DAFNA CAPITAL MANAGEMENT LLC

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Dafna Capital Management is based out of Los Angeles. Dafna Capital Management is a large advisory firm with 4 clients and discretionary assets under management (AUM) of $388,914,306 (Form ADV from 2019-03-29). Their last reported 13F filing for Q3 2019 included $265,897,000 in managed 13F securities and a top 10 holdings concentration of 48.53%. Dafna Capital Management's largest holding is Stereotaxis Inc with shares held of 13,680,554. Dafna Capital Management has met the qualifications for inclusion in our WhaleScore system. Whalewisdom has at least 52 13F filings, 5 13D filings, and 25 13G filings

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67

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09/30/2019

13F Sector Allocation Over Time

09/30/2019

13F Activity

  • Market Value $265.897 Million
  • Prior Market Value $266.028 Million
  • New Purchases10 stocks
  • Additional Purchases25 stocks
  • Sold out of8 stocks
  • Reduced holdings in15 stocks
  • Top 10 Holdings % 48.53 %
  • Turnover % [1]:20.22%
  • Turnover Alt % [2]: 12.78 %
  • Time Held Top20:7.45 quarters
  • Time Held Top10:5.70 quarters
  • Time Held All:8.87 quarters

[1]: Turnover is calculated by taking the # of new holdings (initial purchases) + the # of positions sold out of (not just reduced) divided by the total # of holdings for the quarter.

[2]: Alt Turnover is calculated by taking either the total MV of new purchases or the MV of securities sold, whichever is less, divided by the total MV of the fund.

Portfolio Performance

Top 20 equal-weighted holdings. Performance numbers calculated through 2019-11-14

Performance for Q3 2019: 2.75%
Performance Last 4 Quarters: 6.95%
Performance Metrics
Stdev (5-yrs): Subscription required BETA (5-yrs): Subscription required ALPHA (3-yrs): Subscription required
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Sterling (3-yrs): Subscription required Calmar (3-yrs): Subscription required Information Ratio (3-yrs): Subscription required
Tracking Error (3 yrs): Subscription required Stdev Down (3-yrs): Subscription required Winning Months %: Subscription required
Losing Months %: Subscription required Best 12 Months: Subscription required Worst 12 Months: Subscription required
Efficiency Ratio (3-yrs): Subscription required Sharpe: Subscription required Stdev Sectors: Subscription required
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13F Filings Available:
  • 2019-09-30 - 13F-HR (Subscription required)
  • 2019-06-30 - 13F-HR (Subscription required)
  • 2019-03-31 - 13F-HR (Subscription required)
  • 2018-12-31 - 13F-HR (Subscription required)
  • 2018-09-30 - 13F-HR (Subscription required)
  • 2018-06-30 - 13F-HR (Subscription required)
  • 2018-03-31 - 13F-HR (Subscription required)
  • 2017-12-31 - 13F-HR (Subscription required)
  • 2017-09-30 - 13F-HR (Subscription required)
  • 2017-06-30 - 13F-HR (Subscription required)
  • 2017-03-31 - 13F-HR (Subscription required)
  • 2016-12-31 - 13F-HR (Subscription required)
  • 2016-09-30 - 13F-HR (Subscription required)
  • 2016-06-30 - 13F-HR (Subscription required)
  • 2016-03-31 - 13F-HR (Subscription required)
  • 2015-12-31 - 13F-HR (Subscription required)
  • 2015-09-30 - 13F-HR (Subscription required)
  • 2015-06-30 - 13F-HR (Subscription required)
  • 2015-03-31 - 13F-HR (Subscription required)
  • 2014-12-31 - 13F-HR (Subscription required)
  • 2014-09-30 - 13F-HR (Subscription required)
  • 2014-06-30 - 13F-HR (Subscription required)
  • 2014-03-31 - 13F-HR (Subscription required)
  • 2013-12-31 - 13F-HR (Subscription required)
  • 2013-09-30 - 13F-HR (Subscription required)
  • 2013-06-30 - 13F-HR (Subscription required)
  • 2013-03-31 - 13F-HR (Subscription required)
  • 2012-12-31 - 13F-HR (Subscription required)
  • 2012-09-30 - 13F-HR (Subscription required)
  • 2012-06-30 - 13F-HR (Subscription required)
  • 2012-03-31 - 13F-HR (Subscription required)
  • 2011-12-31 - 13F-HR (Subscription required)
  • 2011-09-30 - 13F-HR (Subscription required)
  • 2011-06-30 - 13F-HR (Subscription required)
  • 2011-03-31 - 13F-HR (Subscription required)
  • 2010-12-31 - 13F-HR (Subscription required)
  • 2010-09-30 - 13F-HR (Subscription required)
  • 2010-06-30 - 13F-HR (Subscription required)
  • 2010-03-31 - 13F-HR (Subscription required)
  • 2009-12-31 - 13F-HR (Subscription required)
  • 2009-09-30 - 13F-HR (Subscription required)
  • 2009-06-30 - 13F-HR (Subscription required)
  • 2009-03-31 - 13F-HR (Subscription required)
  • 2008-12-31 - 13F-HR (Subscription required)
  • 2008-09-30 - 13F-HR (Subscription required)
  • 2008-06-30 - 13F-HR (Subscription required)
  • 2008-03-31 - 13F-HR (Subscription required)
  • 2007-12-31 - 13F-HR (Subscription required)
  • 2007-09-30 - 13F-HR (Subscription required)
  • 2007-06-30 - 13F-HR (Subscription required)
  • 2007-03-31 - 13F-HR (Subscription required)
  • 2006-12-31 - 13F-HR (Subscription required)
This lets you look at individual sub managers or subsidiaries within the 13F filing.

