0001389933-21-000011.txt : 20211115
0001389933-21-000011.hdr.sgml : 20211115
20211115135217
ACCESSION NUMBER: 0001389933-21-000011
CONFORMED SUBMISSION TYPE: 13F-HR
PUBLIC DOCUMENT COUNT: 2
CONFORMED PERIOD OF REPORT: 20210930
FILED AS OF DATE: 20211115
DATE AS OF CHANGE: 20211115
EFFECTIVENESS DATE: 20211115
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: 211408863
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
09-30-2021
09-30-2021
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
Los Angeles
CA
11-15-2021
1
80
376924
false
1
0001389932
028-12328
Fischel Nathan
INFORMATION TABLE
2
DAFNAInfoTable.xml
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COM
282559103
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126652
SH
SOLE
126652
0
0
ACCURAY INC
COM
004397105
3720
941800
SH
SOLE
941800
0
0
ADICET BIO INC
COM
007002108
2950
376281
SH
SOLE
376281
0
0
AERIE PHARMACEUTICALS INC
COM
00771V108
3295
289040
SH
SOLE
289040
0
0
AERIE PHARMACEUTICALS INC
NOTE 1.500%10/0
00771VAB4
1375
1500000
PRN
SOLE
1500000
0
0
AFFIMED N V
COM
N01045108
5963
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SH
SOLE
964857
0
0
ALECTOR INC
COM
014442107
2451
107412
SH
SOLE
107412
0
0
ALPINE IMMUNE SCIENCES INC
COM
02083G100
1190
111501
SH
SOLE
111501
0
0
ANNEXON INC
COM
03589W102
434
23296
SH
SOLE
23296
0
0
ARCUS BIOSCIENCES INC
COM
03969F109
4313
123700
SH
SOLE
123700
0
0
ARENA PHARMACEUTICALS INC
COM NEW
040047607
7123
119615
SH
SOLE
119615
0
0
ASLAN PHARMACEUTICALS LTD
ADS
04522R101
1304
732500
SH
SOLE
732500
0
0
ATHIRA PHARMA INC
COM
04746L104
1510
160983
SH
SOLE
160983
0
0
ATRICURE INC
COM
04963C209
5010
72029
SH
SOLE
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0
0
BIOHAVEN PHARMACTL HLDG CO L
COM
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12238
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0
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BLUEPRINT MEDICINES CORP
COM
09627Y109
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SOLE
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BOLT BIOTHERAPEUTICS INC
COM
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1265
100000
SH
SOLE
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0
0
BRAINWAY LTD
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10501L106
1612
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SOLE
200000
0
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CARDIOVASCULAR SYS INC
COM
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6361
193741
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SOLE
193741
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CENTURY THERAPEUTICS INC
COM
15673T100
2013
80000
SH
SOLE
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0
0
COGENT BIOSCIENCES INC
COM
19240Q201
1880
223554
SH
SOLE
223554
0
0
COMPUGEN LTD
ORD
M25722105
1203
201502
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SOLE
201502
0
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CYMABAY THERAPEUTICS INC
COM
23257D103
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524286
SH
SOLE
524286
0
0
CYTOKINETICS INC
COM NEW
23282W605
6255
175000
SH
SOLE
175000
0
0
DEXCOM INC
COM
252131107
11560
21138
SH
SOLE
21138
0
0
DICERNA PHARMACEUTICALS INC
COM
253031108
11843
587456
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SOLE
587456
0
0
FATE THERAPEUTICS INC
COM
31189P102
20410
344360
SH
SOLE
344360
0
0
FIELD TRIP HEALTH LTD
COM
31656R102
1565
340900
SH
SOLE
340900
0
0
FS DEVELOPMENT CORP II
COM CL A
30318F100
2985
299950
SH
SOLE
299950
0
0
F-STAR THERAPEUTICS INC
COM
30315R107
5079
693785
SH
SOLE
693785
0
0
GALAPAGOS NV
SPON ADR
36315X101
4086
77675
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SOLE
77675
0
0
GENFIT S A
ADS
372279109
698
188549
SH
SOLE
188549
0
0
HARPOON THERAPEUTICS INC
COM
41358P106
831
105163
SH
SOLE
105163
0
0
HOOKIPA PHARMA INC
COM
43906K100
1897
322124
SH
SOLE
322124
0
0
IDEAYA BIOSCIENCES INC
COM
45166A102
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SOLE
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INFINITY PHARMACEUTICALS INC
COM
45665G303
808
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SH
SOLE
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0
0
INFLARX NV
COM
N44821101
1554
600000
SH
SOLE
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INOGEN INC
COM
45780L104
646
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SOLE
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0
0
ISHARES TR NASDAQ BIOTECH
ETF
464287556
6613
40900
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SOLE
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0
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ITEOS THERAPEUTICS INC
COM
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2243
