLE 4794874 0 0 ENCISION INC COM 29254Q104 584 1062500 SH SOLE 1062500 0 0 ESSA PHARMA INC COM 29668H104 2626 231200 SH SOLE 231200 0 0 EXACTECH INC COM 30064E109 659 31636 SH SOLE 31636 0 0 GENVEC INC COM NEW 37246C307 204 100000 SH SOLE 100000 0 0 INSULET CORP COM 45784P101 3285 106018 SH SOLE 106018 0 0 INSULET CORP NOTE 2.000% 6/1 45784PAD3 2338 2407000 PRN SOLE 2407000 0 0 INTERCEPT PHARMACEUTICALS IN COM 45845P108 483 2000 SH SOLE 2000 0 0 IRONWOOD PHARMA NOTE 2.25% 15-Jun-2022 144A SR UNSECURED CONV 46333XAC2 396 400000 PRN SOLE 400000 0 0 JOHNSON AND JOHNSON COM 478160104 916 9400 SH SOLE 9400 0 0 LIPOCINE INC COM NEW 53630X104 729 85000 SH SOLE 85000 0 0 LOXO ONCOLOGY INC COM 548862101 221 12245 SH SOLE 12245 0 0 LUMENIS LTD SHS CL B M6778Q121 426 31072 SH SOLE 31072 0 0 MARINUS PHARMACEUTICALS INC COM 56854Q101 259 22319 SH SOLE 22319 0 0 MASIMO CORPORATION COM 574795100 1782 46010 SH SOLE 46010 0 0 NEOTHETICS INC COM 64066G101 1658 184187 SH SOLE 184187 0 0 NIVALIS THERAPEUTICS INC COM 65481J109 227 15000 SH SOLE 15000 0 0 NOVADAQ TECHNOLOGIES INC COM 66987G102 1233 101841 SH SOLE 101841 0 0 NUVASIVE INC NOTE 2.750% 7/0 670704AC9 968 760000 PRN SOLE 760000 0 0 NXSTAGE MEDICAL INC COM 67072V103 5236 366554 SH SOLE 366554 0 0 ONCOTHYREON INC COM 682324108 135 36180 SH SOLE 36180 0 0 OTONOMY INC COM 68906L105 2563 111466 SH SOLE 111466 0 0 PIERIS PHARMACEUTICALS INC COM 720795103 344 125000 SH SOLE 125000 0 0 PROTALIX BIOTHERAPEUTICS INC COM 74365A101 2400 1230789 SH SOLE 1230789 0 0 PROTALIX BIOTHERAPEUTICS INC NOTE 4.500% 9/1 74365AAB7 3196 4000000 PRN SOLE 4000000 0 0 RIGEL PHARMACEUTICALS INC COM NEW 766559603 3562 1109740 SH SOLE 1109740 0 0 RTI SURGICAL INC COM 74975N105 555 85918 SH SOLE 85918 0 0 SCYNEXIS INC COM 811292101 1419 161382 SH SOLE 161382 0 0 SPECTRANETICS CORP COM 84760C107 916 39812 SH SOLE 39812 0 0 STEREOTAXIS INC COM NEW 85916J409 1977 1372862 SH SOLE 1372862 0 0 SYNERGY PHARMACEUTICALS COM 871639308 2636 317563 SH SOLE 317563 0 0 SYNERON MEDICAL LTD ORD SHS M87245102 966 90947 SH SOLE 90947 0 0 TANDEM DIABETES CARE INC COM 875372104 390 35992 SH SOLE 35992 0 0 TARGACEPT INC COM 87611R306 1294 463914 SH SOLE 463914 0 0 TRANSITION THERAPEUTICS INC COM NEW 893716209 124 59222 SH SOLE 59222 0 0 UNIQURE B.V. 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