13F Managers

Subsidiaries/Managers included in latest 13F
Name
Fischel Nathan

View Last Form Adv Compilation Report on Record

DAFNA CAPITAL MANAGEMENT, LLC
Classified as Hedge Fund
10990 WILSHIRE BOULEVARD SUITE 1400
LOS ANGELES CA    90024
Country: United States

Business Phone: 310-954-3200
Fax: 310-445-6594
Professional Investment Advisor Data
SEC Registration as : Large Advisory Firm
Form of Organization: Limited Liability Company
Organized in: DE
Number of employees: 6
Other Business Activities:
Advisor Fees/Compensation: Percentage of assets under management,Performance-based fees
Amount of client funds and securities: 388,914,000
Total Number of Clients: 4
Amount of client funds and securities by related persons:
Total Number of clients from related persons:
Disclosures:
Data above was derived from SEC filings.

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DAFNA CAPITAL MANAGEMENT, LLC

ownership team - last updated 2019-03-29
Name Title Start Date Direct/Indirect % Ownership
FISCHEL, NATHAN CHIEF EXECUTIVE OFFICER 02/01/2000 Direct less than 5%
Fund Name Position direct/indirect start date end date
DAFNA CAPITAL MANAGEMENT, LLC TRUSTEE indirect 1999-04-01
CASTLE CREEK LIFESCIENCE PARTNERS, LLC MANAGING MEMBER AND CHIEF EXECUTIVE OFFICER direct 2000-02-01
DAFNA CAPITAL MANAGEMENT, LLC MANAGER AND CHIEF EXECUTIVE OFFICER AND CHIEF COMPLIANCE OFFICER direct 2000-02-01
DAFNA CAPITAL MANAGEMENT, LLC CHIEF EXECUTIVE OFFICER direct 2000-02-01
D3 CAPITAL MANAGEMENT, LLC MANAGER, CHIEF EXECUTIVE OFFICER AND CHIEF COMPLIANCE OFFICER direct 2000-02-01
DAFNA CAPITAL MANAGEMENT, LLC MANAGER AND CHIEF EXECUTIVE OFFICER direct 2000-02-01
DAFNA CAPITAL MANAGEMENT, LLC CHIEF EXECUTIVE OFFICER AND CHIEF COMPLIANCE OFFICER direct 2000-02-01
GHODSIAN, FARIBA, FISCHEL CHIEF INVESTMENT OFFICER 11/01/2002 Direct less than 5%
Fund Name Position direct/indirect start date end date
DAFNA CAPITAL MANAGEMENT, LLC TRUSTEE indirect 1999-04-01
CASTLE CREEK LIFESCIENCE PARTNERS, LLC TRUSTEE indirect 1999-04-01
CASTLE CREEK LIFESCIENCE PARTNERS, LLC MANAGING MEMBER direct 2002-11-01
DAFNA CAPITAL MANAGEMENT, LLC MANAGER direct 2002-11-01
DAFNA CAPITAL MANAGEMENT, LLC CHIEF INVESTMENT OFFICER direct 2002-11-01
DAFNA HOLDINGS, L.P. MEMBER 01/01/2013 Direct 75% or more
