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) 996

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 0.51%
Consumer Cyclical
Consumer/Non-Cyclical
Energy
Financial 1.63%
Healthcare 87.52%
Services 1.25%
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
AGENUS INC COM NEW -3,508 Sold Out 0
AUXILIUM PHARMACEUTICALS INC COM -9,990 Sold Out 0
BIOSCRIP INC COM -6,962 Sold Out 0
CAREFUSION CORP COM -7,284 Sold Out 0
HAEMONETICS CORP COM -132 Sold Out 0
LIPOCINE INC NEW COM -1,346 Sold Out 0
POZEN INC COM -5,891 Sold Out 0
SAGENT PHARMACEUTICALS INC COM -9,407 Sold Out 0
NOVADAQ TECHNOLOGIES INC COM 2,802 -14,465 (83.77) 195,017
LIBERATOR MEDICAL HLDGS INC COM 3,211 -5,323 (62.37) 1,150,837
TETRAPHASE PHARMACEUTICALS INC COM 21,468 -25,882 (54.66) 959,247
IGI LABS INC COM 10,679 -9,082 (45.96) 1,134,810
ANACOR PHARMACEUTICALS INC COM 25,049 -21,250 (45.9) 780,820
CATALYST PHARM PARTNERS INC COM 3,724 -2,660 (41.67) 1,400,000
TONIX PHARMACEUTICALS HLDG COR COM NEW 1,951 -1,350 (40.9) 276,394
INFINITY PHARMACEUTICALS INC COM 12,141 -8,300 (40.61) 854,384
BIODELIVERY SCIENCES INTL INC COM 29,389 -19,371 (39.73) 2,032,435
NATUS MEDICAL INC DEL COM 15,742 -10,158 (39.22) 464,915
UNIVERSAL AMERN CORP NEW COM 16,246 -5,237 (24.38) 1,880,359
CHEMOCENTRYX INC COM 3,888 -1,215 (23.81) 800,000