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

28 DECREASED 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
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
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
FLEXION THERAPEUTICS INC COM 4,464 -1,047 (19) 213,204
CHEMOCENTRYX INC COM 5,424 -1,695 (23.81) 800,000
CARDICA INC COM 5,768 -1 (0.01) 8,873,992
IGI LABS INC COM 10,724 -9,121 (45.96) 1,134,810
XENCOR INC COM 11,720 -330 (2.74) 753,683
INFINITY PHARMACEUTICALS INC COM 14,473 -9,895 (40.61) 854,384
NATUS MEDICAL INC DEL COM 16,584 -10,701 (39.22) 464,915


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