Fund Name Position direct/indirect start date end date
DAFNA CAPITAL MANAGEMENT, LLC MEMBER direct 2013-01-01
LIN, XUN CHIEF COMPLIANCE OFFICER 11/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
DAFNA CAPITAL MANAGEMENT, LLC CHIEF COMPLIANCE OFFICER direct 2017-11-01
FISCHEL, NATHAN TRUSTEE THE FISCHEL-GHODSIAN FAMILY TRUST 04/01/1999 Indirect 75% or more
Fund Name Position direct/indirect start date end date
DAFNA CAPITAL MANAGEMENT, LLC TRUSTEE indirect 1999-04-01
CASTLE CREEK LIFESCIENCE PARTNERS, LLC MANAGING MEMBER AND CHIEF EXECUTIVE OFFICER direct 2000-02-01
DAFNA CAPITAL MANAGEMENT, LLC MANAGER AND CHIEF EXECUTIVE OFFICER AND CHIEF COMPLIANCE OFFICER direct 2000-02-01
DAFNA CAPITAL MANAGEMENT, LLC CHIEF EXECUTIVE OFFICER direct 2000-02-01
D3 CAPITAL MANAGEMENT, LLC MANAGER, CHIEF EXECUTIVE OFFICER AND CHIEF COMPLIANCE OFFICER direct 2000-02-01
DAFNA CAPITAL MANAGEMENT, LLC MANAGER AND CHIEF EXECUTIVE OFFICER direct 2000-02-01
DAFNA CAPITAL MANAGEMENT, LLC CHIEF EXECUTIVE OFFICER AND CHIEF COMPLIANCE OFFICER direct 2000-02-01
GHODSIAN, FARIBA, FISCHEL TRUSTEE THE FISCHEL-GHODSIAN FAMILY TRUST; D3 TRUST 04/01/1999 Indirect 75% or more
Fund Name Position direct/indirect start date end date
DAFNA CAPITAL MANAGEMENT, LLC TRUSTEE indirect 1999-04-01
CASTLE CREEK LIFESCIENCE PARTNERS, LLC TRUSTEE indirect 1999-04-01
CASTLE CREEK LIFESCIENCE PARTNERS, LLC MANAGING MEMBER direct 2002-11-01
DAFNA CAPITAL MANAGEMENT, LLC MANAGER direct 2002-11-01
DAFNA CAPITAL MANAGEMENT, LLC CHIEF INVESTMENT OFFICER direct 2002-11-01
THE FISCHEL-GHODSIAN FAMILY TRUST LIMITED PARTNER DAFNA HOLDINGS, L.P. 01/01/2013 Indirect 75% or more
Fund Name Position direct/indirect start date end date
CASTLE CREEK LIFESCIENCE PARTNERS, LLC MEMBER direct 2005-01-01
DAFNA CAPITAL MANAGEMENT, LLC LIMITED PARTNER indirect 2013-01-01
D3 TRUST LIMITED PARTNER DAFNA HOLDINGS, L.P. 01/01/2013 Indirect 75% or more
Fund Name Position direct/indirect start date end date
DAFNA CAPITAL MANAGEMENT, LLC MEMBER direct 2006-01-01
DAFNA CAPITAL MANAGEMENT, LLC LIMITED PARTNER indirect 2013-01-01
DAFNA HOLDINGS CORP. GENERAL PARTNER DAFNA HOLDINGS, L.P. 01/01/2013 Indirect Other
Fund Name Position direct/indirect start date end date
DAFNA CAPITAL MANAGEMENT, LLC GENERAL PARTNER indirect 2013-01-01

