DAFNA Capital Management LLC Diversified Active

CIK: 0001389933 · Show all filings

Period: Q1 2014 (← Previous) (Next →)

Filing Date: May 15, 2014

Total Value ($000): $116,350 (94.9% shares, 5.1% debt)

Holdings (46)

— DISCOVERY LABORATORIES INC 10.5%

Value ($000) $12,252 Shares 5,698,739 Est. Cost $2.01 Unrealized —

— PHARMACYCLICS INC 9.5%

Value ($000) $11,087 Shares 110,628 Est. Cost $81.39 Unrealized —

ATRC ATRICURE INC 9.2%

Value ($000) $10,740 Shares 570,987 Est. Cost $11.07 Unrealized +85.1%

— AMPIO PHARMACEUTICALS INC 8.9%

Value ($000) $10,323 Shares 1,625,703 Est. Cost $6.65 Unrealized —

— NOVADAQ TECHNOLOGIES INC 5.0%

Value ($000) $5,872 Shares 263,541 Est. Cost $13.46 Unrealized —

STXS STEREOTAXIS INC 5.0%

Value ($000) $5,871 Shares 1,381,460 Est. Cost $2.92 Unrealized +66.7%

— PROTALIX BIOTHERAPEUTICS INC 4.6%

Value ($000) $5,397 Shares 1,178,440 Est. Cost $4.81 Unrealized —

PODD INSULET CORP 4.5%

Value ($000) $5,189 Shares 109,418 Est. Cost $28.33 Unrealized +56.1%

— NXSTAGE MEDICAL INC 4.2%

Value ($000) $4,894 Shares 384,154 Est. Cost $12.81 Unrealized —

— DERMA SCIENCES INC 4.2%

Value ($000) $4,879 Shares 384,794 Est. Cost $12.78 Unrealized —

— INSULET CORP 4.1%

Value ($000) $4,752 Shares 2,625,000 Est. Cost $1.30 Unrealized —

— BIOTA PHARMACEUTICALS INC 3.8%

Value ($000) $4,459 Shares 729,781 Est. Cost $5.25 Unrealized —

— MERRIMACK PHARMACEUTICALS IN 2.2%

Value ($000) $2,595 Shares 514,853 Est. Cost $4.69 Unrealized —

— GALMED PHARMACEUTICALS LTD 2.0%

Value ($000) $2,318 Shares 202,100 Est. Cost $11.47 Unrealized —

— BIOTELEMETRY INC 1.9%

Value ($000) $2,176 Shares 215,645 Est. Cost $9.91 Unrealized —

— BIOSPECIFICS TECHNOLOGIES 1.6%

Value ($000) $1,817 Shares 70,088 Est. Cost $18.30 Unrealized —

— KERYX BIOPHARMACEUTICALS 1.5%

Value ($000) $1,704 Shares 100,000 Est. Cost $12.83 Unrealized —

— THRESHOLD PHARMACEUTICAL INC 1.1%

Value ($000) $1,288 Shares 270,500 Est. Cost $4.67 Unrealized —

— SPECTRANETICS CORP 1.1%

Value ($000) $1,278 Shares 42,162 Est. Cost $18.68 Unrealized —

— NUVASIVE INC 1.0%

Value ($000) $1,194 Shares 1,000,000 Est. Cost $0.99 Unrealized —

— XENOPORT INC 1.0%

Value ($000) $1,138 Shares 220,190 Est. Cost $4.99 Unrealized —

— SYNERON MEDICAL LTD 1.0%

Value ($000) $1,132 Shares 90,947 Est. Cost $8.70 Unrealized —

— CARDICA INC 0.9%

Value ($000) $1,055 Shares 1,053,704 Est. Cost $1.11 Unrealized —

— UROPLASTY INC 0.9%

Value ($000) $1,050 Shares 289,332 Est. Cost $2.07 Unrealized —

— CUTERA INC 0.9%

