0001389933-12-000002.txt : 20120214 0001389933-12-000002.hdr.sgml : 20120214 20120213184331 ACCESSION NUMBER: 0001389933-12-000002 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20111231 FILED AS OF DATE: 20120214 DATE AS OF CHANGE: 20120213 EFFECTIVENESS DATE: 20120214 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: 12601189 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-120213.txt 13F FILING 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, 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 February 13, 2012 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: 59 Form 13F Information Table Value Total: $50,100 --------------------- (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 449 58900 SH Sole 58900 ALNYLAM PHARMACEUTICALS INC COM 02043Q107 749 91886 SH Sole 91886 ARIAD PHARMACEUTICALS INC COM 04033A100 4399 359115 SH Sole 359115 ASPENBIO PHARMA INC COM NEW 045346202 75 77421 SH Sole 77421 BIODEL INC COM 09064M105 64 104840 SH Sole 104840 BIOSPECIFICS TECHNOLOGIES CORP COM 090931106 803 48298 SH Sole 48298 CARDIONET INC COM 14159L103 809 341476 SH Sole 341476 CARDIOVASCULAR SYSTEMS INC COM 141619106 280 28470 SH Sole 28470 COMBIMATRIX CORPORATION *W EXP 05/01/201 20009T113 3 23266 SH Sole 23266 CONCEPTUS INC COM 206016107 244 19272 SH Sole 19272 CUTERA INC COM 232109108 311 41763 SH Sole 41763 CYTRX CORP COM NEW 232828301 105 376500 SH Sole 376500 DENDREON CORP COM 24823Q107 161 21200 SH Sole 21200 DERMA SCIENCES INC COM PAR $.01 249827502 689 90909 SH Sole 90909 DIGIRAD CORP COM 253827109 292 149169 SH Sole 149169 DISCOVERY LABORATORIES INC NEW COM NEW 254668403 613 365000 SH Sole 365000 DYNAVAX TECHNOLOGIES CORP COM 268158102 3394 1022152 SH Sole 1022152 ENTEROMEDICS INC COM NEW 29365M208 369 216802 SH Sole 216802 EXACTECH INC COM 30064E109 557 33836 SH Sole 33836 FLAMEL TECHNOLOGIES SA ADR SPONSORED ADR 338488109 146 28000 SH Sole 28000 GILEAD SCIENCES INC COM 375558103 436 10650 SH Sole 10650 GIVEN IMAGING LTD ORD SHS M52020100 975 55949 SH Sole 55949 GRAYMARK HEALTHCARE INC COM PAR $.0001 389465303 322 700401 SH Sole 700401 GREATBATCH INC COM 39153L106 172 7800 SH Sole 7800 INFUSYSTEM HOLDINGS INC COM 45685K102 974 605061 SH Sole 605061 INHIBITEX INC COM 45719T103 891 81440 SH Sole 81440 INOVIO PHARMACEUTICALS INC COM 45773H102 206 481232 SH Sole 481232 INSITE VISION INC COM 457660108 28 64229 SH Sole 64229 INSULET CORPORATION NOTE 3.750% 6/1 45784PAC5 2993 3000000 PRN Sole 3000000 INSULET CORPORATION COM 45784P101 3103 164781 SH Sole 164781 JOHNSON & JOHNSON COM 478160104 616 9400 SH Sole 9400 MANNKIND CORP NOTE 3.750% 12/1 56400PAA0 971 1891000 PRN Sole 1891000 MASIMO CORP COM 574795100 327 17500 SH Sole 17500 MEDICINOVA INC COM NEW 58468P206 147 86752 SH Sole 86752 MEDIVATION INC COM 58501N101 957 20760 SH Sole 20760 MEDLINK INTERNATIONAL INC COM 58502M102 23 156751 SH Sole 156751 MISONIX INC COM 604871103 121 59286 SH Sole 59286 NANOSPHERE INC COM 63009F105 334 227273 SH Sole 227273 NEUROCRINE BIOSCIENCES INC COM 64125C109 309 36385 SH Sole 36385 NUVASIVE INC NOTE 2.750% 7/0 670704AC9 737 1000000 PRN Sole 1000000 ONCOGENEX PHARMACEUTICALS INC COM 68230A106 99 8420 SH Sole 8420 OREXIGEN THERAPEUTICS INC COM 686164104 222 137937 SH Sole 137937 PHARMACYCLICS INC COM 716933106 3039 205077 SH Sole 205077 PLURISTEM THERAPEUTICS INC COM 72940R102 72 29026 SH Sole 29026 POZEN INC COM 73941U102 2064 522551 SH Sole 522551 PROTALIX BIOTHERAPEUTICS INC COM 74365A101 198 40186 SH Sole 40186 RIGEL PHARMACEUTICALS INC COM NEW 766559603 2075 262994 SH Sole 262994 SONOSITE INC COM 83568G104 2836 52653 SH Sole 52653 SPECTRANETICS CORP COM 84760C107 917 127062 SH Sole 127062 STEREOTAXIS INC COM 85916J102 707 858084 SH Sole 858084 SYNTA PHARMACEUTICALS CORP COM 87162T206 215 46042 SH Sole 46042 TEARLAB CORPORATION COM 878193101 1539 1373700 SH Sole 1373700 THERAGENICS CORP COM 883375107 932 554751 SH Sole 554751 THRESHOLD PHARMACEUTICALS INC COM NEW 885807206 1318 1080625 SH Sole 1080625 TRANS1 INC COM 89385X105 867 465949 SH Sole 465949 TRIUS THERAPEUTICS INC COM 89685K100 577 80753 SH Sole 80753 VIKING SYSTEMS INC COM 92685Q200 964 3781468 SH Sole 3781468 WRIGHT MEDICAL GROUP INC COM 98235T107 363 22000 SH Sole 22000 YM BIOSCIENCE INC COM 984238105 1942 1184399 SH Sole 1184399