Private Funds

Name Country Fund Identification Number Fund Type Gross Asset Value Minimum Investment Other
DAFNA FUND, L.P. SERIES C United States 805-6659495318 Hedge Fund 99,274,247 1,000,000 Feeder Fund
DAFNA LIFESCIENCE, L.P. United States 805-8416910955 Hedge Fund 264,584,479 1,000,000 Master Fund
DAFNA FUND, L.P. SERIES A United States 805-5205922049 Hedge Fund 172,392,676 1,000,000 Feeder Fund
DAFNA LIFESCIENCE SELECT, L.P. United States 805-1462572720 Hedge Fund 124,329,827 1,000,000 Master Fund
DAFNA INTERNATIONAL FUND LTD. CLASS C Cayman Islands 805-6783516990 Hedge Fund 25,055,580 1,000,000 Feeder Fund
DAFNA INTERNATIONAL FUND LTD. CLASS A Cayman Islands 805-5252921301 Hedge Fund 92,191,803 1,000,000 Feeder Fund

DAFNA CAPITAL MANAGEMENT, LLC

ownership team - last updated 2018-10-25
Name Title Start Date Direct/Indirect % Ownership
FISCHEL, NATHAN CHIEF EXECUTIVE OFFICER 02/01/2000 Direct less than 5%
Fund Name Position direct/indirect start date end date
DAFNA CAPITAL MANAGEMENT, LLC TRUSTEE indirect 1999-04-01
CASTLE CREEK LIFESCIENCE PARTNERS, LLC MANAGING MEMBER AND CHIEF EXECUTIVE OFFICER direct 2000-02-01
DAFNA CAPITAL MANAGEMENT, LLC MANAGER AND CHIEF EXECUTIVE OFFICER AND CHIEF COMPLIANCE OFFICER direct 2000-02-01
DAFNA CAPITAL MANAGEMENT, LLC CHIEF EXECUTIVE OFFICER direct 2000-02-01
D3 CAPITAL MANAGEMENT, LLC MANAGER, CHIEF EXECUTIVE OFFICER AND CHIEF COMPLIANCE OFFICER direct 2000-02-01
DAFNA CAPITAL MANAGEMENT, LLC MANAGER AND CHIEF EXECUTIVE OFFICER direct 2000-02-01
DAFNA CAPITAL MANAGEMENT, LLC CHIEF EXECUTIVE OFFICER AND CHIEF COMPLIANCE OFFICER direct 2000-02-01
GHODSIAN, FARIBA, FISCHEL CHIEF INVESTMENT OFFICER 11/01/2002 Direct less than 5%
Fund Name Position direct/indirect start date end date
DAFNA CAPITAL MANAGEMENT, LLC TRUSTEE indirect 1999-04-01
CASTLE CREEK LIFESCIENCE PARTNERS, LLC TRUSTEE indirect 1999-04-01
CASTLE CREEK LIFESCIENCE PARTNERS, LLC MANAGING MEMBER direct 2002-11-01
DAFNA CAPITAL MANAGEMENT, LLC MANAGER direct 2002-11-01
DAFNA CAPITAL MANAGEMENT, LLC CHIEF INVESTMENT OFFICER direct 2002-11-01
DAFNA HOLDINGS, L.P. MEMBER 01/01/2013 Direct 75% or more
Fund Name Position direct/indirect start date end date
DAFNA CAPITAL MANAGEMENT, LLC MEMBER direct 2013-01-01
LIN, XUN CHIEF COMPLIANCE OFFICER 11/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
DAFNA CAPITAL MANAGEMENT, LLC CHIEF COMPLIANCE OFFICER direct 2017-11-01
FISCHEL, NATHAN TRUSTEE THE FISCHEL-GHODSIAN FAMILY TRUST 04/01/1999 Indirect 75% or more
Fund Name Position direct/indirect start date end date
DAFNA CAPITAL MANAGEMENT, LLC TRUSTEE indirect 1999-04-01
CASTLE CREEK LIFESCIENCE PARTNERS, LLC MANAGING MEMBER AND CHIEF EXECUTIVE OFFICER direct 2000-02-01
