DAFNA Capital Management LLC Diversified Active

Location: Los Angeles, CA

CIK: 0001389933 · Show all filings

Period: Q4 2013 (← Previous) (Next →)

Filing Date: Feb 14, 2014

Total Value: $97.16M (94.4% shares, 5.6% debt)

Holdings (47)

— DISCOVERY LABORATORIES INC 13.2%

Value $12.82M Shares 5,698,739 Est. Cost $2.01 Unrealized —

— PHARMACYCLICS INC 11.8%

Value $11.49M Shares 108,628 Est. Cost $81.04 Unrealized —

ATRC ATRICURE INC 8.8%

Value $8.531M Shares 456,701 Est. Cost $8.71 Unrealized +66.9%

STXS STEREOTAXIS INC 6.5%

Value $6.293M Shares 1,738,498 Est. Cost $2.92 Unrealized +20.1%

— GIVEN IMAGING 4.8%

Value $4.702M Shares 156,320 Est. Cost $14.01 Unrealized —

— NOVADAQ TECHNOLOGIES INC 4.8%

Value $4.684M Shares 284,041 Est. Cost $13.46 Unrealized —

— PROTALIX BIOTHERAPEUTICS INC 4.7%

Value $4.584M Shares 1,178,440 Est. Cost $4.81 Unrealized —

PODD INSULET CORP 4.6%

Value $4.507M Shares 121,481 Est. Cost $28.33 Unrealized +30.4%

— INSULET CORP 4.5%

Value $4.37M Shares 3,000,000 Est. Cost $1.30 Unrealized —

— NXSTAGE MEDICAL INC 4.0%

Value $3.842M Shares 384,154 Est. Cost $12.81 Unrealized —

— AMPIO PHARMACEUTICALS INC 3.1%

Value $3.035M Shares 425,703 Est. Cost $7.50 Unrealized —

— MERRIMACK PHARMACEUTICALS IN 1.9%

Value $1.826M Shares 342,453 Est. Cost $4.52 Unrealized —

— BIOTELEMETRY INC 1.8%

Value $1.712M Shares 215,645 Est. Cost $9.91 Unrealized —

— BIOTA PHARMACEUTICALS INC 1.4%

Value $1.371M Shares 327,190 Est. Cost $4.18 Unrealized —

— THRESHOLD PHARMACEUTICAL INC 1.3%

Value $1.31M Shares 280,500 Est. Cost $4.67 Unrealized —

— SPECTRANETICS CORP 1.3%

Value $1.309M Shares 52,362 Est. Cost $18.68 Unrealized —

— VENAXIS INC 1.3%

Value $1.263M Shares 590,000 Est. Cost $1.20 Unrealized —

— BIOSPECIFICS TECHNOLOGIES 1.2%

Value $1.12M Shares 51,692 Est. Cost $15.59 Unrealized —

— SYNERON MEDICAL LTD 1.2%

Value $1.119M Shares 90,947 Est. Cost $8.70 Unrealized —

— NUVASIVE INC 1.1%

Value $1.092M Shares 1,000,000 Est. Cost $0.99 Unrealized —

— CARDICA INC 1.1%

Value $1.037M Shares 1,063,469 Est. Cost $1.11 Unrealized —

— XENOPORT INC 1.0%

Value $1.02M Shares 177,362 Est. Cost $4.95 Unrealized —

— ONCOGENEX PHARMACEUTICAL INC 1.0%

Value $928K Shares 111,245 Est. Cost $8.34 Unrealized —

— CUTERA INC 0.9%

Value $903K Shares 88,694 Est. Cost $8.81 Unrealized —

— CONATUS PHARMACEUTICALS INC 0.9%

Value $875K Shares 135,666 Est. Cost $9.52 Unrealized —

JNJ JOHNSON AND JOHNSON 0.9%

Value $861K Shares 9,400 Est. Cost $59.66 Unrealized +10.2%

