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) 1,178

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 0.68%
Consumer Cyclical
Consumer/Non-Cyclical
Energy
Financial 1.48%
Healthcare 86.9%
Services 1.35%
Technology
Transportation
Utilities

28 DECREASED Positions as of 09/30/2014

Company Class Value of Shares ($1,000s) ▼ Change in Value ($1,000s) Change (%) Shares Held
FLAMEL TECHNOLOGIES SA SPONSORED ADR 73,082 -3,830 (4.98) 5,005,613
AMAG PHARMACEUTICALS INC COM 67,501 -20,106 (22.95) 1,510,775
DEPOMED INC COM 43,636 -2,980 (6.39) 2,313,702
TETRAPHASE PHARMACEUTICALS INC COM 36,519 -44,028 (54.66) 959,247
ANACOR PHARMACEUTICALS INC COM 30,108 -25,542 (45.9) 780,820
BIODELIVERY SCIENCES INTL INC COM 27,702 -18,259 (39.73) 2,032,435
ATRICURE INC COM 18,842 -1,207 (6.02) 925,902
NATUS MEDICAL INC DEL COM 17,839 -11,511 (39.22) 464,915
UNIVERSAL AMERN CORP NEW COM 17,487 -5,637 (24.38) 1,880,359
INFINITY PHARMACEUTICALS INC COM 13,004 -8,890 (40.61) 854,384
IGI LABS INC COM 11,825 -10,057 (45.96) 1,134,810
XENCOR INC COM 11,705 -329 (2.74) 753,683
CHEMOCENTRYX INC COM 7,056 -2,205 (23.81) 800,000
CARDICA INC COM 5,324 -1 (0.01) 8,873,992
QLT INC COM 4,960 -792 (13.77) 1,145,527
CATALYST PHARM PARTNERS INC COM 4,788 -3,420 (41.67) 1,400,000
FLEXION THERAPEUTICS INC COM 4,618 -1,083 (19) 213,204
LIBERATOR MEDICAL HLDGS INC COM 3,763 -6,239 (62.37) 1,150,837
NOVADAQ TECHNOLOGIES INC COM 2,789 -14,394 (83.77) 195,017
TONIX PHARMACEUTICALS HLDG COR COM NEW 1,725 -1,193 (40.9) 276,394