SEC 13F Intelligence

Managers / Q4 2021 · view latest →

DAFNA Capital Management LLC

CIK 0001389933 · 10990 WILSHIRE BOULEVARD, SUITE 1400, LOS ANGELES, CA, 90024 · (310) 954-3200

Reported Value
$398M
Q4 2021
Positions
87
Filings on Record
30
2019–present window
Filed
Feb 14, 2022
original filing

Summary

Dafna Capital Management LLC reported $398M in U.S.-listed holdings across 87 positions for Q4 2021.

The portfolio is heavily concentrated: RJR1 alone accounts for 21.3% of reported value.

Compared with Q3 2021, the fund opened 13 new positions and exited 6.

Portfolio Metrics

Turnover
+14.7%
vs prior filed quarter
Top-10 Concentration
+51.4%
share of reported value
Largest Position
+21.3%
Stereotaxis
New / Exited
13 / 6
positions this quarter

Methodology: turnover is min(value bought, value sold) ÷ average reported value across the two quarters — value-based, so market moves inflate it slightly versus a share-based measure. Concentration and largest position are shares of the filing’s total reported value, options excluded. New/exited counts compare against the prior filed quarter. All figures derive solely from the fund’s 13F filings.

Reported Value by Quarter

13F Reported Value
Q4 ’18: $201MQ4 ’18Q1 ’19: $232MQ2 ’19: $266MQ3 ’19: $266MQ4 ’19: $291MQ4 ’19Q1 ’20: $240MQ2 ’20: $347MQ3 ’20: $308MQ4 ’20: $336MQ4 ’20Q1 ’21: $421MQ2 ’21: $478MQ3 ’21: $377MQ4 ’21: $398MQ4 ’21Q1 ’22: $384MQ2 ’22: $367MQ3 ’22: $372MQ4 ’22: $355MQ4 ’22Q1 ’23: $334MQ2 ’23: $366MQ3 ’23: $321MQ4 ’23: $417MQ4 ’23Q1 ’24: $439MQ2 ’24: $419MQ3 ’24: $423MQ4 ’24: $393MQ4 ’24Q1 ’25: $353MQ2 ’25: $362MQ3 ’25: $405MQ4 ’25: $431MQ4 ’25Q1 ’26: $440Mfilingsflow.com

Portfolio Composition

By security type
Common Stock: 82.3%Other: 13.2%ADR: 1.6%ETP: 1.6%US DOMESTIC: 1.3%
  • Common Stock · 82.3% · $327M
  • Other · 13.2% · $53M
  • ADR · 1.6% · $7M
  • ETP · 1.6% · $6M
  • US DOMESTIC · 1.3% · $5M

Quarter-over-Quarter Changes full breakdown →

vs Q3 2021 (amended baseline)

IssuerMoveShare ΔShares nowValue ΔValue now
PARDES BIOSCIENCES INCNEW+233.5K233.5K+$4M$4M
AXGNAXOGEN INCNEW+332.1K332.1K+$3M$3M
BMEABIOMEA FUSION INCNEW+313.9K313.9K+$2M$2M
RGLSUSDREGULUS THERAPEUTICS INCNEW+5.56M5.56M+$2M$2M
SURFUSDSURFACE ONCOLOGY INCNEW+315.0K315.0K+$2M$2M
ASCENDIS PHARMA A/SNEW+11.0K11.0K+$1M$1M
THESEUS PHARMACEUTICALS INCNEW+97.5K97.5K+$1M$1M
WAVE LIFE SCIENCES LTDNEW+390.2K390.2K+$1M$1M

Value changes conflate price moves with buying and selling — share changes are the real signal. Share counts are not split-adjusted.