DAFNA CAPITAL MANAGEMENT, LLC MANAGER AND CHIEF EXECUTIVE OFFICER AND CHIEF COMPLIANCE OFFICER direct 2000-02-01
DAFNA CAPITAL MANAGEMENT, LLC CHIEF EXECUTIVE OFFICER direct 2000-02-01
D3 CAPITAL MANAGEMENT, LLC MANAGER, CHIEF EXECUTIVE OFFICER AND CHIEF COMPLIANCE OFFICER direct 2000-02-01
DAFNA CAPITAL MANAGEMENT, LLC MANAGER AND CHIEF EXECUTIVE OFFICER direct 2000-02-01
DAFNA CAPITAL MANAGEMENT, LLC CHIEF EXECUTIVE OFFICER AND CHIEF COMPLIANCE OFFICER direct 2000-02-01
GHODSIAN, FARIBA, FISCHEL TRUSTEE THE FISCHEL-GHODSIAN FAMILY TRUST; D3 TRUST 04/01/1999 Indirect 75% or more
Fund Name Position direct/indirect start date end date
DAFNA CAPITAL MANAGEMENT, LLC TRUSTEE indirect 1999-04-01
CASTLE CREEK LIFESCIENCE PARTNERS, LLC TRUSTEE indirect 1999-04-01
CASTLE CREEK LIFESCIENCE PARTNERS, LLC MANAGING MEMBER direct 2002-11-01
DAFNA CAPITAL MANAGEMENT, LLC MANAGER direct 2002-11-01
DAFNA CAPITAL MANAGEMENT, LLC CHIEF INVESTMENT OFFICER direct 2002-11-01
THE FISCHEL-GHODSIAN FAMILY TRUST LIMITED PARTNER DAFNA HOLDINGS, L.P. 01/01/2013 Indirect 75% or more
Fund Name Position direct/indirect start date end date
CASTLE CREEK LIFESCIENCE PARTNERS, LLC MEMBER direct 2005-01-01
DAFNA CAPITAL MANAGEMENT, LLC LIMITED PARTNER indirect 2013-01-01
D3 TRUST LIMITED PARTNER DAFNA HOLDINGS, L.P. 01/01/2013 Indirect 75% or more
Fund Name Position direct/indirect start date end date
DAFNA CAPITAL MANAGEMENT, LLC MEMBER direct 2006-01-01
DAFNA CAPITAL MANAGEMENT, LLC LIMITED PARTNER indirect 2013-01-01
DAFNA HOLDINGS CORP. GENERAL PARTNER DAFNA HOLDINGS, L.P. 01/01/2013 Indirect Other
Fund Name Position direct/indirect start date end date
DAFNA CAPITAL MANAGEMENT, LLC GENERAL PARTNER indirect 2013-01-01

Private Funds

Name Country Fund Identification Number Fund Type Gross Asset Value Minimum Investment Other
DAFNA FUND, L.P. SERIES B United States 805-7168609403 Hedge Fund 459,571 1,000,000 Feeder Fund
DAFNA INTERNATIONAL FUND LTD. CLASS B Cayman Islands 805-5721555906 Hedge Fund 0 1,000,000 Feeder Fund
DAFNA LIFESCIENCE MARKET NEUTRAL, L.P. United States 805-1788565144 Hedge Fund 459,571 1,000,000 Master Fund
DAFNA FUND, L.P. SERIES C United States 805-6659495318 Hedge Fund 82,412,837 1,000,000 Feeder Fund
DAFNA LIFESCIENCE, L.P. United States 805-8416910955 Hedge Fund 161,903,893 1,000,000 Master Fund
DAFNA FUND, L.P. SERIES A United States 805-5205922049 Hedge Fund 121,238,089 1,000,000 Feeder Fund
DAFNA LIFESCIENCE SELECT, L.P. United States 805-1462572720 Hedge Fund 102,395,851 1,000,000 Master Fund
DAFNA INTERNATIONAL FUND LTD. CLASS C Cayman Islands 805-6783516990 Hedge Fund 19,983,014 1,000,000 Feeder Fund
DAFNA INTERNATIONAL FUND LTD. CLASS A Cayman Islands 805-5252921301 Hedge Fund 40,665,804 1,000,000 Feeder Fund

