BROADFIN CAPITAL, LLC Information

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

Report Date: 09/30/2015

Position Statistics

Total Positions 96
New Positions 8
Increased Positions 37
Decreased Positions 40
Positions with Activity 77
Sold Out Positions 14
Total Mkt Value (in $ millions) 906

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 1.39%
Consumer Cyclical
Consumer/Non-Cyclical
Energy
Financial
Healthcare 73.68%
Services
Technology 0%
Transportation
Utilities

8 New Positions as of 09/30/2015

Company Class Value of Shares ($1,000s) Change in Value ($1,000s) ▲ Change (%) Shares Held
TETRAPHASE PHARMACEUTICALS INC COM 723 723 New 160,047
PALATIN TECHNOLOGIES INC COM PAR $ .01 725 725 New 1,368,085
AMPLIPHI BIOSCIENCES CORP COM NEW 1,739 1,739 New 552,000
HEARTWARE INTL INC COM 8,096 8,096 New 239,675
CARDIOVASCULAR SYS INC DEL COM 10,152 10,152 New 1,200,000
SPECTRANETICS CORP COM 10,821 10,821 New 900,249
SEASPINE HLDGS CORP COM 12,410 12,410 New 1,000,007
MASIMO CORP COM 14,853 14,853 New 421,728