Q2 2023 · 13F-HR
Nantahala Capital Management, LLCholdings as filed
Filed 2023-08-14 · accession 0001104659-23-091064
$1.03B
Reported value
124
Positions
2023-06-30
Period end
Holdings as filed
| CUSIP | Ticker | Issuer | Value | % port. | Shares | Class | Voting |
|---|---|---|---|---|---|---|---|
| 464287655 | IWM | ISHARES TR | $131.1M | 12.7% | 700,000 | PUT | SOLE |
| G31249108 | ESTA | ESTABLISHMENT LABS HLDGS INC | $126.5M | 12.2% | 1,843,234 | Common | SOLE |
| 59100U108 | CASH | PATHWARD FINANCIAL INC | $65.1M | 6.29% | 1,403,707 | Common | SOLE |
| 45245E109 | IMAX | IMAX CORP | $50.0M | 4.84% | 2,944,877 | Common | SOLE |
| N90064101 | QURE | UNIQURE NV | $32.6M | 3.16% | 2,848,984 | Common | SOLE |
| G5698W116 | LXFR | LUXFER HLDGS PLC | $31.6M | 3.06% | 2,223,439 | Common | SOLE |
| N44445109 | IMTX | IMMATICS N.V | $26.4M | 2.55% | 2,284,895 | Common | SOLE |
| 75704L104 | RDVT | RED VIOLET INC | $26.1M | 2.52% | 1,267,614 | Common | SOLE |
| 43283X105 | HGV | HILTON GRAND VACATIONS INC | $20.0M | 1.94% | 440,879 | Common | SOLE |
| 492327101 | KROS | KEROS THERAPEUTICS INC | $20.0M | 1.93% | 497,161 | Common | SOLE |
| 92663R105 | VMD | VIEMED HEALTHCARE INC | $16.9M | 1.63% | 1,728,495 | Common | SOLE |
| 55234L105 | LYRAGBP | LYRA THERAPEUTICS INC | $16.3M | 1.57% | 3,957,542 | Common | SOLE |
| 09075A108 | BVS | BIOVENTUS INC | $16.2M | 1.57% | 5,617,626 | Common | SOLE |
| 74967R106 | RMR | RMR GROUP INC | $16.2M | 1.57% | 699,330 | Common | SOLE |
| 781386305 | RDNW | RUMBLEON INC | $15.7M | 1.52% | 1,271,351 | Common | SOLE |
| 192005106 | CDXS | CODEXIS INC | $14.1M | 1.36% | 5,035,663 | Common | SOLE |
| 381013101 | GDEN | GOLDEN ENTMT INC | $13.9M | 1.34% | 332,063 | Common | SOLE |
| 70614W100 | PTON | PELOTON INTERACTIVE INC | $13.6M | 1.31% | 1,762,311 | Common | SOLE |
| 05969A105 | TBBK | BANCORP INC DEL | $13.3M | 1.29% | 407,946 | Common | SOLE |
| 74967X103 | RH | RH | $13.2M | 1.27% | 40,000 | CALL | SOLE |
| 58450V104 | MAX | MEDIAALPHA INC | $11.8M | 1.14% | 1,142,985 | Common | SOLE |
| 23331S100 | DHX | DHI GROUP INC | $11.6M | 1.12% | 3,030,198 | Common | SOLE |
| 464287655 | IWM | ISHARES TR | $10.6M | 1.03% | 56,672 | Common | SOLE |
| 03062T105 | CRMT | AMERICAS CAR-MART INC | $10.6M | 1.02% | 106,178 | Common | SOLE |
| 05280R100 | AUTL | AUTOLUS THERAPEUTICS PLC | $10.2M | 0.98% | 4,272,203 | Common | SOLE |
| 05153U107 | AURA | AURA BIOSCIENCES INC | $9.9M | 0.96% | 803,325 | Common | SOLE |
| 23725P209 | DRIOEUR | DARIOHEALTH CORP | $9.7M | 0.94% | 2,418,507 | Common | SOLE |
| 464287655 | IWM | ISHARES TR | $9.4M | 0.91% | 50,000 | CALL | SOLE |
| 600544100 | MLKN | MILLERKNOLL INC | $9.0M | 0.87% | 607,883 | Common | SOLE |
