Broadfin Capital, LLC Historic Quarter Change: USA Options, Added

Broadfin Capital, LLC historic quarter change: USA Options, Added

In put and call options, at their filed underlying value (listed in the US), over 13 quarters from 2013-06-30 to 2016-09-30, Broadfin Capital, LLC opened 22 positions, added to 8, reduced 7 and sold out of 18.

Q3 2016: Stock HORIZON PHARMA PLC; Country of operation —; Class SHS · Call; Shares before 500,000.
Q1 2016: Stock HORIZON PHARMA PLC; Country of operation —; Class SHS · Call; Shares before 500,000.
Q4 2015: Stock BIODELIVERY SCIENCES INTL IN; Country of operation —; Class COM · Call; Shares before 250,000.
Q3 2015: Stock IWM; Country of operation —; Class RUSSELL 2000 ETF · Put; Shares before 1,750,000.

Each consecutive pair of Form 13F-HR filings compared (SEC CIK 1511901), 13 quarters: Q3 2016 (2016-06-30 to 2016-09-30, filed 2016-11-14); Q2 2016 (2016-03-31 to 2016-06-30, filed 2016-08-15); Q1 2016 (2015-12-31 to 2016-03-31, filed 2016-05-16); Q4 2015 (2015-09-30 to 2015-12-31, filed 2016-02-16); Q3 2015 (2015-06-30 to 2015-09-30, filed 2015-11-16); Q2 2015 (2015-03-31 to 2015-06-30, filed 2015-08-14); Q1 2015 (2014-12-31 to 2015-03-31, filed 2015-05-15); Q4 2014 (2014-09-30 to 2014-12-31, filed 2015-02-17); Q3 2014 (2014-06-30 to 2014-09-30, filed 2014-11-14); Q2 2014 (2014-03-31 to 2014-06-30, filed 2014-08-14); Q1 2014 (2013-12-31 to 2014-03-31, filed 2014-05-15); Q4 2013 (2013-09-30 to 2013-12-31, filed 2014-02-28); Q3 2013 (2013-06-30 to 2013-09-30, filed 2013-11-14). Rows for the same security, class and put/call are added together. Value change is the filed value at each quarter end, so it includes the price move. Only the filings held here are compared; the firm's 13F-HR filings go back to the quarter ended 2010-12-31.

Quarter	Stock	Class	Shares before	Shares after	Share change	Value before	Value after	Value change	Filed
Q3 2016	HORIZON PHARMA PLC CUSIP G4617B105	SHS · Call	500,000	1,050,000	+550,000	$8,235,000	$19,037,000	+$10,802,000	2016-11-14
Q1 2016	HORIZON PHARMA PLC CUSIP G4617B105	SHS · Call	500,000	1,500,000	+1,000,000	$10,835,000	$24,855,000	+$14,020,000	2016-05-16
Q4 2015	BIODELIVERY SCIENCES INTL IN CUSIP 09060J106	COM · Call	250,000	500,000	+250,000	$1,390,000	$2,395,000	+$1,005,000	2016-02-16
Q3 2015	IWM ISHARES TR	RUSSELL 2000 ETF · Put	1,750,000	4,000,000	+2,250,000	$218,505,000	$436,800,000	+$218,295,000	2015-11-16
Q3 2015	XBI SPDR SERIES TRUST	S&P BIOTECH · Put	285,000	1,000,000	+715,000	$71,888,000	$62,250,000	-$9,638,000	2015-11-16
Q2 2015	HORIZON PHARMA PLC CUSIP G4617B105	SHS · Call	500,000	1,100,000	+600,000	$12,985,000	$38,214,000	+$25,229,000	2015-08-14
Q1 2015	HORIZON PHARMA PLC CUSIP G4617B105	SHS · Call	300,000	500,000	+200,000	$3,867,000	$12,985,000	+$9,118,000	2015-05-15
Q1 2015	PROGENICS PHARMACEUTICALS IN CUSIP 743187106	COM · Call	200,000	900,000	+700,000	$1,512,000	$5,382,000	+$3,870,000	2015-05-15

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