0001389933-17-000018.txt : 20170515 0001389933-17-000018.hdr.sgml : 20170515 20170515120939 ACCESSION NUMBER: 0001389933-17-000018 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20170331 FILED AS OF DATE: 20170515 DATE AS OF CHANGE: 20170515 EFFECTIVENESS DATE: 20170515 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: 17842553 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 03-31-2017 03-31-2017 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 05-15-2017 1 72 118230 false 1 0001389932 028-12328 Fischel Nathan INFORMATION TABLE 2 DAFNAInfoTable.xml ABEONA THERAPEUTICS INC COM 00289Y107 338 67537 SH SOLE 67537 0 0 ACHILLION PHARMACEUTICALS COM 00448Q201 827 196500 SH SOLE 196500 0 0 ADAMIS PHARMACEUTICALS CORP COM NEW 00547W208 128 30000 SH SOLE 30000 0 0 ADVAXIS INC COM NEW 007624208 1405 172000 SH SOLE 172000 0 0 AEGLEA BIOTHERAPEUTICS INC COM ADDED 00773J103 2610 350392 SH SOLE 350392 0 0 AERIE PHARMACEUTICALS INC COM 00771V108 2121 46770 SH SOLE 46770 0 0 AFFIMED THERAPEUTICS BV COM N01045108 213 92500 SH SOLE 92500 0 0 AKEBIA THERAPEUTICS INC COM 00972D105 648 70455 SH SOLE 70455 0 0 ALDER BIOPHARMACEUTICALS INC COM 014339105 4597 221013 SH SOLE 221013 0 0 ANAPTYSBIO INC COM ADDED 032724106 125 4500 SH SOLE 4500 0 0 APPLIED GENETIC TECHNOL CORP COM 03820J100 2836 411000 SH SOLE 411000 0 0 ARDELYX INC COM 039697107 2805 221738 SH SOLE 221738 0 0 ARQULE INC COM 04269E107 855 807008 SH SOLE 807008 0 0 ASCENDIS PHARMA SPONSORED ADR 04351P101 510 18214 SH SOLE 18214 0 0 ATRICURE INC COM 04963C209 9708 506946 SH SOLE 506946 0 0 AXSOME THERAPEUTICS INC COM 05464T104 217 55700 SH SOLE 55700 0 0 BEIGENE LTD SPONSORED ADR 07725L102 2974 81231 SH SOLE 81231 0 0 BELLICUM PHARMACEUTICALS INC COM 079481107 247 20000 SH SOLE 20000 0 0 BIOCRYST PHARMACEUTICALS INC COM 09058V103 4545 541128 SH SOLE 541128 0 0 BIOLINERX LTD SPONSORED ADR 09071M106 961 1000000 SH SOLE 1000000 0 0 BIOPHARMX CORP COM 09072X101 58 115000 SH SOLE 115000 0 0 BIOTELEMETRY INC COM 090672106 2171 75000 SH SOLE 75000 0 0 BLUEBIRD BIO INC COM 09609G100 818 9000 SH SOLE 9000 0 0 BLUEPRINT MEDICINES CORP COM 09627Y109 3299 82500 SH SOLE 82500 0 0 CARA THERAPEUTICS INC COM 140755109 1753 95322 SH SOLE 95322 0 0 CASCADIAN THERAPEUTICS INC COM NEW 14740B606 767 185259 SH SOLE 185259 0 0 CELLECTIS S A SPONSORED ADS 15117K103 1834 76404 SH SOLE 76404 0 0 CELYAD ADR 151205200 328 12528 SH SOLE 12528 0 0 CIDARA THERAPEUTICS INC COM 171757107 1626 208458 SH SOLE 208458 0 0 COGENTIX MEDICAL INC COM 19243A104 636 353482 SH SOLE 353482 0 0 CYMABAY THERAPEUTICS INC COM COM 23257D103 379 88067 SH SOLE 88067 0 0 DERMIRA INC COM 24983L104 955 28000 SH SOLE 28000 0 0 EIGER