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DCM

DAFNA Capital Management Portfolio holdings

AUM $440M
1-Year Est. Return 109.12%
This Fund
S&P 500
This Quarter Est. Return
-4.59%
1 Year Est. Return
+109.12%
3 Year Est. Return
+239.59%
5 Year Est. Return
+227.89%
10 Year Est. Return
+3,611.91%
AUM
$99.1M
AUM Growth
-$6.37M
Cap. Flow
+$1.03M
Cap. Flow %
1.04%
Top 10 Hldgs %
58.86%
Holding
65
New
16
Increased
6
Reduced
7
Closed
6

Top Buys

Rank Stock Value
1
ASPX
AUSPEX PHARMACEUTICALS INC COM STK (DE)
ASPX
+$3.23M
2
OCRX
Ocera Therapeutics, Inc.
OCRX
+$2.97M
3
AERI
Aerie Pharmaceuticals
AERI
+$2.87M
4
CLVS
Clovis Oncology, Inc.
CLVS
+$1.54M
5
NBIX icon
Neurocrine Biosciences
NBIX
+$989K

Top Sells

Rank Stock Value
1
AMPE
Ampio Pharmaceuticals Inc.
AMPE
+$7.02M
2
VXRT
Vaxart
VXRT
+$2.08M
3
ARCT icon
Arcturus Therapeutics
ARCT
+$1.47M
4
KERX
Keryx Biopharmaceuticals Inc
KERX
+$1.42M
5
GLMD icon
Galmed Pharmaceuticals
GLMD
+$677K

Sector Composition

Rank Sector Weight
1 Healthcare 55.76%
2 Financials 1.1%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
GNVC
51
DELISTED
GenVec, Inc.
GNVC
$208K 0.21%
10,000
– –
CEMI
52
DELISTED
Chembio diagnostics, Inc.
CEMI
$205K 0.21%
55,202
– –
TNXP icon
53
Tonix Pharmaceuticals
TNXP
$161M
– –
0
– –
NSPR icon
54
InspireMD
NSPR
$31.5M
– –
0
– –
GBIM
55
DELISTED
GLOBEIMMUNE INC COM STK (DE)
GBIM
$74K 0.07%
+10,745
New +$110K
RVP icon
56
Retractable Technologies
RVP
$20.1M
$58K 0.06%
20,000
– –
ARCT icon
57
Arcturus Therapeutics
ARCT
$168M
– –
-12,142
Closed -$1.47M
ARDX icon
58
Ardelyx
ARDX
$1.25B
– –
-25,000
Closed -$399K
VXRT
59
DELISTED
Vaxart
VXRT
– –
-66,344
Closed -$2.08M
KERX
60
DELISTED
Keryx Biopharmaceuticals Inc
KERX
– –
-92,400
Closed -$1.42M
TBRA
61
DELISTED
Tobira Therapeutics, Inc. Common Stock
TBRA
– –
-3,333
Closed -$204K
NWBO
62
DELISTED
Northwest Biotherapeutics, Inc. Common stock
NWBO
– –
-12,017
Closed -$81K
1 2
3

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DAFNA Capital Management's Q3 2014 Portfolio in Review

As of Q3 2014, DAFNA Capital Management held 65 positions worth $99.1M, down 6% from $106M the previous quarter. Its ten largest holdings account for 59% of the portfolio.

DAFNA Capital Management's Q3 2014 filing shows 16 new, 6 increased, 7 reduced and 6 closed positions. Its largest new stake was AUSPEX PHARMACEUTICALS INC COM STK (DE): 152,002 shares worth $3.9M. The largest sale was Ampio Pharmaceuticals Inc., an estimated $7.02M.

By sector, the portfolio is most concentrated in Healthcare at 56% of assets, down from 70% a quarter earlier, followed by Financials.

  • DAFNA Capital Management's largest Q3 2014 buy was AUSPEX PHARMACEUTICALS INC COM STK (DE): 152,002 shares worth $3.9M.
  • DAFNA Capital Management added most to Ocera Therapeutics, Inc. in Q3 2014, an estimated $2.97M increase.
  • DAFNA Capital Management's biggest Q3 2014 reduction was Ampio Pharmaceuticals Inc., cutting an estimated $7.02M.
  • DAFNA Capital Management fully exited Vaxart in Q3 2014, selling an estimated $2.08M.
  • DAFNA Capital Management's ten largest holdings make up 59% of its $99.1M portfolio in Q3 2014.
  • DAFNA Capital Management opened 16 new positions and closed 6 in Q3 2014.
  • DAFNA Capital Management's portfolio value fell 6% quarter-over-quarter to $99.1M.

Based on DAFNA Capital Management's 13F filing for Q3 2014, filed 14 Nov 2014.