-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, HcGQIHtiJFPQA3aSEPAS3KZcj61Wz8nGt8kFLaa3sM70HGNAlRvUDMd8rbHtpSWd 0hm9v4QQ2JrKD/3dJ/3DKQ== 0000919574-11-001162.txt : 20110214 0000919574-11-001162.hdr.sgml : 20110214 20110214112607 ACCESSION NUMBER: 0000919574-11-001162 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20101231 FILED AS OF DATE: 20110214 DATE AS OF CHANGE: 20110214 EFFECTIVENESS DATE: 20110214 FILER: COMPANY DATA: COMPANY CONFORMED NAME: Broadfin Capital, LLC CENTRAL INDEX KEY: 0001511901 IRS NUMBER: 000000000 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-14251 FILM NUMBER: 11603371 BUSINESS ADDRESS: STREET 1: 237 PARK AVENUE, 9TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10017 BUSINESS PHONE: 212-808-2463 MAIL ADDRESS: STREET 1: 237 PARK AVENUE, 9TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10017 13F-HR 1 d1169125_13f-hr.txt UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 13F FORM 13F Cover Page Report for the Calendar Year or Quarter Ended: December 31, 2010 Check here if Amendment: |_|; Amendment Number: ____ This Amendment (Check only one): |_| is a restatement |_| adds new holding entries. Institutional Manager Filing this Report: Name: Broadfin Capital, LLC Address: 237 Park Avenue Ninth Floor New York, NY 10017 13F File Number: 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: /s/ Kevin Kotler New York, New York February 14, 2011 - ------------------- --------------------------- -------------------- [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 managers(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).) List of Other Managers Reporting for this Manager: None Form 13F SUMMARY PAGE Report Summary: Number of Other Included Managers: 1 Form 13F Information Table Entry Total: 44 Form 13F Information Table Value Total: $117,108 (thousands) List of Other Included Managers: Form 13F File Number Name (1) Broadfin Healthcare Master Fund, Ltd. FORM 13F INFORMATION TABLE
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 MANAGERS SOLE SHARED NONE ALERE INC COM 01449J105 3,334 91,100 SH DEFINED 1 91,100 ALERE INC PERP PFD CONV SE 01449J204 893 3,626 SH DEFINED 1 3,626 ALIGN TECHNOLOGY INC COM 016255101 1,880 96,200 SH DEFINED 1 96,200 ALKERMES INC COM 01642T108 8,430 686,468 SH DEFINED 1 686,468 ALPHATEC HOLDINGS INC COM 02081G102 2,397 887,600 SH DEFINED 1 887,600 ANACOR PHARMACEUTICALS INC COM 032420101 2,733 508,975 SH DEFINED 1 508,975 ATRICURE INC COM 04963C209 5,438 529,477 SH DEFINED 1 529,477 BIOMIMETIC THERAPEUTICS INC COM 09064X101 4,193 330,182 SH DEFINED 1 330,182 BIOSANTE PHARMACEUTICALS INC COM NEW 09065V203 2,509 1,530,119 SH DEFINED 1 1,530,119 BOSTON SCIENTIFIC CORP COM 101137107 1,514 200,000 SH DEFINED 1 200,000 CARDICA INC COM 14141R101 1,249 285,068 SH DEFINED 1 285,068 CONCEPTUS INC COM 206016107 1,100 79,677 SH DEFINED 1 79,677 COVIDIEN PLC SHS G2554F105 5,915 129,540 SH DEFINED 1 129,540 CUTERA INC COM 232109108 370 44,663 SH DEFINED 1 44,663 EMERGENT BIOSOLUTIONS INC COM 29089Q105 1,372 58,500 SH DEFINED 1 58,500 EURAND N V SHS N31010106 4,765 402,788 SH DEFINED 1 402,788 GILEAD SCIENCES INC COM 375558103 1,812 50,000 SH DEFINED 1 50,000 GIVEN IMAGING ORD SHS M52020100 1,589 108,519 SH DEFINED 1 108,519 HEARTWARE INTL INC COM 422368100 1,751 20,000 SH DEFINED 1 20,000 HI-TECH PHARMACAL INC COM 42840B101 7,498 300,514 SH DEFINED 1 300,514 IMPAX LABORATORIES INC COM 45256B101 1,508 75,000 SH DEFINED 1 75,000 INSPIRE PHARMACEUTICALS INC COM 457733103 538 64,100 SH DEFINED 1 64,100 INSULET CORP COM 45784P101 800 51,616 SH DEFINED 1 51,616 KING PHARMACEUTICALS INC COM 495582108 1,054 75,000 SH DEFINED 1 75,000 LANNET INC COM 516012101 2,795 500,000 SH DEFINED 1 500,000 MAKO SURGICAL CORP COM 560879108 1,989 130,700 SH DEFINED 1 130,700 OMNICELL INC COM 68213N109 997 68,992 SH DEFINED 1 68,992 ORASURE TECHNOLOGIES INC COM 68554V108 76 13,160 SH DEFINED 1 13,160 ORTHOFIX INTL N V COM N6748L102 1,134 39,116 SH DEFINED 1 39,116 PAIN THERAPEUTICS INC COM 69562K100 3,749 555,385 SH DEFINED 1 555,385 PFIZER INC COM 717081103 6,459 368,900 SH DEFINED 1 368,900 PROGENICS PHARMACEUTICALS IN COM 743187106 639 117,044 SH DEFINED 1 117,044 QIAGEN N V COM N72482107 1,962 100,369 SH DEFINED 1 100,369 QLT INC COM 746927102 1,100 150,000 SH DEFINED 1 150,000 RIGEL PHARMACEUTICALS INC COM NEW 766559603 3,183 422,748 SH DEFINED 1 422,748 SANOFI AVENTIS SPONSORED ADR 80105N105 4,785 148,453 SH DEFINED 1 148,453 SANTARUS INC COM 802817304 6,453 1,973,400 SH DEFINED 1 1,973,400 SEQUENOM INC COM NEW 817337405 2,410 300,100 SH DEFINED 1 300,100 SOLTA MED INC COM 83438K103 782 256,462 SH DEFINED 1 256,462 STEREOTAXIS INC COM 85916J102 958 250,000 SH DEFINED 1 250,000 TEVA PHARMACEUTICAL INDS LTD ADR 881624209 5,249 100,700 SH DEFINED 1 100,700 THERMO FISHER SCIENTIFIC INC COM 883556102 1,107 20,000 SH DEFINED 1 20,000 THORATEC CORP COM NEW 885175307 4,250 150,080 SH DEFINED 1 150,080 UROPLASTY INC COM NEW 917277204 2,389 592,900 SH DEFINED 1 592,900
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