BIOPHARMACEUTICALS INC COM 28249U105 412 35977 SH SOLE 35977 0 0 EXACTECH INC COM 30064E109 797 31636 SH SOLE 31636 0 0 FOAMIX PHARMACEUTICALS LTD SHS M46135105 1612 325667 SH SOLE 325667 0 0 GALAPAGOS NV SPON ADR 36315X101 3048 35359 SH SOLE 35359 0 0 GALENA BIOPHARMA INC COM NEW COM NEW 363256504 28 46145 SH SOLE 46145 0 0 GEMPHIRE THERAPEUTICS INC COM 36870A108 554 52797 SH SOLE 52797 0 0 IMMUNOMEDICS INC COM 452907108 1634 252574 SH SOLE 252574 0 0 INOTEK PHARMACEUTICALS CORP NOTE 5.750% 8/0 45780VAB8 372 600000 PRN SOLE 600000 0 0 INOTEK PHARMACEUTICALS CORP COM 45780V102 474 237135 SH SOLE 237135 0 0 INSULET CORP COM 45784P101 2736 63484 SH SOLE 63484 0 0 INSULET CORP NOTE 2.000% 6/1 45784PAD3 2537 2250000 PRN SOLE 2250000 0 0 IRONWOOD PHARMACEUTICALS INC DBCV 2.250% 6/1 46333XAD0 714 573000 PRN SOLE 573000 0 0 ISHARES TR NASDQ BIOTEC ETF 464287556 2551 8700 SH SOLE 8700 0 0 JOHNSON AND JOHNSON COM 478160104 1171 9400 SH SOLE 9400 0 0 LOXO ONCOLOGY INC COM 548862101 12654 300722 SH SOLE 300722 0 0 MACROGENICS INC COM 556099109 2217 119200 SH SOLE 119200 0 0 MASIMO CORPORATION COM 574795100 326 3500 SH SOLE 3500 0 0 MINERVA NEUROSCIENCES INC COM 603380106 821 101317 SH SOLE 101317 0 0 NEOS THERAPEUTICS INC COM 64052L106 686 95273 SH SOLE 95273 0 0 NEUROCRINE BIOSCIENCES INC COM 64125C109 2533 58508 SH SOLE 58508 0 0 NEURODERM LTD ORD SHS M74231107 994 37438 SH SOLE 37438 0 0 NOVADAQ TECHNOLOGIES INC COM 66987G102 747 95841 SH SOLE 95841 0 0 NXSTAGE MEDICAL INC COM 67072V103 5798 216119 SH SOLE 216119 0 0 OBSEVA SA COM ADDED H5861P103 260 25000 SH SOLE 25000 0 0 PIERIS PHARMACEUTICALS INC COM 720795103 139 53525 SH SOLE 53525 0 0 PROTALIX BIOTHERAPEUTICS INC NOTE 4.500% 9/1 74365AAB7 1963 2500000 PRN SOLE 2500000 0 0 RADIUS HEALTH INC COM NEW 750469207 1886 48809 SH SOLE 48809 0 0 RIGEL PHARMACEUTICALS INC COM NEW 766559603 1567 473478 SH SOLE 473478 0 0 SCYNEXIS INC COM 811292101 1054 381900 SH SOLE 381900 0 0 SIERRA ONCOLOGY INC COM ADDED 82640U107 405 265000 SH SOLE 265000 0 0 SPECTRANETICS CORP COM 84760C107 1908 65496 SH SOLE 65496 0 0 STEREOTAXIS INC COM 85916J409 782 1372862 SH SOLE 1372862 0 0 SUNESIS PHARMACEUTICALS INC COM PAR 867328700 3557 867529 SH SOLE 867529 0 0 SYNERON MEDICAL LTD ORD SHS M87245102 907 85947 SH SOLE 85947 0 0 TANDEM DIABETES CARE INC COM 875372104 869 724286 SH SOLE 724286 0 0 TONIX PHARMACEUTICALS HLDG C COM ADDED 890260409 93 20000 SH SOLE 20000 0 0 UNIQURE NV SHS N90064101 1179 203907 SH SOLE 203907 0 0 VOYAGER THERAPEUTICS INC COM 92915B106 944 71320 SH SOLE 71320 0 0 XENON PHARMACEUTICALS INC COM 98420N105 1358 339614 SH SOLE 339614 0 0 ZOGENIX INC COM NEW 98978L204 649 59778 SH SOLE 59778 0 0