0001389933-15-000019.txt : 20151113
0001389933-15-000019.hdr.sgml : 20151113
20151113132322
ACCESSION NUMBER: 0001389933-15-000019
CONFORMED SUBMISSION TYPE: 13F-HR
PUBLIC DOCUMENT COUNT: 2
CONFORMED PERIOD OF REPORT: 20150930
FILED AS OF DATE: 20151113
DATE AS OF CHANGE: 20151113
EFFECTIVENESS DATE: 20151113
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: 151228234
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
09-30-2015
09-30-2015
DAFNA Capital Management LLC
10990 WILSHIRE BOULEVARD
SUITE 1400
LOS ANGELES
CA
90024
13F HOLDINGS REPORT
028-12327
N
Nathan Fischel
CEO
310-954-3200
Nathan Fischel, MD, CFA
Los Angeles
CA
11-13-2015
1
88
100779
false
1
0001389932
028-12328
Fischel Nathan
INFORMATION TABLE
2
DAFNAInfoTable.xml
ABBVIE INC
COM
00287Y109
6343
116581
SH
SOLE
116581
0
0
ABEONA THERAPEUTICS INC
COM
00289Y107
736
181818
SH
SOLE
181818
0
0
ACHILLION PHARMACEUTICALS
COM
00448Q201
3319
480300
SH
SOLE
480300
0
0
ACTINIUM PHARMACEUTICALS INC
COM
00507W107
159
90000
SH
SOLE
90000
0
0
ADVAXIS INC
COM NEW
007624208
51
5000
SH
SOLE
5000
0
0
AERIE PHARMACEUTICALS INC
COM
00771V108
2939
165669
SH
SOLE
165669
0
0
AKARI THERAPEUTICS PLC
ADR ADDED
00972G108
633
26390
SH
SOLE
26390
0
0
ALDER BIOPHARMACEUTICALS INC
COM
014339105
590
18000
SH
SOLE
18000
0
0
AMGEN INC
COM
031162100
512
3700
SH
SOLE
3700
0
0
ANTARES PHARMA INC
COM
036642106
77
45000
SH
SOLE
45000
0
0
APPLIED GENETIC TECHNOL CORP
COM
03820J100
2066
157192
SH
SOLE
157192
0
0
APTOSE BIOSCIENCES INC
COM NEW
03835T200
83
19239
SH
SOLE
19239
0
0
ARENA PHARMACEUTICALS INC
COM
040047102
729
381600
SH
SOLE
381600
0
0
ASCENDIS PHARMA
ADR
04351P101
942
53241
SH
SOLE
53241
0
0
ATRICURE INC
COM
04963C209
10691
487946
SH
SOLE
487946
0
0
AVALANCHE BIOTECHNOLOGIES IN
COM
05337G107
1159
140600
SH
SOLE
140600
0
0
BIOCRYST PHARMACEUTICALS INC
COM
09058V103
2949
258642
SH
SOLE
258642
0
0
BIOTELEMETRY INC
COM
090672106
2884
235645
SH
SOLE
235645
0
0
BLUEBIRD BIO INC
COM
09609G100
513
6000
SH
SOLE
6000
0
0
CARA THERAPEUTICS INC
COM
140755109
1337
93574
SH
SOLE
93574
0
0
CARDICA INC
COM
14141R101
379
1402762
SH
SOLE
1402762
0
0
CAREDX INC
COM
14167L103
567
135927
SH
SOLE
135927
0
0
CAS MEDICAL SYSTEMS INC
COM PAR $0.004
124769209
108
86768
SH
SOLE
86768
0
0
CATALYST BIOSCIENCES INC
COM ADDED
14888D109
330
70903
SH
SOLE
70903
0
0
CEL SCI CORP
COM PAR $0.01
150837508
84
139500
SH
SOLE
139500
0
0
CELGENE CORP
COM
151020104
562
5200
SH
SOLE
5200
0
0
CELYAD
ADR
151205200
1256
30000
SH
SOLE
30000
0
0
CHECK CAP LTD
SHS
M2361E112
307
109900
SH
SOLE
109900
0
0
CHECK CAP LTD
*W EXP 02/28/202
M2361E120
28
55000
SH
SOLE
55000
0
0
CHEMBIO DIAGNOSTICS INC
COM NEW
163572209
88
21722
SH
SOLE
21722
0
0
COGENTIX MEDICAL INC
COM
19243A104
436
351781
SH
SOLE
351781
0
0
CORBUS PHARMACEUTICALS HLDGS
COM
21833P103
79
50000
SH
SOLE
50000
0
0
CYNAPSUS THERAPEUTICS INC
COM
23257Y156
536
33995
SH
SOLE
33995
0
0
CYNAPSUS THERAPEUTICS INC
COM PAR NO PAR
23257Y859
707
44824
SH
SOLE
44824
0
0
CYTRX CORP
COM PAR $.001
232828509
1382
583013
SH
SOLE
583013
0
0
DERMA SCIENCES INC
COM PAR $.01
249827502
1681
356918
SH
SOLE
356918
0
0
DERMIRA INC
COM
24983L104
525
22500
SH
SOLE
22500
0
0
DICERNA PHARMACEUTICALS INC
COM
253031108
1014
123500
SH
SOLE
123500
0
0
DISCOVERY LABORATORIES INC
COM NEW
