0001389933-18-000012.txt : 20181114 0001389933-18-000012.hdr.sgml : 20181114 20181114133714 ACCESSION NUMBER: 0001389933-18-000012 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20180930 FILED AS OF DATE: 20181114 DATE AS OF CHANGE: 20181114 EFFECTIVENESS DATE: 20181114 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: 181182403 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 09-30-2018 09-30-2018 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 11-14-2018 1 75 243521 false 1 0001389932 028-12328 Fischel Nathan INFORMATION TABLE 2 DAFNAInfoTable.xml ACHILLION PHARMACEUTICALS COM 00448Q201 3119 847636 SH SOLE 847636 0 0 ADVAXIS INC COM NEW 007624208 1567 1666666 SH SOLE 1666666 0 0 AERIE PHARMACEUTICALS INC COM 00771V108 8172 132770 SH SOLE 132770 0 0 AKEBIA THERAPEUTICS INC COM 00972D105 5525 625738 SH SOLE 625738 0 0 ALDER BIOPHARMACEUTICALS INC NOTE 2.500% 2/0 014339AA3 269 250000 PRN SOLE 250000 0 0 ALDER BIOPHARMACEUTICALS INC COM 014339105 6594 396013 SH SOLE 396013 0 0 APPLIED GENETIC TECHNOL CORP COM 03820J100 2627 359860 SH SOLE 359860 0 0 APTINYX INC COM 03836N103 420 14500 SH SOLE 14500 0 0 ARDELYX INC COM 039697107 2057 472859 SH SOLE 472859 0 0 ARENA PHARMACEUTICALS INC COM NEW 040047607 4535 98547 SH SOLE 98547 0 0 ARGENX SE SPONSORED ADR 04016X101 4877 64300 SH SOLE 64300 0 0 ARQULE INC COM 04269E107 2534 447664 SH SOLE 447664 0 0 ASCENDIS PHARMA A S SPONSORED ADR 04351P101 5473 77242 SH SOLE 77242 0 0 ASSEMBLY BIOSCIENCES INC COM 045396108 396 10673 SH SOLE 10673 0 0 ATRICURE INC COM 04963C209 10289 293729 SH SOLE 293729 0 0 BELLICUM PHARMACEUTICALS INC COM 079481107 185 30000 SH SOLE 30000 0 0 BIOCRYST PHARMACEUTICALS INC COM 09058V103 4975 652086 SH SOLE 652086 0 0 BIOHAVEN PHARMACEUTICALS HOLD COM G11196105 1127 30000 SH SOLE 30000 0 0 BIOTELEMETRY INC COM 090672106 3016 46800 SH SOLE 46800 0 0 BIOTIME INC COM 09066L105 235 100000 SH SOLE 100000 0 0 BLUEBIRD BIO INC COM 09609G100 2993 20500 SH SOLE 20500 0 0 BLUEPRINT MEDICINES CORP COM 09627Y109 7235 92691 SH SOLE 92691 0 0 CARA THERAPEUTICS INC COM 140755109 2702 112811 SH SOLE 112811 0 0 CARDIOVASCULAR SYSTEMS INC COM 141619106 2200 56200 SH SOLE 56200 0 0 CIDARA THERAPEUTICS INC COM 171757107 936 212766 SH SOLE 212766 0 0 CYMABAY THERAPEUTICS INC COM 23257D103 3263 294511 SH SOLE 294511 0 0 CYTOKINETICS INC COM NEW 23282W605 617 62690 SH SOLE 62690 0 0 DERMIRA INC COM 24983L104 55 5000 SH SOLE 5000 0 0 DEXCOM INC COM 252131107 5292 37000 SH SOLE 37000 0 0 DEXCOM INC NOTE 0.750% 5/1 252131AF4 383 250000 PRN SOLE 250000 0 0 DICERNA PHARMACEUTICALS INC COM 253031108 1808 118500 SH SOLE 118500 0 0 FOAMIX PHARMACEUTICALS LTD SHS M46135105 4630 808000 SH SOLE 808000 0 0 GALAPAGOS NV SPON ADR 36315X101 4453 39609 SH SOLE 39609 0 0 IMMUNE DESIGN CORP COM 45252L103 1133 328500 SH SOLE 328500 0 0 IMMUNOMEDICS INC COM 452907108 3708 178000 SH SOLE 178000 0 0 INCYTE CORP COM 45337C102 1485 21500 SH SOLE 21500 0 0 INSULET CORP NOTE 1.375% 45784PAG6 1909 1500000 PRN SOLE 1500000 0 0 INTEC PHARMA LTD JERUSALEM SHS M53644106 3034 537000 SH SOLE 537000 0 0 ISHARES TR NASDAQ BIOTECH ETF 464287556 3183 26100 SH SOLE 26100 0 0 JOHNSON AND JOHNSON COM 478160104 1299 9400 SH SOLE 9400 0 0 KADMON HOLDINGS INC COM 48283N106 210 63000 SH SOLE 63000 0 0 KALVISTA PHARMACEUTICALS INC COM 483497103 392 17725 SH SOLE 17725 0 0 KURA ONCOLOGY INC COM 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HEALTH INC COM NEW 750469207 365 20500 SH SOLE 20500 0 0 RADIUS HEALTH INC NOTE 3.000% 9/0 750469AA6 3080 4000000 PRN SOLE 4000000 0 0 RIGEL PHARMACEUTICALS INC COM NEW 766559603 442 137600 SH SOLE 137600 0 0 SAGE THERAPEUTICS INC COM 78667J108 14027 99306 SH SOLE 99306 0 0 SCYNEXIS INC COM 811292101 1528 1272927 SH SOLE 1272927 0 0 SOL GEL TECHNOLOGIES LTD SHS M8694L103 263 35000 SH SOLE 35000 0 0 SPERO THERAPEUTICS INC COM 84833T103 736 70000 SH SOLE 70000 0 0 STEREOTAXIS INC COM 85916J409 16553 13680554 SH SOLE 13680554 0 0 SUNESIS PHARMACEUTICALS INC COM PAR 867328700 747 373702 SH SOLE 373702 0 0 SUTRO BIOPHARMA INC COM 869367102 412 27494 SH SOLE 27494 0 0 TRANSLATE BIO INC COM 89374L104 1517 151739 SH SOLE 151739 0 0 UROGEN PHARMA LTD COM M96088105 708 15000 SH SOLE 15000 0 0 VBI VACCINES INC COM NEW 91822J103 2262 934691 SH SOLE 934691 0 0 WAVE LIFE SCIENCES LTD SHS Y95308105 2395 47900 SH SOLE 47900 0 0 XENON PHARMACEUTICALS INC COM 98420N105 3137 237683 SH SOLE 237683 0 0 ZAFGEN INC COM 98885E103 1003 85842 SH SOLE 85842 0 0 ZOGENIX INC COM NEW 98978L204 6858 138264 SH SOLE 138264 0 0