Holdings — Q4 2021

50 positions
Export to Excel
#IssuerClass% PortfolioValue ↓Shares
1RJR1STEREOTAXIS INChistory →COM NEW21.33%$85M13.68M
22655787DBLUEPRINT MEDICINES CORPhistory →COM5.57%$22M206.9K
3FATEFATE THERAPEUTICS INChistory →COM5.48%$22M372.2K
4TORCEURADICET BIO INChistory →COM3.22%$13M733.2K
5XENEXENON PHARMACEUTICALS INChistory →COM3.16%$13M402.7K
6ARNAEURARENA PHARMACEUTICALS INChistory →COM NEW2.80%$11M119.6K
7IDYAIDEAYA BIOSCIENCES INChistory →COM2.73%$11M460.1K
8DC4DEXCOM INChistory →COM2.45%$10M18.1K
9KARUNA THERAPEUTICS INCCOM2.39%$9M72.4K
10NRIXNURIX THERAPEUTICS INChistory →COM2.23%$9M306.3K
11MORFUSDMORPHIC HLDG INChistory →COM2.16%$9M181.5K
12BIOHAVEN PHARMACTL HLDG CO LCOM2.01%$8M58.1K
13SG7SAGE THERAPEUTICS INChistory →COM1.93%$8M180.3K
14MERUS N VCOM1.81%$7M226.1K
15NBIXNEUROCRINE BIOSCIENCES INChistory →COM1.79%$7M83.7K
16SNDXSYNDAX PHARMACEUTICALS INChistory →COM1.63%$6M296.5K
17ISHARES TR NASDAQ BIOTECHETF1.57%$6M40.9K
18CYTKCYTOKINETICS INChistory →COM NEW1.54%$6M134.1K
19CYMABAY THERAPEUTICS INCCOM1.52%$6M1.79M
20CSIIEURCARDIOVASCULAR SYS INChistory →COM1.36%$5M287.0K
21RVMDREVOLUTION MEDICINES INChistory →COM1.34%$5M212.2K
22ATRCATRICURE INChistory →COM1.26%$5M72.0K
23RCUSARCUS BIOSCIENCES INChistory →COM1.19%$5M117.2K
24MEI PHARMA INCCOM NEW1.18%$5M1.76M
25OPHTEURIVERIC BIO INChistory →COM1.16%$5M276.0K
26OTICEUROTONOMY INChistory →COM1.15%$5M2.20M
27BABYEURNATUS MED INChistory →COM1.14%$5M190.6K
28XEJACCURAY INChistory →COM1.13%$4M941.8K
29RADIUS HEALTH INCNOTE 3.000% 9/00.97%$4M4.00M
30PARDES BIOSCIENCES INCCOM0.96%$4M233.5K
31F-STAR THERAPEUTICS INCCOM0.88%$3M693.8K
32ALECALECTOR INCCOM0.81%$3M155.2K
33AFFIMED N VCOM0.79%$3M571.3K
34AXGNAXOGEN INCCOM0.78%$3M332.1K
354XC1KALVISTA PHARMACEUTICALS INCCOM0.63%$3M190.7K
362662247DITEOS THERAPEUTICS INCCOM0.63%$3M54.1K
37GALAPAGOS NVSPON ADR0.59%$2M42.7K
38BMEABIOMEA FUSION INCCOM0.59%$2M313.9K
39RIGLUSDRIGEL PHARMACEUTICALS INCCOM NEW0.59%$2M879.0K
40TURNING POINT THERAPEUTICS ICOM0.56%$2M46.5K
41ATHIRA PHARMA INCCOM0.53%$2M161.0K
42VKTXVIKING THERAPEUTICS INCCOM0.52%$2M447.4K
43AERIEURAERIE PHARMACEUTICALS INCCOM0.51%$2M289.0K
44COGTCOGENT BIOSCIENCES INCCOM0.48%$2M223.6K
45ETNBGBP89BIO INCCOM0.48%$2M144.7K
46KNTEUSDKINNATE BIOPHARMA INCCOM0.47%$2M106.5K
47MREOMEREO BIOPHARMA GROUP PLCADS0.45%$2M1.13M
48RGLSUSDREGULUS THERAPEUTICS INCCOM NEW0.44%$2M5.56M
49VENUS CONCEPT INCCOM0.42%$2M975.7K
50IPSCCENTURY THERAPEUTICS INCCOM0.40%$2M100.1K

Filing History

QuarterReported ValuePositionsFiledTypeLinks
Q1 2026$440M83May 15, 202613F-HRchanges · EDGAR ↗
Q4 2025$431M77Feb 17, 202613F-HRchanges · EDGAR ↗
Q3 2025$405M75Nov 14, 202513F-HRchanges · EDGAR ↗
Q2 2025$362M76Aug 14, 202513F-HRchanges · EDGAR ↗
Q1 2025$353M83May 15, 202513F-HRchanges · EDGAR ↗
Q4 2024$393M82Feb 14, 202513F-HRchanges · EDGAR ↗
Q3 2024$423M84Nov 14, 202413F-HRchanges · EDGAR ↗
Q2 2024$419M83Aug 14, 202413F-HRchanges · EDGAR ↗
Q1 2024$439M72May 15, 202413F-HRchanges · EDGAR ↗
Q4 2023$417M76Feb 14, 202413F-HRchanges · EDGAR ↗
Q3 2023$321M75Nov 14, 202313F-HRchanges · EDGAR ↗
Q2 2023$366M73Aug 14, 202313F-HRchanges · EDGAR ↗
Q1 2023$334M72May 15, 202313F-HRchanges · EDGAR ↗
Q4 2022$355M79Feb 14, 202313F-HRchanges · EDGAR ↗
Q3 2022$372M87Nov 14, 202213F-HRchanges · EDGAR ↗
Q2 2022$367M90Aug 15, 202213F-HRchanges · EDGAR ↗
Q1 2022$384M94May 16, 202213F-HRchanges · EDGAR ↗
Q4 2021$398M87Feb 14, 202213F-HRchanges · EDGAR ↗
Q3 2021$377M80Nov 15, 202113F-HRchanges · EDGAR ↗
Q2 2021$478M84Aug 16, 202113F-HRchanges · EDGAR ↗
Q1 2021$421M89May 17, 202113F-HRchanges · EDGAR ↗
Q4 2020$336M74Feb 16, 202113F-HRchanges · EDGAR ↗
Q3 2020$308M80Nov 16, 202013F-HRchanges · EDGAR ↗
Q2 2020$347M87Aug 14, 202013F-HRchanges · EDGAR ↗
Q1 2020$240M80May 15, 202013F-HRchanges · EDGAR ↗
Q4 2019$291M81Feb 14, 202013F-HRchanges · EDGAR ↗
Q3 2019$266M89Nov 14, 201913F-HRchanges · EDGAR ↗
Q2 2019$266M87Aug 14, 201913F-HRchanges · EDGAR ↗
Q1 2019$232M79May 15, 201913F-HRchanges · EDGAR ↗
Q4 2018$201M83Feb 14, 201913F-HRchanges · EDGAR ↗

Other Included Managers

This filing reports holdings on behalf of 1 additional manager.

  • Fischel Nathan028-12328

13F filings are due up to 45 days after quarter end, so holdings shown here lag the fund’s current book. Source: original SEC filing on EDGAR ↗.