254668403
2253
7508544
SH
SOLE
7508544
0
0
ENTEROMEDICS INC
COM NEW
29365M208
130
500000
SH
SOLE
500000
0
0
ESSA PHARMA INC
COM
29668H104
1424
228500
SH
SOLE
228500
0
0
EXACTECH INC
COM
30064E109
551
31636
SH
SOLE
31636
0
0
GALAPAGOS NV-SPON ADR
ADR
36315X101
70
1709
SH
SOLE
1709
0
0
GALMED PHARMACEUTICALS LTD
SHS
M47238106
44
5871
SH
SOLE
5871
0
0
GENVEC INC
COM NEW
37246C307
221
95800
SH
SOLE
95800
0
0
GILEAD SCIENCES INC
COM
375558103
560
5700
SH
SOLE
5700
0
0
INSULET CORP
COM
45784P101
2747
106018
SH
SOLE
106018
0
0
INSULET CORP
NOTE 2.000% 6/1
45784PAD3
2229
2407000
PRN
SOLE
2407000
0
0
INTEC PHARMA LTD
SHS ADDED
M53644106
756
135000
SH
SOLE
135000
0
0
INTERCEPT PHARMACEUTICALS IN
COM
45845P108
403
2430
SH
SOLE
2430
0
0
IRONWOOD PHARMA
NOTE 2.25% 15-Jun-2022 144A SR UNSECURED CONV
46333XAC2
537
600000
PRN
SOLE
600000
0
0
JOHNSON AND JOHNSON
COM
478160104
877
9400
SH
SOLE
9400
0
0
LIPOCINE INC
COM NEW
53630X104
532
45000
SH
SOLE
45000
0
0
LOXO ONCOLOGY INC
COM
548862101
205
11745
SH
SOLE
11745
0
0
LUMENIS LTD
SHS CL B
M6778Q121
430
31072
SH
SOLE
31072
0
0
MACROGENICS INC
COM
556099109
514
24000
SH
SOLE
24000
0
0
MARINUS PHARMACEUTICALS INC
COM
56854Q101
186
22319
SH
SOLE
22319
0
0
MASIMO CORPORATION
COM
574795100
1774
46010
SH
SOLE
46010
0
0
NEOS THERAPEUTICS INC
COM ADDED
64052L106
1332
63400
SH
SOLE
63400
0
0
NIVALIS THERAPEUTICS INC
COM
65481J109
195
15000
SH
SOLE
15000
0
0
NOVADAQ TECHNOLOGIES INC
COM
66987G102
1062
101841
SH
SOLE
101841
0
0
NUVASIVE INC
NOTE 2.750% 7/0
670704AC9
959
760000
PRN
SOLE
760000
0
0
NXSTAGE MEDICAL INC
COM
67072V103
5781
366554
SH
SOLE
366554
0
0
ONCOTHYREON INC
COM
682324108
99
36180
SH
SOLE
36180
0
0
OTONOMY INC
COM
68906L105
1985
111466
SH
SOLE
111466
0
0
PRONAI THERAPEUTICS INC
COM ADDED
74346L101
174
8500
SH
SOLE
8500
0
0
PROTALIX BIOTHERAPEUTICS INC
COM
74365A101
1408
1193189
SH
SOLE
1193189
0
0
PROTALIX BIOTHERAPEUTICS INC
NOTE 4.500% 9/1
74365AAB7
2698
4000000
PRN
SOLE
4000000
0
0
REGULUS THERAPEUTICS INC
COM
75915K101
589
90000
SH
SOLE
90000
0
0
RIGEL PHARMACEUTICALS INC
COM NEW
766559603
2741
1109740
SH
SOLE
1109740
0
0
SCYNEXIS INC
COM
811292101
1142
156904
SH
SOLE
156904
0
0
SPECTRANETICS CORP
COM
84760C107
941
79812
SH
SOLE
79812
0
0
STEREOTAXIS INC
COM NEW
85916J409
1274
1372862
SH
SOLE
1372862
0
0
SYNERGY PHARMACEUTICALS
COM
871639308
1572
296563
SH
SOLE
296563
0
0
SYNERON MEDICAL LTD
ORD SHS
M87245102
615
85947
SH
SOLE
85947
0
0
TANDEM DIABETES CARE INC
COM
875372104
322
36551
SH
SOLE
36551
0
0
TARGACEPT INC
NOTE 0.0% 19-Feb-2018 UNSECURED CONV
87611RAA6
531
530821
PRN
SOLE
530821
0
0
TENAX THERAPEUTICS INC
COM
88032L100
245
81509
SH
SOLE
81509
0
0
TOBIRA THERAPEUTICS INC
COM
88883P101
436
45092
SH
SOLE
45092
0
0
TREVENA INC
COM
89532E109
153
14800
SH
SOLE
14800
0
0
UNIQURE B.V.
NV SHS
N90064101
716
35000
SH
SOLE
35000
0
0
VENAXIS INC
COM
92262A107
200
650400
SH
SOLE
650400
0
0
VITAE PHARMACEUTICALS INC
COM
92847N103
780
70885
SH
SOLE
70885
0
0
VTV THERAPEUTICS INC- CL A
CL A ADDED
918385105
489
75000
SH
SOLE
75000
0
0
XENON PHARMACEUTICALS INC
COM
98420N105
207
25000
SH
SOLE
25000
0
0
XENOPORT INC
COM
98411C100
1633
470612
SH
SOLE
470612
0
0
ZOGENIX INC
COM
98978L204
930
68900
SH
SOLE
68900
0
0
ZS PHARMA INC
COM
98979G105
4346
66194
SH
SOLE
66194
0
0