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) 1,156

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 0.66%
Consumer Cyclical
Consumer/Non-Cyclical
Energy
Financial 1.47%
Healthcare 86.57%
Services 1.4%
Technology
Transportation
Utilities

78 Positions as of 09/30/2014

Company Class Value of Shares ($1,000s) ▼ Change in Value ($1,000s) Change (%) Shares Held
CAS MED SYS INC COM PAR $0.004 2,973 765 34.64 1,918,296
NOVADAQ TECHNOLOGIES INC COM 2,785 -14,374 (83.77) 195,017
ANTHERA PHARMACEUTICALS INC COM NEW 2,694 1,108 69.85 1,301,622
CELSUS THERAPEUTICS PLC SPONSORED ADR NE 2,651 New 470,877
ONCOTHYREON INC COM 2,295 2,295 New 1,500,000
BIODEL INC COM NEW 1,942 New 1,330,034
TONIX PHARMACEUTICALS HLDG COR COM NEW 1,714 -1,186 (40.9) 276,394
IGNYTA INC COM 1,544 New 225,000
DIGIRAD CORP COM 1,416 New 332,480
RXI PHARMACEUTICALS CORP NEW COM NEW 1,318 New 1,126,482
AGENUS INC COM NEW -5,858 Sold Out 0
AUXILIUM PHARMACEUTICALS INC COM -10,785 Sold Out 0
BIOSCRIP INC COM -6,801 Sold Out 0
CAREFUSION CORP COM -7,471 Sold Out 0
HAEMONETICS CORP COM -136 Sold Out 0
LIPOCINE INC NEW COM -1,384 Sold Out 0
POZEN INC COM -4,651 Sold Out 0
SAGENT PHARMACEUTICALS INC COM -8,578 Sold Out 0