| 09257W100 | BXMT | BLACKSTONE MTG TR INC | $8.3M | 0.80% | 400,000 | PUT | SOLE |
| G4412G101 | HLF | HERBALIFE LTD | $7.9M | 0.77% | 600,000 | CALL | SOLE |
| 233377407 | DXPE | DXP ENTERPRISES INC | $7.8M | 0.75% | 213,672 | Common | SOLE |
| 456237106 | ILPT | INDUSTRIAL LOGISTICS PPTYS T | $7.8M | 0.75% | 2,357,284 | Common | SOLE |
| 70451X104 | PAYO | PAYONEER GLOBAL INC | $7.8M | 0.75% | 1,612,862 | Common | SOLE |
| 755408101 | RDI | READING INTL INC | $7.6M | 0.74% | 2,885,514 | Common | SOLE |
| 02128L106 | ALTG | ALTA EQUIPMENT GROUP INC | $7.3M | 0.71% | 422,812 | Common | SOLE |
| 98980L101 | ZNGA | ZOOM VIDEO COMMUNICATIONS IN | $6.8M | 0.66% | 100,000 | CALL | SOLE |
| 87164F105 | SNDX | SYNDAX PHARMACEUTICALS INC | $6.8M | 0.65% | 323,134 | Common | SOLE |
| 26818M108 | DYN | DYNE THERAPEUTICS INC | $6.7M | 0.65% | 593,164 | Common | SOLE |
| 03168L105 | AMRX | AMNEAL PHARMACEUTICALS INC | $6.7M | 0.64% | 2,149,305 | Common | SOLE |
| 48576A100 | — | KARUNA THERAPEUTICS INC | $6.5M | 0.63% | 30,000 | CALL | SOLE |
| 28238P109 | EHTH | EHEALTH INC | $6.4M | 0.62% | 800,000 | Common | SOLE |
| 92332V107 | VTYXUSD | VENTYX BIOSCIENCES INC | $6.3M | 0.61% | 192,671 | Common | SOLE |
| 781386305 | RDNW | RUMBLEON INC | $6.2M | 0.60% | 500,000 | CALL | SOLE |
| 23257D103 | CBAYUSD | CYMABAY THERAPEUTICS INC | $6.1M | 0.59% | 553,307 | Common | SOLE |
| 70614W100 | PTON | PELOTON INTERACTIVE INC | $6.0M | 0.58% | 780,000 | CALL | SOLE |
| 23282W605 | CYTK | CYTOKINETICS INC | $5.8M | 0.57% | 179,257 | Common | SOLE |
| 00289Y206 | ABEO | ABEONA THERAPEUTICS INC | $5.6M | 0.55% | 1,401,880 | Common | SOLE |
| 730541109 | — | POINT BIOPHARMA GLOBAL INC | $5.2M | 0.50% | 572,191 | Common | SOLE |
| 45779A846 | NSPR | INSPIREMD INC | $4.7M | 0.45% | 1,860,405 | Common | SOLE |
| 171757107 | — | CIDARA THERAPEUTICS INC | $4.5M | 0.43% | 3,961,898 | Common | SOLE |
| N90064101 | QURE | UNIQURE NV | $4.4M | 0.43% | 387,700 | CALL | SOLE |
| 87410C104 | — | TALARIS THERAPEUTICS INC | $4.4M | 0.43% | 1,450,034 | Common | SOLE |
| 45245E109 | IMAX | IMAX CORP | $4.2M | 0.41% | 250,000 | CALL | SOLE |
| 86272A206 | SSKNEUR | STRATA SKIN SCIENCES INC | $4.2M | 0.40% | 4,393,685 | Common | SOLE |
| 698884AC7 | — | PAR TECHNOLOGY CORP | $4.0M | 0.39% | 3,785,000 | Common | SOLE |
| 146869102 | CVNA | CARVANA CO | $3.9M | 0.38% | 150,000 | CALL | SOLE |
| 55910K108 | — | MAGENTA THERAPEUTICS INC | $3.8M | 0.37% | 5,000,000 | Common | SOLE |
| 872381108 | TELA | TELA BIO INC | $3.6M | 0.35% | 356,092 | Common | SOLE |
| 03237H101 | AMLX | AMYLYX PHARMACEUTICALS INC | $3.5M | 0.34% | 164,500 | Common | SOLE |
| 34960Q109 | — | FORTRESS BIOTECH INC | $3.5M | 0.34% | 6,390,706 | Common | SOLE |
| 91307C102 | UTHR | UNITED THERAPEUTICS CORP DEL | $3.5M | 0.34% | 15,700 | Common | SOLE |
