0001389933-11-000006.txt : 20110815 0001389933-11-000006.hdr.sgml : 20110815 20110812182912 ACCESSION NUMBER: 0001389933-11-000006 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20110630 FILED AS OF DATE: 20110815 DATE AS OF CHANGE: 20110812 EFFECTIVENESS DATE: 20110815 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: 111032667 BUSINESS ADDRESS: STREET 1: 10990 WILSHIRE BOULEVARD STREET 2: SUITE 1400 CITY: LOS ANGELES STATE: CA ZIP: 90024 BUSINESS PHONE: (310) 954-3200 MAIL ADDRESS: STREET 1: 10990 WILSHIRE BOULEVARD STREET 2: SUITE 1400 CITY: LOS ANGELES STATE: CA ZIP: 90024 13F-HR 1 dafna13f-110812.txt 13F FILING - 2Q 2011 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 13F FORM 13F COVER PAGE Report for the Calendar Year or Quarter Ended: June 30, 2011 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 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: Nathan Fischel Title: CEO & CCO Phone: (310) 954-3200 Signature, Place, and Date of Signing: Nathan Fischel, MD, CFA Los Angeles, CA August 12, 2011 Report Type (Check only one.): [X] 13F HOLDINGS REPORT. [ ] 13F NOTICE. [ ] 13F COMBINATION REPORT. 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.] SEC 1685 (3-01) Persons who respond to the collection of information 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: 63 Form 13F Information Table Value Total: $69,338 --------------------- (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 NAME OF ISSUER CLASS CUSIP (x$1000) PRN AMT PRN CALL DISCRETION MANAGERS SOLE SHARED NONE --------------------------------- -------- ---------- -------- ------------ ---- ---- ---------- -------- --------- ------- ------- ACHILLION PHARMACEUTICALS INC COM 00448Q201 562 75500 SH Sole 75500 ADOLOR CORP COM 00724X102 126 63089 SH Sole 63089 ALNYLAM PHARMACEUTICALS INC COM 02043Q107 962 102686 SH Sole 102686 AUTHENTIDATE HOLDING CORP COM 052666104 44 36520 SH Sole 36520 AVI BIOPHARMA INC COM 002346104 523 365734 SH Sole 365734 BIODEL INC COM 09064M105 196 104840 SH Sole 104840 BIOSPECIFICS TECHNOLOGIES CORP COM 090931106 1131 50498 SH Sole 50498 BOVIE MEDICAL CORPORATION COM 10211F100 64 24553 SH Sole 24553 CARDIONET INC COM 14159L103 1813 341476 SH Sole 341476 CARDIOVASCULAR SYSTEMS INC COM 141619106 575 39470 SH Sole 39470 CELLDEX THERAPEUTICS INC INC COM 15117B103 148 41600 SH Sole 41600 COMBIMATRIX CORPORATION *W EXP 05/01/201 20009T113 6 23266 SH Sole 23266 CONCEPTUS INC COM 206016107 225 19272 SH Sole 19272 DERMA SCIENCES INC COM PAR $.01 249827502 837 90909 SH Sole 90909 DIGIRAD CORP COM 253827109 326 120221 SH Sole 120221 DISCOVERY LABORATORIES INC NEW COM 254668403 821 365000 SH Sole 365000 DYNAVAX TECHNOLOGIES CORP COM 268158102 2891 1051156 SH Sole 1051156 ENTEROMEDICS INC COM NEW 29365M208 588 216802 SH Sole 216802 FLAMEL TECHNOLOGIES SA ADR SPONSORED ADR 338488109 704 131504 SH Sole 131504 GILEAD SCIENCES INC COM 375558103 441 10650 SH Sole 10650 GIVEN IMAGING LTD ORD SHS M52020100 1139 55949 SH Sole 55949 GRAYMARK HEALTHCARE INC COM PAR $.0001 389465303 738 590701 SH Sole 590701 HANSEN MEDICAL INC COM 411307101 2265 664152 SH Sole 664152 IMMUNOCELLULAR THERAPEUTICS LTD COM 452536105 124 56200 SH Sole 56200 INSULET CORPORATION NOTE 45784PAC5 3218 3000000 PRN Sole 3000000 INSULET CORPORATION COM 45784P101 4130 186281 SH Sole 186281 INTELGENX TECHNOLOGIEX CORP COM 45822R101 120 149400 SH Sole 149400 INTELLIPHARMACEUTICS INTL IN COM 458173101 173 43525 SH Sole 43525 INTERMUNE PHARMACEUTICALS INC COM 45884X103 1319 36801 SH Sole 36801 JOHNSON & JOHNSON COM 478160104 625 9400 SH Sole 9400 MANNKIND CORP NOTE 3.750%12/1 56400PAA0 1078 1891000 PRN Sole 1891000 MASIMO CORP COM 574795100 519 17500 SH Sole 17500 MEDICINOVA INC COM NEW 58468P206 336 125000 SH Sole 125000 MEDLINK INTERNATIONAL INC COM 58502M102 94 156751 SH Sole 156751 NANOSPHERE INC COM 63009F105 411 227273 SH Sole 227273 NEUROCRINE BIOSCIENCES INC COM 64125C109 317 39385 SH Sole 39385 PHARMACYCLICS INC COM 716933106 5877 562949 SH Sole 562949 PLURISTEM THERAPEUTICS INC COM 72940R102 389 134026 SH Sole 134026 POLYMEDIX INC COM 73174C100 173 230000 SH Sole 230000 POZEN INC COM 73941U102 2192 521951 SH Sole 521951 PROGENICS PHARMACEUTICALS INC COM 743187106 433 60289 SH Sole 60289 PROLOR BIOTECH INC COM 74344F106 270 54627 SH Sole 54627 PROTALIX BIOTHERAPEUTICS INC COM 74365A101 1055 168536 SH Sole 168536 RIGEL PHARMACEUTICALS INC COM NEW 766559603 2228 242994 SH Sole 242994 ROSETTA GENOMICS LTD SHS M82183100 73 250000 SH Sole 250000 RTI BIOLOGICS INC COM 74975N105 1055 389173 SH Sole 389173 RXI PHARMACEUTICALS CORP COM 74978T109 280 285806 SH Sole 285806 SANUWAVE HEALTH INC COM 80303D107 119 35825 SH Sole 35825 SONOSITE INC COM 83568G104 4195 119270 SH Sole 119270 SPECTRANETICS CORP COM 84760C107 1076 172962 SH Sole 172962 STEREOTAXIS INC COM 85916J102 2810 800675 SH Sole 800675 SYNTA PHARMACEUTICALS CORP COM 87162T206 824 163900 SH Sole 163900 TARGACEPT INC COM 87611R306 3267 155032 SH Sole 155032 TEARLAB CORP COM 878193101 2610 1373700 SH Sole 1373700 TENGION INC COM 88034G109 255 212100 SH Sole 212100 THERAGENICS CORP COM 883375107 976 554751 SH Sole 554751 THORATEC LABORATORIES CORP NEW COM NEW 885175307 246 7500 SH Sole 7500 THRESHOLD PHARMACEUTICALS INC COM NEW 885807206 2104 1259785 SH Sole 1259785 TRANS1 INC COM 89385X105 1696 370326 SH Sole 370326 TRIUS THERAPEUTICS INC COM 89685K100 873 110240 SH Sole 110240 UNITED THERAPEUTICS CORP COM 91307C102 992 18000 SH Sole 18000 VIKING SYSTEMS INC COM 92685Q200 1080 4000000 SH Sole 4000000 YM BIOSCIENCE INC COM 984238105 2601 925599 SH Sole 925599