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SH
SOLE
83061
0
0
IVERIC BIO INC
COM
46583P102
3514
216351
SH
SOLE
216351
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0
KADMON HLDGS INC
COM
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SH
SOLE
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0
0
KALVISTA PHARMACEUTICALS INC
COM
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3301
189163
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SOLE
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KARUNA THERAPEUTICS INC
COM
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9124
74585
SH
SOLE
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0
0
KINNATE BIOPHARMA INC
COM
49705R105
2451
106453
SH
SOLE
106453
0
0
KURA ONCOLOGY INC
COM
50127T109
1889
100829
SH
SOLE
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0
0
LARIMAR THERAPEUTICS INC
COM
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64487
SH
SOLE
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LAVA THERAPEUTICS NV
SHS
N51517105
825
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SH
SOLE
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MACROGENICS INC
COM
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SH
SOLE
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0
0
MADRIGAL PHARMACEUTICALS INC
COM
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447
5600
SH
SOLE
5600
0
0
MASIMO CORP
COM
574795100
812
3000
SH
SOLE
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0
0
MEI PHARMA INC
COM NEW
55279B202
1769
641000
SH
SOLE
641000
0
0
MEREO BIOPHARMA GROUP PLC
ADS
589492107
2726
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SH
SOLE
1126613
0
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MERSANA THERAPEUTICS INC
COM
59045L106
1323
140263
SH
SOLE
140263
0
0
MERUS N V
COM
N5749R100
2903
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SH
SOLE
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0
MORPHIC HLDG INC
COM
61775R105
10278
181467
SH
SOLE
181467
0
0
NATUS MED INC
COM
639050103
2399
95653
SH
SOLE
95653
0
0
NEUROCRINE BIOSCIENCES INC
COM
64125C109
8119
84655
SH
SOLE
84655
0
0
NEURONETICS INC
COM
64131A105
2058
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SH
SOLE
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0
0
NEXTCURE INC
COM
65343E108
1237
183491
SH
SOLE
183491
0
0
NGM BIOPHARMACEUTICALS INC
COM
62921N105
1376
65485
SH
SOLE
65485
0
0
NURIX THERAPEUTICS INC
COM
67080M103
9177
306320
SH
SOLE
306320
0
0
OTONOMY INC
COM
68906L105
4568
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SH
SOLE
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0
0
PHARVARIS N V
COM
N69605108
622
35074
SH
SOLE
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0
0
PHASEBIO PHARMACEUTICALS INC
COM
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1875
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SH
SOLE
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0
0
PROQR THERAPEUTICS N V
SHS EURO
N71542109
2481
296383
SH
SOLE
296383
0
0
RADIUS HEALTH INC
COM NEW
750469207
180
14500
SH
SOLE
14500
0
0
RADIUS HEALTH INC
NOTE 3.000% 9/0
750469AA6
3630
4000000
PRN
SOLE
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0
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REVOLUTION MEDICINES INC
COM
76155X100
5770
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SH
SOLE
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0
0
RIGEL PHARMACEUTICALS INC
COM NEW
766559603
2937
809000
SH
SOLE
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0
0
SAGE THERAPEUTICS INC
COM
78667J108
7989
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SOLE
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0
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STEREOTAXIS INC
COM NEW
85916J409
73601
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SH
SOLE
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0
SURGALIGN HOLDINGS INC
COM
86882C105
632
579710
SH
SOLE
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0
0
SUTRO BIOPHARMA INC
COM
869367102
1606
85000
SH
SOLE
85000
0
0
SYNDAX PHARMACEUTICALS INC
COM
87164F105
1542
80702
SH
SOLE
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0
0
TURNING POINT THERAPEUTICS I
COM
90041T108
2787
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SH
SOLE
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0
0
VASCULAR BIOGENICS LTD
COM
M96883109
113
55000
SH
SOLE
55000
0
0
VENUS CONCEPT INC
COM
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2794
1113228
SH
SOLE
1113228
0
0
VIKING THERAPEUTICS INC
COM
92686J106
2810
447400
SH
SOLE
447400
0
0
XENON PHARMACEUTICALS INC
COM
98420N105
6212
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SH
SOLE
406535
0
0