— OCERA THERAPEUTICS INC 0.8%

Value $821K Shares 63,223 Est. Cost $12.42 Unrealized —

— ADAMIS PHARMACEUTICALS CORP 0.8%

Value $799K Shares 125,000 Est. Cost $6.39 Unrealized —

— UROPLASTY INC 0.8%

Value $790K Shares 289,332 Est. Cost $2.07 Unrealized —

— CLOVIS ONCOLOGY INC 0.8%

Value $759K Shares 12,600 Est. Cost $60.24 Unrealized —

— EXACTECH INC 0.8%

Value $752K Shares 31,636 Est. Cost $19.74 Unrealized —

— INSPIREMD INC 0.7%

Value $705K Shares 286,724 Est. Cost $2.21 Unrealized —

— INTERCEPT PHARMACEUTICALS IN 0.7%

Value $655K Shares 9,598 Est. Cost $44.80 Unrealized —

— DERMA SCIENCES INC 0.6%

Value $617K Shares 57,009 Est. Cost $13.35 Unrealized —

— RTI SURGICAL INC 0.6%

Value $591K Shares 167,058 Est. Cost $3.76 Unrealized —

— KERYX BIOPHARMACEUTICALS 0.6%

Value $570K Shares 44,000 Est. Cost $7.47 Unrealized —

— DYAX CORP 0.6%

Value $569K Shares 75,500 Est. Cost $3.46 Unrealized —

— DYNAVAX TECHNOLOGIES CORP 0.6%

Value $568K Shares 290,000 Est. Cost $1.96 Unrealized —

MASI MASIMO CORPORATION 0.5%

Value $512K Shares 17,500 Est. Cost $21.04 Unrealized +33.1%

— CURIS INC 0.4%

Value $423K Shares 150,000 Est. Cost $3.19 Unrealized —

— BAXANO SURGICAL INC 0.3%

Value $340K Shares 336,351 Est. Cost $2.40 Unrealized —

TGTX TG THERAPEUTICS INC 0.3%

Value $293K Shares 75,000 Est. Cost $6.12 Unrealized -33.9%

— SYNTHETIC BIOLOGICS INC 0.3%

Value $283K Shares 184,900 Est. Cost $1.53 Unrealized —

— PALATIN TECHNOLOGIES INC 0.3%

Value $253K Shares 344,690 Est. Cost $0.62 Unrealized —

— CHEMBIO DIAGNOSTICS INC 0.2%

Value $186K Shares 55,202 Est. Cost $3.37 Unrealized —

RVP RETRACTABLE TECHNOLOGIES INC 0.1%

Value $62,000 Shares 20,000 Est. Cost $2.79 Unrealized 0.0%

— COMBIMATRIX CORP 0.0%

Value $1,000 Shares 2,325 Est. Cost $0.43 Unrealized —

Ticker	Issuer	Shares	Value	%	Est. Cost	Unrealized	Class	CUSIP
—	DISCOVERY LABORATORIES INC	5,698,739	$12.82M	13.2%	$2.01	—	COM NEW	254668403
—	PHARMACYCLICS INC	108,628	$11.49M	11.8%	$81.04	—	COM	716933106
ATRC	ATRICURE INC	456,701	$8.531M	8.8%	$8.71	+66.9%	COM	04963C209
STXS	STEREOTAXIS INC	1,738,498	$6.293M	6.5%	$2.92	+20.1%	COM NEW	85916J409
—	GIVEN IMAGING	156,320	$4.702M	4.8%	$14.01	—	ORD SHS	M52020100
—	NOVADAQ TECHNOLOGIES INC	284,041	$4.684M	4.8%	$13.46	—	COM	66987G102
—	PROTALIX BIOTHERAPEUTICS INC	1,178,440	$4.584M	4.7%	$4.81	—	COM	74365A101
PODD	INSULET CORP	121,481	$4.507M	4.6%	$28.33	+30.4%	COM	45784P101
—	INSULET CORP	3,000,000	$4.37M	4.5%	$1.30	—	NOTE 3.750% 6/1	45784PAC5
