0001389933-21-000004.txt : 20210216 0001389933-21-000004.hdr.sgml : 20210216 20210216142155 ACCESSION NUMBER: 0001389933-21-000004 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20201231 FILED AS OF DATE: 20210216 DATE AS OF CHANGE: 20210216 EFFECTIVENESS DATE: 20210216 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: 21636233 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 12-31-2020 12-31-2020 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 02-16-2021 1 74 336078 false 1 0001389932 028-12328 Fischel Nathan INFORMATION TABLE 2 DAFNAInfoTable.xml 89BIO INC COM 282559103 2570 105478 SH SOLE 105478 0 0 ACCURAY INC COM 004397105 4063 974400 SH SOLE 974400 0 0 ADICET BIO INC COM 007002108 1090 77577 SH SOLE 77577 0 0 AERIE PHARMACEUTICALS INC COM 00771V108 3897 288440 SH SOLE 288440 0 0 AERIE PHARMACEUTICALS INC NOTE 1.500%10/0 00771VAB4 1376 1500000 PRN SOLE 1500000 0 0 AFFIMED NV COM N01045108 5089 874357 SH SOLE 874357 0 0 ALECTOR INC COM 014442107 1929 127500 SH SOLE 127500 0 0 ALPINE IMMUNE SCIENCES INC COM 02083G100 1426 113202 SH SOLE 113202 0 0 APELLIS PHARMACEUTICALS INC COM 03753U106 2512 43916 SH SOLE 43916 0 0 APPLIED GENETIC TECHNOL CORP COM 03820J100 3695 903429 SH SOLE 903429 0 0 ARCUS BIOSCIENCES INC COM 03969F109 1288 49600 SH SOLE 49600 0 0 ARENA PHARMACEUTICALS INC COM NEW 040047607 5902 76815 SH SOLE 76815 0 0 ASCENDIS 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