CIK 1389933
Long positions in SEC Section 13(f) securities (US-listed stocks, ADRs and ETFs), largest first · Δ vs 2025-Q4. A lagged quarterly snapshot (filed ≤45 days after quarter-end); excludes shorts, options, cash, and shares listed only on non-US exchanges — foreign companies held via a US listing or ADR (e.g. Alibaba, TSMC) ARE included.
| Name | Title (as filed) | Since | Ownership |
|---|---|---|---|
| FISCHEL, NATHAN | CHIEF EXECUTIVE OFFICER | 2000-02 | <5% ·◆ |
| GHODSIAN, FARIBA, FISCHEL | CHIEF INVESTMENT OFFICER | 2002-11 | <5% ·◆ |
| LIN, XUN | CHIEF COMPLIANCE OFFICER | 2017-11 | <5% |
| DAFNA HOLDINGS, L.P.entity | MEMBER | 2013-01 | 75%+ ·◆ |
Direct owners and executive officers as filed on the adviser's Form ADV Schedule A (as-filed titles; ADV updates annually and on material change). This lists officers and 5%+ owners — not necessarily the full portfolio-management team.
Signed this manager's latest 13F (2026-Q1). The filing's authorized signatory — frequently a compliance officer, general counsel, or CFO — not necessarily the portfolio manager or firm leadership.
| Name | Role (as filed) | Departed after | Now at (if tracked) |
|---|---|---|---|
| NURTMAN, HOWARD, IAN | CHIEF COMPLIANCE OFFICER | 2017-05 | Potrero Capital Research LLC, Checkpoint Capital L.P. |
Named owners/officers on a past Form ADV Schedule A who are gone from the firm's latest filing. “Departed after” is the last dated filing they appear on. A landing shows only when the destination is another SEC-registered adviser we track.