DAFNA CAPITAL MANAGEMENT, LLC

ownership team - last updated 2017-05-31
Name Title Start Date Direct/Indirect % Ownership
FISCHEL, NATHAN CHIEF EXECUTIVE OFFICER 02/01/2000 Direct less than 5%
Fund Name Position direct/indirect start date end date
DAFNA CAPITAL MANAGEMENT, LLC TRUSTEE indirect 1999-04-01
CASTLE CREEK LIFESCIENCE PARTNERS, LLC MANAGING MEMBER AND CHIEF EXECUTIVE OFFICER direct 2000-02-01
DAFNA CAPITAL MANAGEMENT, LLC MANAGER AND CHIEF EXECUTIVE OFFICER AND CHIEF COMPLIANCE OFFICER direct 2000-02-01
DAFNA CAPITAL MANAGEMENT, LLC CHIEF EXECUTIVE OFFICER direct 2000-02-01
D3 CAPITAL MANAGEMENT, LLC MANAGER, CHIEF EXECUTIVE OFFICER AND CHIEF COMPLIANCE OFFICER direct 2000-02-01
DAFNA CAPITAL MANAGEMENT, LLC MANAGER AND CHIEF EXECUTIVE OFFICER direct 2000-02-01
DAFNA CAPITAL MANAGEMENT, LLC CHIEF EXECUTIVE OFFICER AND CHIEF COMPLIANCE OFFICER direct 2000-02-01
GHODSIAN, FARIBA, FISCHEL CHIEF INVESTMENT OFFICER 11/01/2002 Direct less than 5%
Fund Name Position direct/indirect start date end date
DAFNA CAPITAL MANAGEMENT, LLC TRUSTEE indirect 1999-04-01
CASTLE CREEK LIFESCIENCE PARTNERS, LLC TRUSTEE indirect 1999-04-01
CASTLE CREEK LIFESCIENCE PARTNERS, LLC MANAGING MEMBER direct 2002-11-01
DAFNA CAPITAL MANAGEMENT, LLC MANAGER direct 2002-11-01
DAFNA CAPITAL MANAGEMENT, LLC CHIEF INVESTMENT OFFICER direct 2002-11-01
DAFNA HOLDINGS, L.P. MEMBER 01/01/2013 Direct 75% or more
Fund Name Position direct/indirect start date end date
DAFNA CAPITAL MANAGEMENT, LLC MEMBER direct 2013-01-01
NURTMAN, HOWARD, IAN CHIEF COMPLIANCE OFFICER 06/01/2014 Direct less than 5%
Fund Name Position direct/indirect start date end date
POTRERO CAPITAL RESEARCH, LLC CCO direct 2017-06-01
DAFNA CAPITAL MANAGEMENT, LLC CHIEF COMPLIANCE OFFICER direct 2014-06-01
TURQUOISE ASSET MANAGEMENT, LLC CHIEF COMPLIANCE OFFICER direct 2010-12-01
FISCHEL, NATHAN TRUSTEE THE FISCHEL-GHODSIAN FAMILY TRUST 04/01/1999 Indirect 75% or more
Fund Name Position direct/indirect start date end date
DAFNA CAPITAL MANAGEMENT, LLC TRUSTEE indirect 1999-04-01
CASTLE CREEK LIFESCIENCE PARTNERS, LLC MANAGING MEMBER AND CHIEF EXECUTIVE OFFICER direct 2000-02-01
DAFNA CAPITAL MANAGEMENT, LLC MANAGER AND CHIEF EXECUTIVE OFFICER AND CHIEF COMPLIANCE OFFICER direct 2000-02-01
DAFNA CAPITAL MANAGEMENT, LLC CHIEF EXECUTIVE OFFICER direct 2000-02-01
D3 CAPITAL MANAGEMENT, LLC MANAGER, CHIEF EXECUTIVE OFFICER AND CHIEF COMPLIANCE OFFICER direct 2000-02-01
DAFNA CAPITAL MANAGEMENT, LLC MANAGER AND CHIEF EXECUTIVE OFFICER direct 2000-02-01
DAFNA CAPITAL MANAGEMENT, LLC CHIEF EXECUTIVE OFFICER AND CHIEF COMPLIANCE OFFICER direct 2000-02-01
GHODSIAN, FARIBA, FISCHEL TRUSTEE THE FISCHEL-GHODSIAN FAMILY TRUST; D3 TRUST 04/01/1999 Indirect 75% or more
Fund Name Position direct/indirect start date end date
DAFNA CAPITAL MANAGEMENT, LLC TRUSTEE indirect 1999-04-01
CASTLE CREEK LIFESCIENCE PARTNERS, LLC TRUSTEE indirect 1999-04-01
CASTLE CREEK LIFESCIENCE PARTNERS, LLC MANAGING MEMBER direct 2002-11-01
DAFNA CAPITAL MANAGEMENT, LLC MANAGER direct 2002-11-01
DAFNA CAPITAL MANAGEMENT, LLC CHIEF INVESTMENT OFFICER direct 2002-11-01
THE FISCHEL-GHODSIAN FAMILY TRUST LIMITED PARTNER DAFNA HOLDINGS, L.P. 01/01/2013 Indirect 75% or more
Fund Name Position direct/indirect start date end date
CASTLE CREEK LIFESCIENCE PARTNERS, LLC MEMBER direct 2005-01-01
DAFNA CAPITAL MANAGEMENT, LLC LIMITED PARTNER indirect 2013-01-01
D3 TRUST LIMITED PARTNER DAFNA HOLDINGS, L.P. 01/01/2013 Indirect 75% or more
Fund Name Position direct/indirect start date end date
DAFNA CAPITAL MANAGEMENT, LLC MEMBER direct 2006-01-01
DAFNA CAPITAL MANAGEMENT, LLC LIMITED PARTNER indirect 2013-01-01
DAFNA HOLDINGS CORP. GENERAL PARTNER DAFNA HOLDINGS, L.P. 01/01/2013 Indirect Other
Fund Name Position direct/indirect start date end date
DAFNA CAPITAL MANAGEMENT, LLC GENERAL PARTNER indirect 2013-01-01

