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Broadfin Capital, LLC Last Quarter Change: USA Bonds: Convertible Notes, New

Broadfin Capital, LLC quarter change: USA Bonds: Convertible Notes, New

In convertible notes that pay a coupon (listed in the US), from the quarter ended 2016-06-30 to 2016-09-30, Broadfin Capital, LLC opened 2 positions, added to 0, reduced 0, sold out of 0 and left 0 unchanged. The largest increase in value was EGALET CORP (+$8,781,000); the largest decrease was PERNIX THERAPEUTICS HLDGS IN (+$4,340,000).

  • EGALET CORP: Country of operation —; Class NOTE 5.500% 4/0; Principal 2016-06-30 $0; Principal 2016-09-30 $10,000,000.
  • PERNIX THERAPEUTICS HLDGS IN: Country of operation —; Class DBCV 4.250% 4/0; Principal 2016-06-30 $0; Principal 2016-09-30 $15,500,000.

Two Form 13F-HR filings compared (SEC CIK 1511901): 2016-06-30 (filed 2016-08-15) and 2016-09-30 (filed 2016-11-14). 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; share change is the position change.

StockCountry of operationClassPrincipal 2016-06-30Principal 2016-09-30Share changeValue 2016-06-30Value 2016-09-30Value change
EGALET CORP
CUSIP 28226BAB0
NOTE 5.500% 4/0$0$10,000,000+10,000,000$0$8,781,000+$8,781,000
PERNIX THERAPEUTICS HLDGS IN
CUSIP 71426VAK4
DBCV 4.250% 4/0$0$15,500,000+15,500,000$0$4,340,000+$4,340,000

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