0001389933-17-000014.txt : 20170214
0001389933-17-000014.hdr.sgml : 20170214
20170214144406
ACCESSION NUMBER: 0001389933-17-000014
CONFORMED SUBMISSION TYPE: 13F-HR
PUBLIC DOCUMENT COUNT: 2
CONFORMED PERIOD OF REPORT: 20161231
FILED AS OF DATE: 20170214
DATE AS OF CHANGE: 20170214
EFFECTIVENESS DATE: 20170214
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: 17607345
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
12-31-2016
12-31-2016
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
02-14-2016
1
66
113823
false
1
0001389932
028-12328
Fischel Nathan
INFORMATION TABLE
2
DAFNAInfoTable.xml
ABEONA THERAPEUTICS INC
COM
00289Y107
372
76800
SH
SOLE
76800
0
0
ACHILLION PHARMACEUTICALS
COM
00448Q201
812
196500
SH
SOLE
196500
0
0
ADVAXIS INC
COM NEW
007624208
1253
175000
SH
SOLE
175000
0
0
AEGLEA BIOTHERAPEUTICS INC
COM ADDED
00773J103
1524
350392
SH
SOLE
350392
0
0
AERIE PHARMACEUTICALS INC
COM
00771V108
3723
98370
SH
SOLE
98370
0
0
ALDER BIOPHARMACEUTICALS INC
COM
014339105
4597
221013
SH
SOLE
221013
0
0
APPLIED GENETIC TECHNOL CORP
COM
03820J100
2677
286298
SH
SOLE
286298
0
0
ARBUTUS BIOPHARMA CORP
COM
03879J100
573
234000
SH
SOLE
234000
0
0
ARDELYX INC
COM
039697107
2471
173995
SH
SOLE
173995
0
0
ARQULE INC
COM
04269E107
843
668735
SH
SOLE
668735
0
0
ASCENDIS PHARMA
SPONSORED ADR
04351P101
1073
53000
SH
SOLE
53000
0
0
ATRICURE INC
COM
04963C209
10156
518946
SH
SOLE
518946
0
0
AVINGER INC
COM
053734109
93
25000
SH
SOLE
25000
0
0
BEIGENE LTD
SPONSORED ADR
07725L102
3638
119841
SH
SOLE
119841
0
0
BIOCRYST PHARMACEUTICALS INC
COM
09058V103
417
65900
SH
SOLE
65900
0
0
BIOPHARMX CORP
COM
09072X101
29
77031
SH
SOLE
77031
0
0
BIOTELEMETRY INC
COM
090672106
1676
75000
SH
SOLE
75000
0
0
BLUEBIRD BIO INC
COM
09609G100
555
9000
SH
SOLE
9000
0
0
BLUEPRINT MEDICINES CORP
COM
09627Y109
2034
72500
SH
SOLE
72500
0
0
CARA THERAPEUTICS INC
COM
140755109
1946
209522
SH
SOLE
209522
0
0
CELYAD
ADR
151205200
222
12528
SH
SOLE
12528
0
0
CHECK CAP LTD
*W EXP 02/28/202
M2361E120
10
15250
SH
SOLE
15250
0
0
CIDARA THERAPEUTICS INC
COM
171757107
1663
159918
SH
SOLE
159918
0
0
COGENTIX MEDICAL INC
COM
19243A104
710
353482
SH
SOLE
353482
0
0
CONCERT PHARMACEUTICALS INC
COM
206022105
689
66968
SH
SOLE
66968
0
0
CYTOKINETICS INC
COM NEW
23282W605
2555
210306
SH
SOLE
210306
0
0
DERMA SCIENCES INC
COM PAR $.01
249827502
1839
353718
SH
SOLE
353718
0
0
DERMIRA INC
COM
24983L104
2997
98800
SH
SOLE
98800
0
0
EIGER BIOPHARMACEUTICALS INC
COM
28249U105
468
40192
