Form 13F-HR Broadfin Capital, LLC For: Dec 31
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The Securities and Exchange Commission has not necessarily reviewed
the information in this filing and has not determined if it is
accurate and complete.
The reader should not assume that the information is accurate
and complete.
|
|
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM 13F
FORM 13F COVER PAGE
|
| OMB APPROVAL |
| OMB Number: |
3235-0006 |
| Expires: |
July 31, 2015 |
| Estimated average burden |
| hours per response: |
23.8 |
|
|
| Report for the Calendar Year or Quarter Ended: |
12-31-2019 |
| Check here if Amendment |
|
Amendment Number: |
|
| This Amendment (Check only one.): |
|
is a restatement. |
|
|
adds new holdings entries. |
| Institutional Investment Manager Filing
this Report: |
| Name: |
Broadfin Capital, LLC |
| Address: |
300 PARK AVENUE, 25th FLOOR |
|
|
|
New York
,
NY10022
|
| Form 13F File Number: |
028-14251 |
The institutional investment manager filing this report and
the person by whom it is signed hereby represent that the person
signing the report is authorized to submit it, that all information
contained herein is true, correct and complete, and that it is
understood that all required items, statements, schedules, lists, and
tables, are considered integral parts of this form.
| Person Signing this Report on Behalf of
Reporting Manager: |
| Name: |
Kevin Kotler |
| Title: |
Managing Member |
| Phone: |
212-808-2460 |
| Signature, Place, and Date of Signing: |
| Kevin Kotler |
New York
,
NY
|
02-14-2020 |
| [Signature] |
[City, State] |
[Date] |
|
| Report Type (Check only one.): |
| X |
13F HOLDINGS REPORT. (Check here if all holdings of
this reporting manager are reported in this report.) |
|
|
13F NOTICE. (Check here if no holdings reported are in
this report, and all holdings are reported by other reporting
manager(s).) |
|
|
13F COMBINATION REPORT. (Check here if a portion of
the holdings for this reporting manager are reported in this
report and a portion are reported by other reporting manager(s).) |
| Form 13F Summary Page |
|
Report Summary: |
|
Number of Other Included
Managers: |
1 |
|
|
|
Form 13F Information Table Entry Total: |
40 |
|
Form 13F Information Table Value Total: |
746,813 |
|
(thousands) |
|
List of Other Managers Reporting for this Manager:
[If there are no entries in this list, omit this section.]
|
|
|
Form 13F File Number |
Name |
|
28-14254 |
Broadfin Healthcare Master Fund Ltd |
| List of Other Included
Managers: |
|
Provide a numbered list of the name(s) and Form 13F file number(s)
of all institutional investment managers with respect to which this
report is filed, other than the
manager filing this report.
|
|
[If there are no entries in this list, state “NONE” and omit the
column headings and list entries.]
|
|
No. |
Form 13F File Number |
Name |
|
1 |
28-14254 |
Broadfin Healthcare Master Fund Ltd |
The Securities and Exchange Commission has not necessarily
reviewed the information in this filing and has not determined
if it is accurate and complete.
The reader should not assume that the information is
accurate and complete.
|
|
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM 13F
FORM 13F INFORMATION TABLE
|
| OMB APPROVAL |
| OMB Number: |
3235-0006 |
| Expires: |
July 31, 2015 |
| Estimated average
burden |
| hours per response:
|
23.8 |
|
|
| COLUMN 1 |
COLUMN 2 |
COLUMN 3 |
COLUMN 4 |
COLUMN 5 |
COLUMN 6 |
COLUMN 7 |
COLUMN 8 |
|
|
|
VALUE |
SHRS OR |
SH/ |
PUT/ |
INVESTMENT |
OTHER |
VOTING AUTHORITY |
| NAME OF ISSUER |
TITLE OF CLASS |
CUSIP |
(x$1000) |
PRN AMT |
PRN |
CALL |
DISCRETION |
MANAGER |
SOLE |
SHARED |
NONE |
| ACLARIS THERAPEUTICS INC |
COM |
00461U105 |
3,568 |
1,888,039 |
SH |
|
DFND |
1 |
1,888,039 |
0 |
0 |
| ALEXION PHARMACEUTICALS INC |
COM |
015351109 |
8,987 |
83,100 |
SH |
|
DFND |
1 |
83,100 |
