BROADFIN CAPITAL, LLC Information

237 PARK AVENUE, 9TH FLOOR, NEW YORK, New York, 10017, (212) 808-2463

Report Date: 06/30/2014

Position Statistics

Total Positions 92
New Positions 7
Increased Positions 34
Decreased Positions 34
Positions with Activity 68
Sold Out Positions 25
Total Mkt Value (in $ millions) 924

Institutional Holdings information is filed by major institutions on form 13-F with the Securities and Exchange Commission.

Sector Weighting

Basic Materials
Capital Goods
Conglomerates 0.77%
Consumer Cyclical
Consumer/Non-Cyclical
Energy
Financial 2.2%
Healthcare 87.39%
Services 3.08%
Technology 0%
Transportation 0%
Utilities

68 Activity Positions as of 06/30/2014

Company Class Value of Shares ($1,000s) ▼ Change in Value ($1,000s) Change (%) Shares Held
RITE AID CORP COM 10,240 10,240 New 1,600,000
CARDICA INC COM 10,064 9,338 1,285.97 8,874,992
ARATANA THERAPEUTICS INC COM 9,875 1,812 22.47 817,435
ELEVEN BIOTHERAPEUTICS INC COM 9,641 -47 (0.49) 857,715
BIOSCRIP INC COM 9,490 7,673 422.22 1,148,885
IDERA PHARMACEUTICALS INC COM NEW 9,484 874 10.15 3,525,700
SAGENT PHARMACEUTICALS INC COM 8,766 -1,328 (13.15) 330,188
CORIUM INTL INC COM 8,302 8,302 New 1,400,000
OXYGEN BIOTHERAPEUTICS INC COM PAR $0.0001 8,190 4,059 98.28 1,968,631
QLT INC COM 7,386 3,022 69.25 1,328,392
ANTARES PHARMA INC COM 6,344 1,560 32.61 3,050,000
CAREFUSION CORP COM 5,631 5,631 New 125,000
AUXILIUM PHARMACEUTICALS INC COM 5,565 -2,061 (27.03) 300,000
CATALYST PHARM PARTNERS INC COM 5,448 5,448 New 2,400,000
POZEN INC COM 5,093 -3,268 (39.09) 659,730
DIPEXIUM PHARMACEUTICALS INC COM 4,299 138 3.31 475,000
LA JOLLA PHARMACEUTICAL CO COM PAR $.0001 2 3,955 895 29.24 387,721
RECRO PHARMA INC COM 3,832 241 6.70 672,195
AGENUS INC COM NEW 3,685 393 11.94 1,181,000
BIOTA PHARMACEUTIALS INC COM 2,682 1,160 76.24 1,122,133