BROADFIN CAPITAL, LLC Information

300 PARK AVENUE, 25TH FLOOR, NEW YORK, New York, 10022, (212) 808-2463

Report Date: 12/31/2016

Position Statistics

Total Positions 68
New Positions 7
Increased Positions 26
Decreased Positions 24
Positions with Activity 50
Sold Out Positions 10
Total Mkt Value (in $ millions) 897

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

Sector Weighting

Energy
Basic Materials
Industrials
Consumer Cyclicals
Consumer Non-Cyclicals
Financials 0.11%
Healthcare 99.89%
Technology
Telecommunication Services
Utilities

50 Activity Positions as of 12/31/2016

Company Class Value of Shares ($1,000s) ▼ Change in Value ($1,000s) Change (%) Shares Held
ANTHERA PHARMACEUTICALS INC COM NEW -501 Sold Out 0
CARDIOVASCULAR SYS INC DEL COM -6,522 Sold Out 0
CAS MED SYS INC COM PAR $0.004 -815 Sold Out 0
DEPOMED INC COM -5,400 Sold Out 0
DYNAVAX TECHNOLOGIES CORP COM NEW -8,087 Sold Out 0
INTERSECT ENT INC COM -10,920 Sold Out 0
OPHTHOTECH CORP COM -1,480 Sold Out 0
RXI PHARMACEUTICALS CORP NEW COM -273 Sold Out 0
TANDEM DIABETES CARE INC COM -384 Sold Out 0
TREVENA INC COM -1,845 Sold Out 0