-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, Ht5MrOwxdVU5okB7m2c/MBw3cvnYSYy2w0Bbp7T/IfIEF44ywoA9sdzpDe3gV0Hd XeZ4w9JBpo+XmhHsqjWFCw== 0001116679-07-002926.txt : 20071109 0001116679-07-002926.hdr.sgml : 20071109 20071109112430 ACCESSION NUMBER: 0001116679-07-002926 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20070930 FILED AS OF DATE: 20071109 DATE AS OF CHANGE: 20071109 EFFECTIVENESS DATE: 20071109 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: 071229094 BUSINESS ADDRESS: STREET 1: 10990 WILSHIRE BOULEVARD STREET 2: SUITE 1400 CITY: LOS ANGELES STATE: CA ZIP: 90024 BUSINESS PHONE: (310) 724-5800 MAIL ADDRESS: STREET 1: 10990 WILSHIRE BOULEVARD STREET 2: SUITE 1400 CITY: LOS ANGELES STATE: CA ZIP: 90024 13F-HR 1 dafna13f-110907.txt UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 13F FORM 13F COVER PAGE Report for the Calendar Year or Quarter Ended: September 30, 2007 --------------------------------- Check here if Amendment |_|; Amendment Number: ----------- This Amendment (Check only one.): |_| is a restatement. |_| adds new holdings entries. Institutional Investment Manager Filing this Report: Name: DAFNA Capital Management, LLC ------------------------------------------------- Address: 10990 Wilshire Boulevard, Suite 1400 ------------------------------------------------- Los Angeles, CA 90024 ------------------------------------------------- ------------------------------------------------- Form 13F File Number: 28 - 12327 -------------------- The institutional investment manager filing this report and the person by whom it is signed hereby represent that the person signing the report is authorized to submit it, that all information contained herein is true, correct and complete, and that it is understood that all required items, statements, schedules, lists, and tables, are considered integral parts of this form. Person Signing this Report on Behalf of Reporting Manager: Name: Mandana Hedayat, CFA ----------------------------------------------- Title: CCO ----------------------------------------------- Phone: (310) 724-5800 ----------------------------------------------- Signature, Place, and Date of Signing: Mandana Hedayat Los Angeles, CA 11/08/2007 - ------------------------- ---------------------------- -------------------- [Signature] [City, State] [Date] Report Type (Check only one): |X| 13F HOLDINGS REPORT. (Check here if all holdings of this reporting manager are reported in this report.) |_| 13F NOTICE. (Check here if no holdings reported are in this report, and all holdings are reported by other reporting manager(s).) |_| 13F COMBINATION REPORT. (Check here if a portion of the holdings for this reporting manager are reported in this report and a portion are reported by other reporting manager(s).) List of Other Managers Reporting for this Manager: [If there are no entries in this list, omit this section.] Form 13F File Number Name 28 - ---------------------- --------------------------------------- [Repeat as necessary.] Persons who respond to the collection of information SEC 1685 (3-01) contained in this form are not required to respond unless the form displays a currently valid OMB control number. FORM 13F SUMMARY PAGE Report Summary: Number of Other Included Managers: 1 --------------------- Form 13F Information Table Entry Total: 30 --------------------- Form 13F Information Table Value Total: 96,399 --------------------- (thousands) List of Other Included Managers: Provide a numbered list of the name(s) and Form 13F file number(s) of all institutional investment managers with respect to which this report is filed, other than the manager filing this report. [If there are no entries in this list, state "NONE" and omit the column headings and list entries.] No. Form 13F File Number Name 1 28 - 12328 Nathan Fischel -------- --------------------- -------------------------------- [Repeat as necessary.] 2
- --------------------------------- -------- ---------- -------- --------------------- ------------------- ------------------------- Column 1 Column Column Column Column Column Column Column 8 2 3 4 5 6 7 - --------------------------------- -------- ---------- -------- --------------------- ------------------- ------------------------- Voting Authority - --------------------------------- -------- ---------- -------- --------------------- ---------- -------- ------------------------- TITLE OF VALUE SHRS OR SH/ PUT/ INVESTMENT OTHER SOLE SHARED NONE NAME OF ISSUER CLASS CUSIP (x$1000) PRN AMT PRN CALL DISCRETION MANAGERS - --------------------------------- -------- ---------- -------- ----------- ---- ---- ---------- -------- --------- ------- ------- ALLOS THERAPEUTICS INC COM 019777101 806 169,659 SH Sole 169,659 ALTUS PHARMACEUTICALS INC COM 02216N105 763 72,744 SH Sole 72,744 ARQULE INC COM 04269E107 2,518 353,189 SH Sole 353,189 ARRAY BIOPHARMA INC COM 04269X105 3,450 307,200 SH Sole 307,200 AVALON PHARMA INC COM 05346P106 570 100,000 SH Sole 100,000 BIODEL INC COM 09064M105 6,422 376,878 SH Sole 376,878 CARDIOME PHARMA CORP COM 14159U202 3,677 389,461 SH Sole 389,461 CELGENE CORP COM 151020104 3,566 50,000 SH CALL Sole 50,000 CORTEX PHARMACEUTICALS INC COM 220524300 418 250,000 SH Sole 250,000 CYTOKINETICS INC COM 23282W100 4,276 835,189 SH Sole 835,189 GERON CORP COM 374163103 1,581 216,000 SH Sole 216,000 GILEAD SCIENCES INC COM 375558103 3,521 86,140 SH Sole 86,140 IDM PHARMA INC COM 449394105 522 341,478 SH Sole 341,478 INDEVUS PHARMACEUTICALS INC COM 454072109 2,447 354,100 SH Sole 354,100 INTERMUNE PHARMACEUTICALS INC COM 45884X103 4,798 250,800 SH Sole 250,800 INTROGEN THERAPEUTICS INC COM 46119F107 1,397 335,016 SH Sole 335,016 ISIS PHARMACEUTICALS INC COM 464330109 17,677 1,180,827 SH Sole 1,180,827 MONOGRAM BIOSCIENCES INC COM 60975U108 2,402 1,679,911 SH Sole 1,679,911 NEURO HITECH PHARMECEUTICALS INC COM 641244108 258 48,780 SH Sole 48,780 NEUROGEN CORP COM 64124E106 163 36,800 SH Sole 36,800 PONIARD PHARMACEUTICALS INC COM 732449301 284 50,000 SH Sole 50,000 POZEN INC COM 73941U102 6,238 564,000 SH Sole 564,000 RIGEL PHARMACEUTICALS INC COM 766559603 1,314 139,300 SH Sole 139,300 SAVIENT PHARMACEUTICALS COM 80517Q100 9,806 673,951 SH Sole 673,951 SEATTLE GENETICS INC COM 812578102 2,528 224,947 SH Sole 224,947 SGX PHARMACEUTICALS INC COM 78423C108 576 93,727 SH Sole 93,727 SOMAXON PHARMACEUTICALS INC COM 834453102 4,786 470,593 SH Sole 470,593 TORREYPINES THERAPEUTICS INC COM 89235K105 1,531 253,115 SH Sole 253,115 UNITED THERAPEUTICS CORP DEL COM 91307C102 6,621 99,500 SH Sole 99,500 VANDA PHARMACEUTICALS INC COM 921659108 1,483 106,600 SH Sole 106,600
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