Value ($000) $992 Shares 88,694 Est. Cost $8.81 Unrealized —

JNJ JOHNSON AND JOHNSON 0.8%

Value ($000) $923 Shares 9,400 Est. Cost $59.66 Unrealized +11.7%

— INSPIREMD INC 0.8%

Value ($000) $875 Shares 286,724 Est. Cost $2.21 Unrealized —

— CLOVIS ONCOLOGY INC 0.8%

Value ($000) $873 Shares 12,600 Est. Cost $60.24 Unrealized —

— ADAMIS PHARMACEUTICALS CORP 0.7%

Value ($000) $795 Shares 125,000 Est. Cost $6.39 Unrealized —

— CYTRX CORP 0.7%

Value ($000) $785 Shares 225,000 Est. Cost $3.49 Unrealized —

— EXACTECH INC 0.6%

Value ($000) $713 Shares 31,636 Est. Cost $19.74 Unrealized —

— IMMUNOCELLULAR THERAPEUTICS 0.6%

Value ($000) $691 Shares 566,680 Est. Cost $1.22 Unrealized —

— RTI SURGICAL INC 0.6%

Value ($000) $682 Shares 167,058 Est. Cost $3.76 Unrealized —

— OCERA THERAPEUTICS INC 0.6%

Value ($000) $667 Shares 63,223 Est. Cost $12.42 Unrealized —

— INTERCEPT PHARMACEUTICALS IN 0.6%

Value ($000) $660 Shares 2,000 Est. Cost $44.80 Unrealized —

— LPATH INC 0.4%

Value ($000) $499 Shares 105,000 Est. Cost $4.75 Unrealized —

MASI MASIMO CORPORATION 0.4%

Value ($000) $478 Shares 17,500 Est. Cost $21.04 Unrealized +35.6%

— CURIS INC 0.4%

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

— AVEO PHARMACEUTICALS INC 0.3%

Value ($000) $391 Shares 261,507 Est. Cost $1.50 Unrealized —

— CELSUS THERAPEUTICS PLC 0.2%

Value ($000) $285 Shares 43,900 Est. Cost $6.49 Unrealized —

— GENVEC INC 0.2%

Value ($000) $265 Shares 100,000 Est. Cost $2.65 Unrealized —

— TONIX PHARMACEUTICALS HLDG C 0.2%

Value ($000) $260 Shares 25,000 Est. Cost $10.40 Unrealized —

— VENAXIS INC 0.2%

Value ($000) $192 Shares 73,000 Est. Cost $1.20 Unrealized —

— CHEMBIO DIAGNOSTICS INC 0.2%

Value ($000) $190 Shares 55,202 Est. Cost $3.37 Unrealized —

— ALCOBRA LTD 0.2%

Value ($000) $175 Shares 9,621 Est. Cost $18.19 Unrealized —

RVP RETRACTABLE TECHNOLOGIES INC 0.1%

Value ($000) $76 Shares 20,000 Est. Cost $2.79 Unrealized +28.1%

Ticker	Issuer	Shares	Value ($000)	%	Est. Cost	Unrealized	Class	CUSIP
—	DISCOVERY LABORATORIES INC	5,698,739	$12,252	10.5%	$2.01	—	COM NEW	254668403
—	PHARMACYCLICS INC	110,628	$11,087	9.5%	$81.39	—	COM	716933106
ATRC	ATRICURE INC	570,987	$10,740	9.2%	$11.07	+85.1%	COM	04963C209
—	AMPIO PHARMACEUTICALS INC	1,625,703	$10,323	8.9%	$6.65	—	COM	03209T109
—	NOVADAQ TECHNOLOGIES INC	263,541	$5,872	5.0%	$13.46	—	COM	66987G102
STXS	STEREOTAXIS INC	1,381,460	$5,871	5.0%	$2.92	+66.7%	COM NEW	85916J409
—	PROTALIX BIOTHERAPEUTICS INC	1,178,440	$5,397	4.6%	$4.81	—	COM	74365A101