—	NXSTAGE MEDICAL INC	384,154	$3.842M	4.0%	$12.81	—	COM	67072V103
—	AMPIO PHARMACEUTICALS INC	425,703	$3.035M	3.1%	$7.50	—	COM	03209T109
—	MERRIMACK PHARMACEUTICALS IN	342,453	$1.826M	1.9%	$4.52	—	COM	590328100
—	BIOTELEMETRY INC	215,645	$1.712M	1.8%	$9.91	—	COM	090672106
—	BIOTA PHARMACEUTICALS INC	327,190	$1.371M	1.4%	$4.18	—	COM	090694100
—	THRESHOLD PHARMACEUTICAL INC	280,500	$1.31M	1.3%	$4.67	—	COM NEW	885807206
—	SPECTRANETICS CORP	52,362	$1.309M	1.3%	$18.68	—	COM	84760C107
—	VENAXIS INC	590,000	$1.263M	1.3%	$1.20	—	COM	92262A107
—	BIOSPECIFICS TECHNOLOGIES	51,692	$1.12M	1.2%	$15.59	—	COM	090931106
—	SYNERON MEDICAL LTD	90,947	$1.119M	1.2%	$8.70	—	ORD SHS	M87245102
—	NUVASIVE INC	1,000,000	$1.092M	1.1%	$0.99	—	NOTE 2.750% 7/0	670704AC9
—	CARDICA INC	1,063,469	$1.037M	1.1%	$1.11	—	COM	14141R101
—	XENOPORT INC	177,362	$1.02M	1.0%	$4.95	—	COM	98411C100
—	ONCOGENEX PHARMACEUTICAL INC	111,245	$928K	1.0%	$8.34	—	COM	68230A106
—	CUTERA INC	88,694	$903K	0.9%	$8.81	—	COM	232109108
—	CONATUS PHARMACEUTICALS INC	135,666	$875K	0.9%	$9.52	—	COM	20600T108
JNJ	JOHNSON AND JOHNSON	9,400	$861K	0.9%	$59.66	+10.2%	COM	478160104
—	OCERA THERAPEUTICS INC	63,223	$821K	0.8%	$12.42	—	COM	67552A108
—	ADAMIS PHARMACEUTICALS CORP	125,000	$799K	0.8%	$6.39	—	COM NEW	00547W208
—	UROPLASTY INC	289,332	$790K	0.8%	$2.07	—	COM NEW	917277204
—	CLOVIS ONCOLOGY INC	12,600	$759K	0.8%	$60.24	—	COM	189464100
—	EXACTECH INC	31,636	$752K	0.8%	$19.74	—	COM	30064E109
—	INSPIREMD INC	286,724	$705K	0.7%	$2.21	—	COM NEW	45779A309
—	INTERCEPT PHARMACEUTICALS IN	9,598	$655K	0.7%	$44.80	—	COM	45845P108
—	DERMA SCIENCES INC	57,009	$617K	0.6%	$13.35	—	COM PAR $.01	249827502
—	RTI SURGICAL INC	167,058	$591K	0.6%	$3.76	—	COM	74975N105
—	KERYX BIOPHARMACEUTICALS	44,000	$570K	0.6%	$7.47	—	COM	492515101
—	DYAX CORP	75,500	$569K	0.6%	$3.46	—	COM	26746E103
—	DYNAVAX TECHNOLOGIES CORP	290,000	$568K	0.6%	$1.96	—	COM	268158102
MASI	MASIMO CORPORATION	17,500	$512K	0.5%	$21.04	+33.1%	COM	574795100
—	CURIS INC	150,000	$423K	0.4%	$3.19	—	COM	231269101
—	BAXANO SURGICAL INC	336,351	$340K	0.3%	$2.40	—	COM	071773105
TGTX	TG THERAPEUTICS INC	75,000	$293K	0.3%	$6.12	-33.9%	COM	88322Q108
—	SYNTHETIC BIOLOGICS INC	184,900	$283K	0.3%	$1.53	—	COM	87164U102
—	PALATIN TECHNOLOGIES INC	344,690	$253K	0.3%	$0.62	—	COM PAR $.01	696077403
—	CHEMBIO DIAGNOSTICS INC	55,202	$186K	0.2%	$3.37	—	COM	163572209
RVP	RETRACTABLE TECHNOLOGIES INC	20,000	$62,000	0.1%	$2.79	0.0%	COM	76129W105
—	COMBIMATRIX CORP	2,325	$1,000	0.0%	$0.43	—	*W EXP 05/01/201	20009T121