Private Funds

Name Country Fund Identification Number Fund Type Gross Asset Value Minimum Investment Other
DAFNA FUND, L.P. SERIES B United States 805-7168609403 Hedge Fund 1,880,100 1,000,000 Feeder Fund
DAFNA INTERNATIONAL FUND LTD. CLASS B Cayman Islands 805-5721555906 Hedge Fund 0 1,000,000 Feeder Fund
DAFNA LIFESCIENCE MARKET NEUTRAL, L.P. United States 805-1788565144 Hedge Fund 1,880,100 1,000,000 Master Fund
DAFNA FUND, L.P. SERIES C United States 805-6659495318 Hedge Fund 66,455,066 1,000,000 Feeder Fund
DAFNA LIFESCIENCE, L.P. United States 805-8416910955 Hedge Fund 113,773,541 1,000,000 Master Fund
DAFNA FUND, L.P. SERIES A United States 805-5205922049 Hedge Fund 84,162,419 1,000,000 Feeder Fund
DAFNA LIFESCIENCE SELECT, L.P. United States 805-1462572720 Hedge Fund 81,377,926 1,000,000 Master Fund
DAFNA INTERNATIONAL FUND LTD. CLASS C Cayman Islands 805-6783516990 Hedge Fund 14,922,859 1,000,000 Feeder Fund
DAFNA INTERNATIONAL FUND LTD. CLASS A Cayman Islands 805-5252921301 Hedge Fund 29,611,122 1,000,000 Feeder Fund

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