| 45166A102 | IDYA | IDEAYA BIOSCIENCES INC | $3.4M | 0.33% | 145,860 | Common | SOLE |
| 471871103 | — | JASPER THERAPEUTICS INC | $3.4M | 0.33% | 2,477,880 | Common | SOLE |
| 65540B105 | NDLSUSD | NOODLES & CO | $3.4M | 0.33% | 1,000,000 | Common | SOLE |
| 68404V100 | — | OPTINOSE INC | $3.3M | 0.32% | 2,681,667 | Common | SOLE |
| N44445117 | IMTXW | IMMATICS N.V | $3.2M | 0.31% | 986,101 | Common | SOLE |
| 72814N104 | AGS | PLAYAGS INC | $3.1M | 0.30% | 552,513 | Common | SOLE |
| 05580M108 | RILY | B. RILEY FINANCIAL INC | $2.9M | 0.28% | 62,520 | Common | SOLE |
| 29357K103 | ENVA | ENOVA INTL INC | $2.8M | 0.27% | 53,250 | Common | SOLE |
| 834203309 | SLNO | SOLENO THERAPEUTICS INC | $2.8M | 0.27% | 649,841 | Common | SOLE |
| 12529R107 | CCCC | C4 THERAPEUTICS INC | $2.8M | 0.27% | 1,000,000 | Common | SOLE |
| 34988V106 | FOSL | FOSSIL GROUP INC | $2.4M | 0.23% | 920,180 | Common | SOLE |
| G7T96K107 | SRL | SCULLY ROYALTY LTD | $2.2M | 0.21% | 303,736 | Common | SOLE |
| 71367G102 | PWP | PERELLA WEINBERG PARTNERS | $2.2M | 0.21% | 258,273 | Common | SOLE |
| 86366E106 | GPCR | STRUCTURE THERAPEUTICS INC | $2.1M | 0.20% | 50,000 | Common | SOLE |
| 00258W108 | — | THE AARONS COMPANY INC | $2.0M | 0.19% | 138,572 | Common | SOLE |
| 641288105 | NPCE | NEUROPACE INC | $1.9M | 0.18% | 424,850 | Common | SOLE |
| 00773J103 | — | AEGLEA BIOTHERAPEUTICS INC | $1.8M | 0.18% | 4,101,193 | Common | SOLE |
| H0036K147 | ADCT | ADC THERAPEUTICS SA | $1.8M | 0.17% | 840,000 | Common | SOLE |
| 054754858 | AYTU | AYTU BIOPHARMA INC | $1.7M | 0.17% | 1,086,812 | Common | SOLE |
| 28238P109 | EHTH | EHEALTH INC | $1.6M | 0.16% | 203,100 | CALL | SOLE |
| 008064107 | — | AEROVATE THERAPEUTICS INC | $1.6M | 0.16% | 95,000 | Common | SOLE |
| 76200L309 | RZLT | REZOLUTE INC | $1.5M | 0.15% | 769,606 | Common | SOLE |
| 590328209 | MACKEUR | MERRIMACK PHARMACEUTICALS IN | $1.4M | 0.13% | 111,148 | Common | SOLE |
| 629337106 | NNBR | NN INC | $1.3M | 0.12% | 526,006 | Common | SOLE |
| 82835W108 | SPRY | ARS PHARMACEUTICALS INC | $1.2M | 0.12% | 180,097 | Common | SOLE |
| 034569103 | ANEB | ANEBULO PHARMACEUTICALS INC | $1.2M | 0.12% | 511,073 | Common | SOLE |
| 816212104 | SELBUSD | SELECTA BIOSCIENCES INC | $1.1M | 0.11% | 1,000,000 | Common | SOLE |
| 00444P108 | — | ACER THERAPEUTICS INC | $1.0M | 0.10% | 1,136,416 | Common | SOLE |
| 784933103 | SGRP | SPAR GROUP INC | $955,120 | 0.09% | 758,032 | Common | SOLE |
| 894164102 | TNL | TRAVEL PLUS LEISURE CO | $928,465 | 0.09% | 23,016 | Common | SOLE |
| 28657F103 | ELTX | ELICIO THERAPEUTICS INC | $901,920 | 0.09% | 94,939 | Common | SOLE |
| 25525P107 | DHC | DIVERSIFIED HEALTHCARE TR | $890,129 | 0.09% | 395,613 | Common | SOLE |
