-----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, PUH5qc0AQs5O371B0+JE33EgTjNVjCKgbAjLGL/O9Qgyuz/q27Gzgifm5of51fQ0 AJe05Qk43nDtfYdMD13kXA== 0001116679-07-000440.txt : 20070214 0001116679-07-000440.hdr.sgml : 20070214 20070214140036 ACCESSION NUMBER: 0001116679-07-000440 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20061231 FILED AS OF DATE: 20070214 DATE AS OF CHANGE: 20070214 EFFECTIVENESS DATE: 20070214 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: 07617921 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-021407.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: December 31, 2006 -------------------------------- 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 - -------------------- 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: Nathan Fischel ----------------------------------------------- Title: CEO ----------------------------------------------- Phone: (310) 724-5800 ----------------------------------------------- Signature, Place, and Date of Signing: /s/ Nathan Fischel Los Angeles 2/13/2007 - ------------------------ --------------------------- ------------------------- [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: 26 --------------------- Form 13F Information Table Value Total: 63,443 --------------------- (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 - Nathan Fischel -------- ------------------ ------------------------------------ [Repeat as necessary.]
- ------------------------------------------------------------------------------------------------------------------------------------ Column 1 Column Column 3 Column 4 Column 5 Column 6 Column 7 Column 8 2 - ------------------------------------------------------------------------------------------------------------------------------------ Voting Authority ---------------- - ------------------------------------------------------------------------------------------------------------------------------------ TITLE OF VALUE SHRS OR SH/ PUT/ INVESTMENT OTHER NAME OF ISSUER CLASS CUSIP (x$1000) PRN AMT PRN CALL DISCRETION MANAGERS SOLE SHARED NONE - ------------------------------------------------------------------------------------------------------------------------------------ CARDIOME PHARMA CORP COM 14159U202 6,950 623,277 SH OTHER 1 623,277 - ------------------------------------------------------------------------------------------------------------------------------------ GENTIUM SPA COM 37250B104 521 25,600 SH OTHER 1 25,600 - ------------------------------------------------------------------------------------------------------------------------------------ LABOPHARM INC COM 504905100 1,386 236,150 SH OTHER 1 236,150 - ------------------------------------------------------------------------------------------------------------------------------------ ADVANCED MAGNETICS INC COM 00753P103 3,183 53,300 SH OTHER 1 53,300 - ------------------------------------------------------------------------------------------------------------------------------------ ALEXION PHARMACEUTICALS INC COM 015351109 2,815 69,700 SH OTHER 1 69,700 - ------------------------------------------------------------------------------------------------------------------------------------ ALLOS THERAPEUTICS INC COM 019777101 2,911 497,681 SH OTHER 1 497,681 - ------------------------------------------------------------------------------------------------------------------------------------ APPLERA CORP COM CELERA GENOMICS COM 038020202 1,627 116,300 SH OTHER 1 116,300 - ------------------------------------------------------------------------------------------------------------------------------------ ARQULE INC COM 04269E107 1,558 263,189 SH OTHER 1 263,189 - ------------------------------------------------------------------------------------------------------------------------------------ ARRAY BIOPHARMA INC COM 04269X105 2,979 230,600 SH OTHER 1 230,600 - ------------------------------------------------------------------------------------------------------------------------------------ BIOMARIN PHARMACEUTICAL INC COM 09061G101 3,750 228,805 SH OTHER 1 228,805 - ------------------------------------------------------------------------------------------------------------------------------------ BIOMIRA INC COM 09161R106 592 519,000 SH OTHER 1 519,000 - ------------------------------------------------------------------------------------------------------------------------------------ CYPRESS BIOSCIENCES INC COM 232674507 3,345 431,620 SH OTHER 1 431,620 - ------------------------------------------------------------------------------------------------------------------------------------ CYTOGEN CORP COM 232824300 70 30,000 SH OTHER 1 30,000 - ------------------------------------------------------------------------------------------------------------------------------------ CYTOKINETICS INC COM 23282W100 2,159 288,700 SH OTHER 1 288,700 - ------------------------------------------------------------------------------------------------------------------------------------ GILEAD SCIENCES INC COM 375558103 1,208 18,600 SH OTHER 1 18,600 - ------------------------------------------------------------------------------------------------------------------------------------ ICOS CORP COM 449295104 2,353 69,650 SH OTHER 1 69,650 - ------------------------------------------------------------------------------------------------------------------------------------ ISHARES TR COM 464287556 1,905 24,500 SH OTHER 1 24,500 - ------------------------------------------------------------------------------------------------------------------------------------
- ------------------------------------------------------------------------------------------------------------------------------------ Column 1 Column Column 3 Column 4 Column 5 Column 6 Column 7 Column 8 2 - ------------------------------------------------------------------------------------------------------------------------------------ Voting Authority ---------------- - ------------------------------------------------------------------------------------------------------------------------------------ TITLE OF VALUE SHRS OR SH/ PUT/ INVESTMENT OTHER NAME OF ISSUER CLASS CUSIP (x$1000) PRN AMT PRN CALL DISCRETION MANAGERS SOLE SHARED NONE - ------------------------------------------------------------------------------------------------------------------------------------ MANNKIND CORP COM 56400P201 741 44,955 SH OTHER 1 44,955 - ------------------------------------------------------------------------------------------------------------------------------------ MEDAREX INC COM 583916101 4,175 282,300 SH OTHER 1 282,300 - ------------------------------------------------------------------------------------------------------------------------------------ MONOGRAM BIOSCIENCES INC COM 60975U108 398 223,525 SH OTHER 1 223,525 - ------------------------------------------------------------------------------------------------------------------------------------ ONYX PHARMACEUTICALS INC COM 683399109 230 21,714 SH OTHER 1 21,714 - ------------------------------------------------------------------------------------------------------------------------------------ POZEN INC COM 73941U102 10,067 592,500 SH OTHER 1 592,500 - ------------------------------------------------------------------------------------------------------------------------------------ SAVIENT PHARMACEUTICALS COM 80517Q100 2,977 265,608 SH OTHER 1 265,608 - ------------------------------------------------------------------------------------------------------------------------------------ SOMAXON PHARMACEUTICALS INC COM 834453102 2,725 192,020 SH OTHER 1 192,020 - ------------------------------------------------------------------------------------------------------------------------------------ SONUS PHARMACEUTICALS INC COM 835692104 1,985 324,800 SH OTHER 1 324,800 - ------------------------------------------------------------------------------------------------------------------------------------ TEVA PHARMACEUTICAL ADR COM 881624209 833 26,800 SH OTHER 1 26,800 - ------------------------------------------------------------------------------------------------------------------------------------
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