0001389933-19-000010.txt : 20191114 0001389933-19-000010.hdr.sgml : 20191114 20191114165900 ACCESSION NUMBER: 0001389933-19-000010 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20190930 FILED AS OF DATE: 20191114 DATE AS OF CHANGE: 20191114 EFFECTIVENESS DATE: 20191114 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: 191221357 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 09-30-2019 09-30-2019 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 Los Angeles CA 11-14-2019 1 89 265897 false 1 0001389932 028-12328 Fischel Nathan INFORMATION TABLE 2 DAFNAInfoTable.xml ACCURAY INC COM 004397105 1868 674300 SH SOLE 674300 0 0 ACHILLION PHARMACEUTICALS COM 00448Q201 1580 438884 SH SOLE 438884 0 0 ADVAXIS INC COM NEW 007624307 93 350000 SH SOLE 350000 0 0 AERIE PHARMACEUTICALS INC COM 00771V108 5531 287748 SH SOLE 287748 0 0 AILERON THERAPEUTICS INC COM 00887A105 67 99502 SH SOLE 99502 0 0 AKEBIA THERAPEUTICS INC COM 00972D105 3246 828038 SH SOLE 828038 0 0 ALDER BIOPHARMACEUTICALS INC COM 014339105 11995 636013 SH SOLE 636013 0 0 ALDEYRA THERAPEUTICS INC COM 01438T106 264 50000 SH SOLE 50000 0 0 ALECTOR INC COM 014442107 2091 145000 SH SOLE 145000 0 0 APELLIS PHARMACEUTICALS INC COM 03753U106 4090 169800 SH SOLE 169800 0 0 APPLIED GENETIC TECHNOL CORP COM 03820J100 1494 359190 SH SOLE 359190 0 0 ARCTURUS THERAPEUTICS HLDG I COM 03969T109 1786 173914 SH SOLE 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