Investor DAFNA Capital Management LLC
13D/G Filings

This page shows a list of all the recent 13D/G filings made by DAFNA Capital Management LLC . Schedule 13D is commonly referred to as a “beneficial ownership report.” The term "beneficial owner" is defined under SEC rules. It includes any person who directly or indirectly shares voting power or investment power (the power to sell the security).

When a person or group of persons acquires beneficial ownership of more than 5% of a voting class of a company’s equity securities, they are required to file a Schedule 13D within ten days after the purchase. Click the link icon to see the full transaction history.

Date Form Target Prev
Shares
Current
Shares
Change
(Percent)
Ownership
(Percent)
Change
(Percent)
2024-11-14 13G/A RGLS / Regulus Therapeutics Inc. 1,111,049 895,200
2024-02-14 13G RGLS / Regulus Therapeutics Inc. 1,111,049
2024-02-14 13G/A ECIA / Encision Inc. 964,662 964,662
2023-02-14 13G/A ECIA / Encision Inc. 964,662 964,662
2022-02-14 13G/A ECIA / Encision Inc. 985,000 964,662
2021-02-16 13G/A ECIA / Encision Inc. 985,000 985,000
2020-02-14 13G/A ECIA / Encision Inc. 985,000 985,000
2019-02-14 13G/A ECIA / Encision Inc. 1,047,500 985,000
2018-03-08 13D/A STXS / Stereotaxis, Inc. 1,372,862 13,690,554
2018-02-14 13G/A ECIA / Encision Inc. 1,047,500 1,047,500
2018-02-14 13G/A 867328601 / Sunesis Pharmaceuticals, Inc. 1,133,583 983,000
2017-02-14 13G ECIA / Encision Inc. 1,047,500 1,047,500
2017-02-14 13D/A STXS / Stereotaxis, Inc. 2,280,212 1,372,862
2017-02-14 13G WINT / Windtree Therapeutics, Inc. 208,333
2017-02-14 13G VIRX / Viracta Therapeutics, Inc. 1,133,583
2017-02-06 13D/A STXS / Stereotaxis, Inc. 2,280,212 2,280,212
2017-01-09 13D/A STXS / Stereotaxis, Inc. 1,372,862 2,280,212
2016-10-11 13D STXS / Stereotaxis, Inc. 1,372,862 1,372,862
2016-02-16 13G ECIA / Encision Inc. 1,047,500
2016-02-16 13G WINT / Windtree Therapeutics, Inc. 10,658,699
2016-02-16 13G AVXL / Anavex Life Sciences Corp. 0
2016-02-16 13G STXS / Stereotaxis, Inc. 1,372,862
2015-02-17 13G AVXL / Anavex Life Sciences Corp. 4,800,000
2015-02-13 13G WINT / Windtree Therapeutics, Inc. 5,973,739
2015-02-13 13G PEYE / Precision Optics Corp., Inc. 311,537
2015-02-13 13G STXS / Stereotaxis, Inc. 1,374,975
2015-02-13 13G ECIA / Encision Inc. 1,062,500
2014-02-14 13G STXS / Stereotaxis, Inc. 1,738,498
2014-02-14 13G/A PEYE / Precision Optics Corp., Inc. 384,193
2014-02-14 13G ECIA / Encision Inc. 1,062,500
2014-02-14 13G WINT / Windtree Therapeutics, Inc. 5,973,739
2013-02-14 13G/A 878193101 / TearLab Corp 939,239
2013-02-14 13G PEYE / Precision Optics Corp., Inc. 388,889
2012-02-14 13G 878193101 / TearLab Corp 1,373,700
2012-02-14 13G 3,781,468