PODD	INSULET CORP	109,418	$5,189	4.5%	$28.33	+56.1%	COM	45784P101
—	NXSTAGE MEDICAL INC	384,154	$4,894	4.2%	$12.81	—	COM	67072V103
—	DERMA SCIENCES INC	384,794	$4,879	4.2%	$12.78	—	COM PAR $.01	249827502
—	INSULET CORP	2,625,000	$4,752	4.1%	$1.30	—	NOTE 3.750% 6/1	45784PAC5
—	BIOTA PHARMACEUTICALS INC	729,781	$4,459	3.8%	$5.25	—	COM	090694100
—	MERRIMACK PHARMACEUTICALS IN	514,853	$2,595	2.2%	$4.69	—	COM	590328100
—	GALMED PHARMACEUTICALS LTD	202,100	$2,318	2.0%	$11.47	—	SHS	M47238106
—	BIOTELEMETRY INC	215,645	$2,176	1.9%	$9.91	—	COM	090672106
—	BIOSPECIFICS TECHNOLOGIES	70,088	$1,817	1.6%	$18.30	—	COM	090931106
—	KERYX BIOPHARMACEUTICALS	100,000	$1,704	1.5%	$12.83	—	COM	492515101
—	THRESHOLD PHARMACEUTICAL INC	270,500	$1,288	1.1%	$4.67	—	COM NEW	885807206
—	SPECTRANETICS CORP	42,162	$1,278	1.1%	$18.68	—	COM	84760C107
—	NUVASIVE INC	1,000,000	$1,194	1.0%	$0.99	—	NOTE 2.750% 7/0	670704AC9
—	XENOPORT INC	220,190	$1,138	1.0%	$4.99	—	COM	98411C100
—	SYNERON MEDICAL LTD	90,947	$1,132	1.0%	$8.70	—	ORD SHS	M87245102
—	CARDICA INC	1,053,704	$1,055	0.9%	$1.11	—	COM	14141R101
—	UROPLASTY INC	289,332	$1,050	0.9%	$2.07	—	COM NEW	917277204
—	CUTERA INC	88,694	$992	0.9%	$8.81	—	COM	232109108
JNJ	JOHNSON AND JOHNSON	9,400	$923	0.8%	$59.66	+11.7%	COM	478160104
—	INSPIREMD INC	286,724	$875	0.8%	$2.21	—	COM NEW	45779A309
—	CLOVIS ONCOLOGY INC	12,600	$873	0.8%	$60.24	—	COM	189464100
—	ADAMIS PHARMACEUTICALS CORP	125,000	$795	0.7%	$6.39	—	COM NEW	00547W208
—	CYTRX CORP	225,000	$785	0.7%	$3.49	—	COM PAR $.001	232828509
—	EXACTECH INC	31,636	$713	0.6%	$19.74	—	COM	30064E109
—	IMMUNOCELLULAR THERAPEUTICS	566,680	$691	0.6%	$1.22	—	COM	452536105
—	RTI SURGICAL INC	167,058	$682	0.6%	$3.76	—	COM	74975N105
—	OCERA THERAPEUTICS INC	63,223	$667	0.6%	$12.42	—	COM	67552A108
—	INTERCEPT PHARMACEUTICALS IN	2,000	$660	0.6%	$44.80	—	COM	45845P108
—	LPATH INC	105,000	$499	0.4%	$4.75	—	COM NEW	548910306
MASI	MASIMO CORPORATION	17,500	$478	0.4%	$21.04	+35.6%	COM	574795100
—	CURIS INC	150,000	$423	0.4%	$3.19	—	COM	231269101
—	AVEO PHARMACEUTICALS INC	261,507	$391	0.3%	$1.50	—	COM	053588109
—	CELSUS THERAPEUTICS PLC	43,900	$285	0.2%	$6.49	—	SPONSORED ADR NE	15119A202
—	GENVEC INC	100,000	$265	0.2%	$2.65	—	COM NEW	37246C307
—	TONIX PHARMACEUTICALS HLDG C	25,000	$260	0.2%	$10.40	—	COM NEW	890260201
—	VENAXIS INC	73,000	$192	0.2%	$1.20	—	COM	92262A107
—	CHEMBIO DIAGNOSTICS INC	55,202	$190	0.2%	$3.37	—	COM NEW	163572209
—	ALCOBRA LTD	9,621	$175	0.2%	$18.19	—	SHS	M2239P109
RVP	RETRACTABLE TECHNOLOGIES INC	20,000	$76	0.1%	$2.79	+28.1%	COM	76129W105