0001389933-16-000037.txt : 20161114 0001389933-16-000037.hdr.sgml : 20161111 20161114130048 ACCESSION NUMBER: 0001389933-16-000037 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20160930 FILED AS OF DATE: 20161114 DATE AS OF CHANGE: 20161114 EFFECTIVENESS DATE: 20161114 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: 161992995 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 09-30-2016 09-30-2016 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 11-14-2016 1 75 143580 false 1 0001389932 028-12328 Fischel Nathan INFORMATION TABLE 2 DAFNAInfoTable.xml ACHILLION PHARMACEUTICALS COM 00448Q201 1511 186500 SH SOLE 186500 0 0 AEGLEA BIOTHERAPEUTICS INC COM ADDED 00773J103 2246 350392 SH SOLE 350392 0 0 AERIE PHARMACEUTICALS INC COM 00771V108 3467 91869 SH SOLE 91869 0 0 ALDER BIOPHARMACEUTICALS INC COM 014339105 5417 165313 SH SOLE 165313 0 0 APPLIED GENETIC TECHNOL CORP COM 03820J100 2350 240298 SH SOLE 240298 0 0 AQUINOX PHARMACEUTICALS INC COM 03842B101 267 20000 SH SOLE 20000 0 0 ARDELYX INC COM 039697107 2835 219095 SH SOLE 219095 0 0 ARRAY BIOPHARMA INC COM 04269X105 468 69300 SH SOLE 69300 0 0 ASCENDIS PHARMA SPONSORED ADR 04351P101 618 30750 SH SOLE 30750 0 0 ATRICURE INC COM 04963C209 8368 528946 SH SOLE 528946 0 0 AVINGER INC COM 053734109 147 30800 SH SOLE 30800 0 0 BEIGENE LTD SPONSORED ADR 07725L102 2777 90142 SH SOLE 90142 0 0 BIOSPECIFICS TECHNOLOGIES COM 090931106 1813 39704 SH SOLE 39704 0 0 BIOTELEMETRY INC COM 090672106 1486 80000 SH SOLE 80000 0 0 BLUEBIRD BIO INC COM 09609G100 407 6000 SH SOLE 6000 0 0 CARA THERAPEUTICS INC COM 140755109 2230 267046 SH SOLE 267046 0 0 CATALYST BIOSCIENCES INC COM 14888D109 86 70903 SH SOLE 70903 0 0 CEL SCI CORP COM PAR $0.01 150837508 39 127482 SH SOLE 127482 0 0 CELYAD ADR 151205200 296 12528 SH SOLE 12528 0 0 CHECK CAP LTD *W EXP 02/28/202 M2361E120 29 51218 SH SOLE 51218 0 0 COGENTIX MEDICAL INC COM 19243A104 643 353482 SH SOLE 353482 0 0 CONCERT PHARMACEUTICALS INC COM 206022105 677 66968 SH SOLE 66968 0 0 CYNAPSUS THERAPEUTICS INC COM PAR NO PAR 23257Y859 1264 31537 SH SOLE 31537 0 0 CYNAPSUS THERAPEUTICS INC COM PAR NO PAR 23257Y859 7992 198664 SH SOLE 198664 0 0 CYTOKINETICS INC COM NEW 23282W605 1668 181737 SH SOLE 181737 0 0 DERMA SCIENCES INC COM PAR $.01 249827502 1652 353718 SH SOLE 353718 0 0 DERMIRA INC COM 24983L104 3341 98800 SH SOLE 98800 0 0 DEXTERA SURGICAL INC COM ADDED 252366109 264 140275 SH SOLE 140275 0 0 DICERNA PHARMACEUTICALS INC COM 253031108 701 119300 SH SOLE 119300 0 0 EIGER BIOPHARMACEUTICALS INC COM 28249U105 1205 90000 SH SOLE 90000 0 0 ENTEROMEDICS INC COM PAR 0.01 COM PAR 0.01 29365M307 5 33334 SH SOLE 33334 0 0 ESSA PHARMA