-----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, JE1n5rZAxi/omLfsVSeOON/I3ytCXKIp1na5R0hK5Jk/xc5/ylu8lsr+y6N0KjtM OVCSYDgLiPVtq5tE7nhIgw== 0001116679-07-001366.txt : 20070509 0001116679-07-001366.hdr.sgml : 20070509 20070509115838 ACCESSION NUMBER: 0001116679-07-001366 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20070331 FILED AS OF DATE: 20070509 DATE AS OF CHANGE: 20070509 EFFECTIVENESS DATE: 20070509 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: 07831145 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.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: March 31, 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 05/04/2007 - ------------------------- ------------------------- -------------------------- [Signature] [City, State] [Date] Report Type (Check only one): |_| 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).) |X| 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 -11137 Millenco, L.L.C. ------------------------ ------------------------------------------ [Repeat as necessary.] FORM 13F SUMMARY PAGE Report Summary: Number of Other Included Managers: 1 ---------------------- Form 13F Information Table Entry Total: 29 ---------------------- Form 13F Information Table Value Total: 74,324 ---------------------- (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.]
- --------------------------------- -------- ---------- -------- --------------------- ------------------- --------------------------- 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 - --------------------------------- -------- ---------- -------- ----------- ---- ---- ---------- -------- --------- -------- -------- ***CARDIOME PHARMA CORP COM 14159U202 6,780 667,977 SH Sole 667,977 - --------------------------------- -------- ---------- -------- ----------- ---- ---- ---------- -------- --------- -------- -------- ***GENTIUM SPA COM 37250B104 512 25,600 SH Sole 25,600 - --------------------------------- -------- ---------- -------- ----------- ---- ---- ---------- -------- --------- -------- -------- ***LABOPHARM INC COM 504905100 2,317 406,440 SH Sole 406,440 - --------------------------------- -------- ---------- -------- ----------- ---- ---- ---------- -------- --------- -------- -------- ***YM BIOSCIENCE INC COM 984238105 195 100,000 SH Sole 100,000 - --------------------------------- -------- ---------- -------- ----------- ---- ---- ---------- -------- --------- -------- -------- ADOLOR CORP COM 00724X102 1,649 188,400 SH Sole 188,400 - --------------------------------- -------- ---------- -------- ----------- ---- ---- ---------- -------- --------- -------- -------- ADVANCED MAGNETICS INC COM 00753P103 6,811 113,000 SH Sole 113,000 - --------------------------------- -------- ---------- -------- ----------- ---- ---- ---------- -------- --------- -------- -------- ALLOS THERAPEUTICS INC COM 019777101 3,600 603,059 SH Sole 603,059 - --------------------------------- -------- ---------- -------- ----------- ---- ---- ---------- -------- --------- -------- -------- APPLERA CORP COM CELERA GENOMICS COM 038020202 1,406 99,000 SH Sole 99,000 - --------------------------------- -------- ---------- -------- ----------- ---- ---- ---------- -------- --------- -------- -------- ARQULE INC COM 04269E107 1,963 263,189 SH Sole 263,189 - --------------------------------- -------- ---------- -------- ----------- ---- ---- ---------- -------- --------- -------- -------- ARRAY BIOPHARMA INC COM 04269X105 3,442 271,000 SH Sole 271,000 - --------------------------------- -------- ---------- -------- ----------- ---- ---- ---------- -------- --------- -------- -------- BIOMIRA INC COM 09161R106 381 330,970 SH Sole 330,970 - --------------------------------- -------- ---------- -------- ----------- ---- ---- ---------- -------- --------- -------- -------- CYCLACEL PHARMACEUTICALS INC COM 23254L108 317 40,949 SH Sole 40,949 - --------------------------------- -------- ---------- -------- ----------- ---- ---- ---------- -------- --------- -------- -------- CYTOGEN CORP COM 232824300 63 30,000 SH Sole 30,000 - --------------------------------- -------- ---------- -------- ----------- ---- ---- ---------- -------- --------- -------- -------- CYTOKINETICS INC COM 23282W100 3,070 441,100 SH Sole 441,100 - --------------------------------- -------- ---------- -------- ----------- ---- ---- ---------- -------- --------- -------- -------- GILEAD SCIENCES INC COM 375558103 1,288 16,800 SH Sole 16,800 - --------------------------------- -------- ---------- -------- ----------- ---- ---- ---------- -------- --------- -------- -------- INTERMUNE PHARMACEUTICALS INC COM 45884X103 1,571 63,700 SH Sole 63,700 - --------------------------------- -------- ---------- -------- ----------- ---- ---- ---------- -------- --------- -------- -------- INTROGEN THERAPEUTICS INC COM 46119F107 1,113 275,422 SH Sole 275,422 - --------------------------------- -------- ---------- -------- ----------- ---- ---- ---------- -------- --------- -------- --------
- --------------------------------- -------- ---------- -------- --------------------- ------------------- --------------------------- 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 - --------------------------------- -------- ---------- -------- ----------- ---- ---- ---------- -------- --------- -------- -------- ISIS PHARMACEUTICALS INC COM 464330109 8,695 938,000 SH Sole 938,000 - --------------------------------- -------- ---------- -------- ----------- ---- ---- ---------- -------- --------- -------- -------- MANNKIND CORP COM 56400P201 643 44,955 SH Sole 44,955 - --------------------------------- -------- ---------- -------- ----------- ---- ---- ---------- -------- --------- -------- -------- MEDAREX INC COM 583916101 3,302 255,200 SH Sole 255,200 - --------------------------------- -------- ---------- -------- ----------- ---- ---- ---------- -------- --------- -------- -------- MONOGRAM BIOSCIENCES INC COM 60975U108 434 223,525 SH Sole 223,525 - --------------------------------- -------- ---------- -------- ----------- ---- ---- ---------- -------- --------- -------- -------- POZEN INC COM 73941U102 7,601 515,300 SH Sole 515,300 - --------------------------------- -------- ---------- -------- ----------- ---- ---- ---------- -------- --------- -------- -------- SAVIENT PHARMACEUTICALS COM 80517Q100 2,119 176,308 SH Sole 176,308 - --------------------------------- -------- ---------- -------- ----------- ---- ---- ---------- -------- --------- -------- -------- SEATTLE GENETICS INC COM 812578102 1,984 242,247 SH Sole 242,247 - --------------------------------- -------- ---------- -------- ----------- ---- ---- ---------- -------- --------- -------- -------- SOMAXON PHARMACEUTICALS INC COM 834453102 2,343 192,020 SH Sole 192,020 - --------------------------------- -------- ---------- -------- ----------- ---- ---- ---------- -------- --------- -------- -------- SONUS PHARMACEUTICALS INC COM 835692104 1,734 344,800 SH Sole 344,800 - --------------------------------- -------- ---------- -------- ----------- ---- ---- ---------- -------- --------- -------- -------- TANOX INC COM 87588Q109 2,640 140,700 SH Sole 140,700 - --------------------------------- -------- ---------- -------- ----------- ---- ---- ---------- -------- --------- -------- -------- VERTEX PHARMACEUTICALS INC COM 92532F100 3,404 121,400 SH Sole 121,400 - --------------------------------- -------- ---------- -------- ----------- ---- ---- ---------- -------- --------- -------- -------- VION PHARMACEUTICALS INC COM 927624106 2,947 1,753,900 SH Sole 1,753,900 - --------------------------------- -------- ---------- -------- ----------- ---- ---- ---------- -------- --------- -------- --------
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