SH
SOLE
40192
0
0
ESSA PHARMA INC
COM
29668H104
289
98046
SH
SOLE
98046
0
0
EXACTECH INC
COM
30064E109
864
31636
SH
SOLE
31636
0
0
FOAMIX PHARMACEUTICALS LTD
SHS
M46135105
2976
268067
SH
SOLE
268067
0
0
GALAPAGOS NV
SPON ADR
36315X101
4241
66068
SH
SOLE
66068
0
0
GENVEC INC
COM PAR ADDED
37246C406
31
9580
SH
SOLE
9580
0
0
IMMUNOMEDICS INC
COM
452907108
2054
559674
SH
SOLE
559674
0
0
INOTEK PHARMACEUTICALS CORP
NOTE 5.750% 8/0 ADDED
45780VAB8
618
600000
PRN
SOLE
600000
0
0
INOTEK PHARMACEUTICALS CORP
COM
45780V102
1447
237135
SH
SOLE
237135
0
0
INSULET CORP
COM
45784P101
2769
73484
SH
SOLE
73484
0
0
INSULET CORP
NOTE 2.000% 6/1
45784PAD3
2457
2250000
PRN
SOLE
2250000
0
0
IRONWOOD PHARMACEUTICALS INC
DBCV 2.250% 6/1
46333XAD0
690
600000
PRN
SOLE
600000
0
0
ISHARES TR NASDQ BIOTEC
ETF
464287556
2309
8700
SH
SOLE
8700
0
0
JOHNSON AND JOHNSON
COM
478160104
1083
9400
SH
SOLE
9400
0
0
LOXO ONCOLOGY INC
COM
548862101
4487
139722
SH
SOLE
139722
0
0
MACROGENICS INC
COM
556099109
1823
89200
SH
SOLE
89200
0
0
MASIMO CORPORATION
COM
574795100
674
10000
SH
SOLE
10000
0
0
NEOS THERAPEUTICS INC
COM
64052L106
227
38873
SH
SOLE
38873
0
0
NEUROCRINE BIOSCIENCES INC
COM
64125C109
2555
66008
SH
SOLE
66008
0
0
NEURODERM LTD
ORD SHS
M74231107
842
37921
SH
SOLE
37921
0
0
NOVADAQ TECHNOLOGIES INC
COM
66987G102
722
101841
SH
SOLE
101841
0
0
NXSTAGE MEDICAL INC
COM
67072V103
6189
236119
SH
SOLE
236119
0
0
PIERIS PHARMACEUTICALS INC
COM
720795103
314
223325
SH
SOLE
223325
0
0
PROTAGONIST THERAPEUTICS INC
COM
74366E102
1002
45586
SH
SOLE
45586
0
0
PROTALIX BIOTHERAPEUTICS INC
NOTE 4.500% 9/1
74365AAB7
1546
2500000
PRN
SOLE
2500000
0
0
RADIUS HEALTH INC
COM NEW
750469207
2048
53854
SH
SOLE
53854
0
0
SCYNEXIS INC
COM
811292101
554
173645
SH
SOLE
173645
0
0
SPECTRANETICS CORP
COM
84760C107
1605
65496
SH
SOLE
65496
0
0
SPRING BK PHARMACEUTICALS IN
COM
849431101
219
27412
SH
SOLE
27412
0
0
STEREOTAXIS INC
COM
85916J409
892
1372862
SH
SOLE
1372862
0
0
SUNESIS PHARMACEUTICALS INC
COM PAR
867328700
4104
1133583
SH
SOLE
1133583
0
0
SYNERGY PHARMACEUTICALS
COM NEW
871639308
207
34000
SH
SOLE
34000
0
0
SYNERON MEDICAL LTD
ORD SHS
M87245102
722
85947
SH
SOLE
85947
0
0
TANDEM DIABETES CARE INC
COM
875372104
1557
724286
SH
SOLE
724286
0
0
TESARO INC
COM
881569107
2084
15500
SH
SOLE
15500
0
0
UNIQURE NV
SHS
N90064101
1142
203907
SH
SOLE
203907
0
0
XENON PHARMACEUTICALS INC
COM
98420N105
3959
514091
SH
SOLE
514091
0
0
ZOGENIX INC
COM NEW
98978L204
906
74538
SH
SOLE
74538
0
0