0 |
0 |
| AMARIN CORP PLC |
SPONS ADR NEW |
023111206 |
22,496 |
1,049,244 |
SH |
|
DFND |
1 |
1,049,244 |
0 |
0 |
| ANAPTYSBIO INC |
COM |
032724106 |
3,601 |
221,600 |
SH |
|
DFND |
1 |
221,600 |
0 |
0 |
| AURINIA PHARMACEUTICALS INC |
COM |
05156V102 |
8,104 |
400,000 |
SH |
|
DFND |
1 |
400,000 |
0 |
0 |
| AVADEL PHARMACEUTICALS PLC |
SPONSORED ADR |
05337M104 |
7,769 |
1,029,012 |
SH |
|
DFND |
1 |
1,029,012 |
0 |
0 |
| BIODELIVERY SCIENCES INTL IN |
COM |
09060J106 |
27,176 |
4,300,066 |
SH |
|
DFND |
1 |
4,300,066 |
0 |
0 |
| DERMIRA INC |
COM |
24983L104 |
13,588 |
896,334 |
SH |
|
DFND |
1 |
896,334 |
0 |
0 |
| EIGER BIOPHARMACEUTICALS INC |
COM |
28249U105 |
18,422 |
1,236,368 |
SH |
|
DFND |
1 |
1,236,368 |
0 |
0 |
| EXICURE INC |
COM |
30205M101 |
7,744 |
2,707,851 |
SH |
|
DFND |
1 |
2,707,851 |
0 |
0 |
| HERON THERAPEUTICS INC |
COM |
427746102 |
2,109 |
89,730 |
SH |
|
DFND |
1 |
89,730 |
0 |
0 |
| ICU MED INC |
COM |
44930G107 |
5,614 |
30,000 |
SH |
|
DFND |
1 |
30,000 |
0 |
0 |
| INTERSECT ENT INC |
COM |
46071F103 |
15,712 |
631,023 |
SH |
|
DFND |
1 |
631,023 |
0 |
0 |
| IOVANCE BIOTHERAPEUTICS INC |
COM |
462260100 |
14,762 |
533,301 |
SH |
|
DFND |
1 |
533,301 |
0 |
0 |
| ISHARES TR |
RUSSELL 2000 ETF |
464287655 |
132,536 |
800,000 |
SH |
Put |
DFND |
1 |
800,000 |
0 |
0 |
| LA JOLLA PHARMACEUTICAL CO |
COM PAR $.0001 2 |
503459604 |
10,564 |
2,688,068 |
SH |
|
DFND |
1 |
2,688,068 |
0 |
0 |
| LANTHEUS HLDGS INC |
COM |
516544103 |
12,674 |
617,953 |
SH |
|
DFND |
1 |
617,953 |
0 |
0 |
| LUMINEX CORP DEL |
COM |
55027E102 |
4,807 |
207,553 |
SH |
|
DFND |
1 |
207,553 |
0 |
0 |
| NANOSTRING TECHNOLOGIES INC |
COM |
63009R109 |
15,457 |
555,600 |
SH |
|
DFND |
1 |
555,600 |
0 |
0 |
| PALATIN TECHNOLOGIES INC |
COM PAR $ .01 |
696077403 |
819 |
1,047,310 |
SH |
|
DFND |
1 |
1,047,310 |
0 |
0 |
| PROGENICS PHARMACEUTICALS IN |
COM |
743187106 |
15,580 |
3,060,923 |
SH |
|
DFND |
1 |
3,060,923 |
0 |
0 |
| RECRO PHARMA INC |
COM |
75629F109 |
13,217 |
721,073 |
SH |
|
DFND |
1 |
721,073 |
0 |
0 |
| RELMADA THERAPEUTICS INC |
COM |
75955J402 |
8,608 |
220,724 |
SH |
|
DFND |
1 |
220,724 |
0 |
0 |
| SPDR S&P 500 ETF TR |
TR UNIT |
78462F103 |
141,618 |
440,000 |
SH |
Put |
DFND |
1 |
440,000 |
0 |
0 |
| SPDR SERIES TRUST |
S&P BIOTECH |
78464A870 |
33,289 |
350,000 |
SH |
Put |
DFND |
1 |
350,000 |
0 |
0 |
| SCYNEXIS INC |
COM |
811292101 |
1,820 |
2,000,000 |
SH |
|
DFND |
1 |
2,000,000 |
0 |
0 |
| SIENTRA INC |
COM |
82621J105 |
11,506 |
1,286,987 |
SH |
|
DFND |
1 |
1,286,987 |
0 |
0 |
| STAAR SURGICAL CO |
COM PAR $0.01 |
852312305 |
16,253 |
462,118 |
SH |
|
DFND |
1 |
462,118 |
0 |
0 |
| STRATA SKIN SCIENCES INC |
COM NEW |
86272A206 |
3,826 |
1,839,372 |
SH |
|
DFND |
1 |
1,839,372 |
0 |
0 |
| VAPOTHERM INC |
COM |
922107107 |
12,198 |
1,003,099 |
SH |
|
DFND |
1 |
1,003,099 |
0 |
0 |
| VERICEL CORP |
COM |
92346J108 |
10,791 |
620,199 |
SH |
|
DFND |
1 |
620,199 |
0 |
0 |
| VIEWRAY INC |
COM |
92672L107 |
23,524 |
5,574,366 |
SH |
|
DFND |
1 |
5,574,366 |
0 |
0 |
| ZOGENIX INC |
COM NEW |
98978L204 |
7,034 |
134,937 |
SH |
|
DFND |
1 |
134,937 |
0 |
0 |
| ALKERMES PLC |
SHS |
G01767105 |
21,083 |
1,033,500 |
SH |
|
DFND |
1 |
1,033,500 |
0 |
0 |
| ALKERMES PLC |
SHS |
G01767105 |
4,080 |
200,000 |
SH |
Call |
DFND |
1 |
200,000 |
0 |
0 |
| BIOHAVEN PHARMACTL HLDG CO L |
COM |
G11196105 |
22,284 |
409,338 |
SH |
|
DFND |
1 |
409,338 |
0 |
0 |
| BIOHAVEN PHARMACTL HLDG CO L |
COM |
G11196105 |
32,664 |
600,000 |
SH |
Call |
DFND |
1 |
600,000 |
0 |
0 |
| QUOTIENT LTD |
SHS |
G73268107 |
18,965 |
1,994,183 |
SH |
|
DFND |
1 |
1,994,183 |
0 |
0 |
| SOL GEL TECHNOLOGIES |
SHS |
M8694L103 |
8,949 |
521,819 |
SH |
|
DFND |
1 |
521,819 |
0 |
0 |
| MYLAN N V |
SHS EURO |
N59465109 |
3,015 |
150,000 |
SH |
|
DFND |
1 |
150,000 |
0 |
0 |
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