| 811292200 | SCYX | SCYNEXIS INC | $885,000 | 0.09% | 300,000 | Common | SOLE |
| 90466Y103 | — | UNICYCIVE THERAPEUTICS INC | $828,692 | 0.08% | 647,416 | Common | SOLE |
| 877619106 | TSHA | TAYSHA GENE THERAPIES INC | $827,003 | 0.08% | 1,251,139 | Common | SOLE |
| 19240Q201 | COGT | COGENT BIOSCIENCES INC | $759,323 | 0.07% | 64,132 | Common | SOLE |
| 084656107 | — | BERKSHIRE GREY INC | $705,000 | 0.07% | 500,000 | Common | SOLE |
| 03835T309 | — | APTOSE BIOSCIENCES INC | $678,516 | 0.07% | 146,232 | Common | SOLE |
| 146869102 | CVNA | CARVANA CO | $648,000 | 0.06% | 25,000 | Common | SOLE |
| 81728J109 | SRTS | SENSUS HEALTHCARE INC | $582,901 | 0.06% | 185,048 | Common | SOLE |
| 492327101 | KROS | KEROS THERAPEUTICS INC | $494,214 | 0.05% | 12,300 | CALL | SOLE |
| 892918103 | TACT | TRANSACT TECHNOLOGIES INC | $353,920 | 0.03% | 39,500 | Common | SOLE |
| 30068X103 | XGN | EXAGEN INC | $353,493 | 0.03% | 121,894 | Common | SOLE |
| 01021X100 | — | AKUMIN INC | $339,634 | 0.03% | 1,886,856 | Common | SOLE |
| 505743104 | LADR | LADDER CAP CORP | $293,742 | 0.03% | 27,073 | Common | SOLE |
| 48115J109 | DERM | JOURNEY MED CORP | $284,143 | 0.03% | 178,706 | Common | SOLE |
| 54948X109 | LUCD | LUCID DIAGNOSTICS INC | $276,713 | 0.03% | 199,074 | Common | SOLE |
| 270087208 | — | EARGO INC | $266,230 | 0.03% | 54,002 | Common | SOLE |
| 05591L107 | — | BM TECHNOLOGIES INC | $236,052 | 0.02% | 79,212 | Common | SOLE |
| 05338F207 | — | AVALO THERAPEUTICS INC | $197,563 | 0.02% | 556,202 | Common | SOLE |
| 75062E106 | RFL | RAFAEL HLDGS INC | $151,897 | 0.01% | 72,678 | Common | SOLE |
| 278700109 | — | EBET INC | $125,721 | 0.01% | 1,065,432 | Common | SOLE |
| 65528N113 | — | NOGIN INC | $111,815 | 0.01% | 330,000 | Common | SOLE |
| 22978P106 | CUE1EUR | CUE BIOPHARMA INC | $97,674 | 0.01% | 26,760 | Common | SOLE |
| 00289Y206 | ABEO | ABEONA THERAPEUTICS INC | $80,600 | 0.01% | 20,000 | CALL | SOLE |
| 65528N204 | — | NOGIN INC | $73,917 | 0.01% | 56,425 | Common | SOLE |
| 359616109 | FULC | FULCRUM THERAPEUTICS INC | $70,521 | 0.01% | 21,370 | Common | SOLE |
| 36269P104 | GAIA | GAIA INC NEW | $53,463 | 0.01% | 23,144 | Common | SOLE |
| G4236L120 | GFAIW | GUARDFORCE AI CO LTD | $50,888 | 0.00% | 154,205 | Common | SOLE |
| 14888D208 | — | CATALYST BIOSCIENCES INC | $23,838 | 0.00% | 67,800 | Common | SOLE |
| 87807D111 | TCBWF | TC BIOPHARM HOLDINGS PLC | $10,118 | 0.00% | 235,294 | Common | SOLE |
| 44967K104 | — | IMAC HLDGS INC | $5,931 | 0.00% | 53,918 | Common | SOLE |
Source: SEC EDGAR · raw 13F holdings as filed. The Class column shows the option type when reported (Put/Call) or Common when the issuer's equity is held directly. 13F discloses long positions only.