INC COM 29668H104 733 195496 SH SOLE 195496 0 0 EXACTECH INC COM 30064E109 855 31636 SH SOLE 31636 0 0 FOAMIX PHARMACEUTICALS LTD SHS M46135105 2575 278067 SH SOLE 278067 0 0 GALAPAGOS NV SPON ADR 36315X101 4272 66068 SH SOLE 66068 0 0 GENVEC INC COM NEW 37246C307 45 95800 SH SOLE 95800 0 0 IMMUNE DESIGN CORP COM 45252L103 303 40000 SH SOLE 40000 0 0 IMMUNOMEDICS INC COM 452907108 1842 566796 SH SOLE 566796 0 0 INNOCOLL HLDGS PLC SHS ADDED G4783X105 581 100000 SH SOLE 100000 0 0 INOTEK PHARMACEUTICALS CORP NOTE 5.750% 8/0 ADDED 45780VAB8 794 600000 PRN SOLE 600000 0 0 INOTEK PHARMACEUTICALS CORP COM 45780V102 2249 237235 SH SOLE 237235 0 0 INSULET CORP COM 45784P101 3008 73484 SH SOLE 73484 0 0 INSULET CORP NOTE 2.000% 6/1 45784PAD3 2481 2250000 PRN SOLE 2250000 0 0 IRONWOOD PHARMACEUTICALS INC DBCV 2.250% 6/1 46333XAD0 717 600000 PRN SOLE 600000 0 0 JOHNSON AND JOHNSON COM 478160104 1110 9400 SH SOLE 9400 0 0 LOXO ONCOLOGY INC COM 548862101 3409 130222 SH SOLE 130222 0 0 MACROGENICS INC COM 556099109 1621 54200 SH SOLE 54200 0 0 MASIMO CORPORATION COM 574795100 595 10000 SH SOLE 10000 0 0 MINERVA NEUROSCIENCES INC COM 603380106 467 33100 SH SOLE 33100 0 0 NEOS THERAPEUTICS INC COM 64052L106 256 38873 SH SOLE 38873 0 0 NEUROCRINE BIOSCIENCES INC COM 64125C109 3241 64008 SH SOLE 64008 0 0 NEURODERM LTD ORD SHS M74231107 267 14421 SH SOLE 14421 0 0 NIVALIS THERAPEUTICS INC COM 65481J109 122 15000 SH SOLE 15000 0 0 NOVADAQ TECHNOLOGIES INC COM 66987G102 1178 101841 SH SOLE 101841 0 0 NXSTAGE MEDICAL INC COM 67072V103 5960 238509 SH SOLE 238509 0 0 OPHTHOTECH CORP COM 683745103 2150 46600 SH SOLE 46600 0 0 PALATIN TECHNOLOGIES INC COM PAR $ .01 696077403 162 257193 SH SOLE 257193 0 0 PIERIS PHARMACEUTICALS INC COM 720795103 408 223325 SH SOLE 223325 0 0 PROTAGONIST THERAPEUTICS INC COM ADDED 74366E102 2616 123804 SH SOLE 123804 0 0 PROTALIX BIOTHERAPEUTICS INC NOTE 4.500% 9/1 74365AAB7 1525 2500000 PRN SOLE 2500000 0 0 RADIUS HEALTH INC COM NEW 750469207 1993 36854 SH SOLE 36854 0 0 REGULUS THERAPEUTICS INC COM 75915K101 1391 421500 SH SOLE 421500 0 0 RIGEL PHARMACEUTICALS INC COM NEW 766559603 1248 340000 SH SOLE 340000 0 0 SCYNEXIS INC COM 811292101 825 213250 SH SOLE 213250 0 0 SPECTRANETICS CORP COM 84760C107 1643 65496 SH SOLE 65496 0 0 STEREOTAXIS INC COM DELETED 85916J409 1194 1372862 SH SOLE 1372862 0 0 SYNERGY PHARMACEUTICALS COM 871639308 1513 274563 SH SOLE 274563 0 0 SYNERON MEDICAL LTD ORD SHS M87245102 615 85947 SH SOLE 85947 0 0 TANDEM DIABETES CARE INC COM 875372104 5548 724286 SH SOLE 724286 0 0 TESARO INC COM 881569107 2957 29500 SH SOLE 29500 0 0 UNIQURE B.V. 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