BROADFIN CAPITAL, LLC Information

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

Report Date: 03/31/2016

Position Statistics

Total Positions 84
New Positions 3
Increased Positions 13
Decreased Positions 40
Positions with Activity 53
Sold Out Positions 18
Total Mkt Value (in $ millions) 858

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 1.42%
Consumer Cyclical
Consumer/Non-Cyclical
Energy
Financial
Healthcare 79.22%
Services
Technology
Transportation
Utilities

84 Positions as of 03/31/2016

Company Class Value of Shares ($1,000s) ▼ Change in Value ($1,000s) Change (%) Shares Held
TREVENA INC COM 5,558 -1,282 (18.74) 812,579
DIPEXIUM PHARMACEUTICALS INC COM 5,359 New 465,978
TENAX THERAPEUTICS INC COM 5,158 New 1,968,631
CATALYST PHARMACEUTICALS INC COM 4,904 2,402 96.02 8,200,000
IDERA PHARMACEUTICALS INC COM NEW 4,735 New 3,094,745
CAS MED SYS INC COM PAR $0.004 4,615 -229 (4.73) 2,494,534
ANTHERA PHARMACEUTICALS INC COM NEW 4,157 New 1,154,674
MEDIWOUND LTD ORD SHS 4,152 New 530,985
MIRATI THERAPEUTICS INC COM 3,269 -708 (17.81) 193,863
NEXVET BIOPHARMA PUB LTD CO ORD SHS 2,820 785 38.58 1,000,000
PROTALIX BIOTHERAPEUTICS INC COM 2,709 38 1.43 3,386,285
SCYNEXIS INC COM 2,448 -70 (2.79) 753,373
PERNIX THERAPEUTICS HLDGS INC COM 2,436 New 6,090,829
CARDICA INC COM NEW 2,325 New 887,499
CONTRAFECT CORP COM 2,078 -1,411 (40.43) 844,906
TONIX PHARMACEUTICALS HLDG COR COM NEW 1,958 -153 (7.27) 825,986
CIDARA THERAPEUTICS INC COM 1,899 New 166,875
WINDTREE THERAPEUTICS INC COM 1,890 (0) 777,797
KEMPHARM INC COM 1,834 -2,648 (59.08) 299,695
ARDELYX INC COM 1,721 -1,060 (38.11) 216,180