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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
+38.67%
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
$144M
AUM Growth
+$17.4M
Cap. Flow
-$19.7M
Cap. Flow %
-13.73%
Top 10 Hldgs %
45.16%
Holding
104
New
9
Increased
14
Reduced
21
Closed
29

Top Buys

Rank Stock Value
1
TNDM icon
Tandem Diabetes Care
TNDM
+$3M
2
ISEE
IVERIC bio, Inc. Common Stock
ISEE
+$2.63M
3
XENE icon
Xenon Pharmaceuticals
XENE
+$2.32M
4
ONC
BeOne Medicines Ltd
ONC
+$2.04M
5
ARDX icon
Ardelyx
ARDX
+$1.98M

Top Sells

Rank Stock Value
1
ABBV icon
AbbVie
ABBV
+$4.73M
2
RIGL icon
Rigel Pharmaceuticals
RIGL
+$4.32M
3
NVAX icon
Novavax
NVAX
+$4M
4
DERM
Dermira, Inc.
DERM
+$3.05M
5
NXTM
NxStage Medical Inc.
NXTM
+$2.75M

Sector Composition

Rank Sector Weight
1 Healthcare 68.49%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
MASI
51
DELISTED
Masimo
MASI
$595K 0.41%
10,000
– –
INNL
52
DELISTED
Innocoll Holdings plc Ordinary Shares
INNL
$581K 0.4%
100,000
– –
ARRY
53
DELISTED
Array Biopharma Inc
ARRY
$468K 0.33%
+69,300
New +$268K
NERV icon
54
Minerva Neurosciences
NERV
$191M
$467K 0.33%
4,138
-5,875
-59% -$570K
PVLA
55
Palvella Therapeutics
PVLA
$2.05B
$408K 0.28%
2,792
– –
BLUE
56
DELISTED
bluebird bio
BLUE
$407K 0.28%
463
-463
-50% -$335K
IMDZ
57
DELISTED
Immune Design Corp.
IMDZ
$303K 0.21%
+40,000
New +$292K
CYAD
58
DELISTED
Celyad Oncology SA American Depositary Shares
CYAD
$296K 0.21%
+12,528
New +$303K
NGNE icon
59
Neurogene
NGNE
$672M
$267K 0.19%
+1,000
New +$202K
NDRM
60
DELISTED
NeuroDerm Ltd. Ordinary Shares
NDRM
$267K 0.19%
14,421
– –
DXTR
61
DELISTED
Dextera Surgical Inc.
DXTR
$264K 0.18%
140,275
– –
NEOS
62
DELISTED
Neos Therapeutics, Inc
NEOS
$256K 0.18%
38,873
– –
PTN
63
Palatin Technologies
PTN
$14.4M
$162K 0.11%
+206
New +$145K
AVGR
64
DELISTED
Avinger, Inc. Common Stock
AVGR
– –
0
– –
ALPN
65
DELISTED
Alpine Immune Sciences Inc
ALPN
$122K 0.09%
3,750
– –
GYRE icon
66
Gyre Therapeutics
GYRE
$629M
$86K 0.06%
630
– –
GNVC
67
DELISTED
GenVec, Inc.
GNVC
$45K 0.03%
9,580
– –
CVM icon
68
CEL-SCI Corp
CVM
$19.9M
$39K 0.03%
170
– –
CHEKW
69
DELISTED
Check-Cap Ltd. Series A Warrant
CHEKW
$29K 0.02%
51,218
-2,270
-4% -$1.07K
ETRM
70
DELISTED
EnteroMedics Inc.
ETRM
$5K ﹤0.01%
476
– –
ABBV icon
71
AbbVie
ABBV
$465B
– –
-76,331
Closed -$4.73M
ABEO icon
72
Abeona Therapeutics
ABEO
$355M
– –
-7,273
Closed -$429K
ABUS icon
73
Arbutus Biopharma
ABUS
$847M
– –
-75,000
Closed -$261K
ADAP
74
DELISTED
Adaptimmune Therapeutics
ADAP
– –
-24,955
Closed -$203K
ADVM
75
DELISTED
Adverum Biotechnologies
ADVM
– –
-14,060
Closed -$444K
1 2
3
4

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DAFNA Capital Management's Q3 2016 Portfolio in Review

As of Q3 2016, DAFNA Capital Management held 104 positions worth $144M, up 14% from $126M the previous quarter. Its ten largest holdings account for 45% of the portfolio.

DAFNA Capital Management withdrew a net $19.7M in Q3 2016, closing 29 positions and reducing 21 holdings. Its most notable exit was AbbVie, an estimated $4.73M position sold in full.

By sector, the portfolio is most concentrated in Healthcare at 68% of assets, down from 71% a quarter earlier.

Against the trend, DAFNA Capital Management opened a new position in IVERIC bio, Inc. Common Stock worth $2.15M.

  • DAFNA Capital Management's largest Q3 2016 buy was IVERIC bio, Inc. Common Stock: 46,600 shares worth $2.15M.
  • DAFNA Capital Management added most to Tandem Diabetes Care in Q3 2016, an estimated $3M increase.
  • DAFNA Capital Management's biggest Q3 2016 reduction was Rigel Pharmaceuticals, cutting an estimated $4.32M.
  • DAFNA Capital Management fully exited AbbVie in Q3 2016, selling an estimated $4.73M.
  • DAFNA Capital Management's ten largest holdings make up 45% of its $144M portfolio in Q3 2016.
  • DAFNA Capital Management opened 9 new positions and closed 29 in Q3 2016.
  • DAFNA Capital Management's portfolio value rose 14% quarter-over-quarter to $144M.

Based on DAFNA Capital Management's 13F filing for Q3 2016, filed 14 Nov 2016.