BROADFIN CAPITAL, LLC Information

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

Report Date: 09/30/2014

Position Statistics

Total Positions 78
New Positions 10
Increased Positions 26
Decreased Positions 28
Positions with Activity 54
Sold Out Positions 8
Total Mkt Value (in $ millions) 1,098

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 0.57%
Consumer Cyclical
Consumer/Non-Cyclical
Energy
Financial 1.53%
Healthcare 87.66%
Services 1.22%
Technology
Transportation
Utilities

54 Activity Positions as of 09/30/2014

Company Class Value of Shares ($1,000s) ▲ Change in Value ($1,000s) Change (%) Shares Held
AGENUS INC COM NEW -3,956 Sold Out 0
AUXILIUM PHARMACEUTICALS INC COM -10,041 Sold Out 0
BIOSCRIP INC COM -7,089 Sold Out 0
CAREFUSION CORP COM -7,363 Sold Out 0
HAEMONETICS CORP COM -137 Sold Out 0
LIPOCINE INC NEW COM -1,370 Sold Out 0
POZEN INC COM -5,344 Sold Out 0
SAGENT PHARMACEUTICALS INC COM -7,938 Sold Out 0
TONIX PHARMACEUTICALS HLDG COR COM NEW 1,700 -1,176 (40.9) 276,394
ANTHERA PHARMACEUTICALS INC COM NEW 2,278 937 69.85 1,301,622
ONCOTHYREON INC COM 2,700 2,700 New 1,500,000
RECRO PHARMA INC COM 2,895 1,235 74.38 1,172,195
NOVADAQ TECHNOLOGIES INC COM 3,194 -16,488 (83.77) 195,017
LIBERATOR MEDICAL HLDGS INC COM 3,280 -5,437 (62.37) 1,150,837
CAS MED SYS INC COM PAR $0.004 3,338 859 34.64 1,918,296
ACCURAY INC COM 3,580 3,580 New 500,000
CATALYST PHARM PARTNERS INC COM 4,025 -2,875 (41.67) 1,400,000
QLT INC COM 4,032 -644 (13.77) 1,145,527
IRADIMED CORP COM 4,117 4,117 New 410,884
FLEXION THERAPEUTICS INC COM 4,464 -1,047 (19) 213,204