Q3 2023 · 13F-HR
Nantahala Capital Management, LLCholdings as filed
Filed 2023-11-14 · accession 0001104659-23-118091
$1.17B
Reported value
133
Positions
2023-09-30
Period end
Holdings as filed
| CUSIP | Ticker | Issuer | Value | % port. | Shares | Class | Voting |
|---|---|---|---|---|---|---|---|
| 464287655 | IWM | ISHARES TR | $194.4M | 16.6% | 1,100,000 | PUT | SOLE |
| G31249108 | ESTA | ESTABLISHMENT LABS HLDGS INC | $92.6M | 7.91% | 1,887,617 | Common | SOLE |
| 78464A870 | XBI | SPDR SER TR | $69.4M | 5.93% | 950,000 | PUT | SOLE |
| 59100U108 | CASH | PATHWARD FINANCIAL INC | $56.9M | 4.86% | 1,234,526 | Common | SOLE |
| 45245E109 | IMAX | IMAX CORP | $50.4M | 4.30% | 2,606,884 | Common | SOLE |
| G31249108 | ESTA | ESTABLISHMENT LABS HLDGS INC | $28.4M | 2.43% | 579,000 | CALL | SOLE |
| G5698W116 | LXFR | LUXFER HLDGS PLC | $27.7M | 2.36% | 2,121,162 | Common | SOLE |
| 75704L104 | RDVT | RED VIOLET INC | $25.3M | 2.16% | 1,261,896 | Common | SOLE |
| 78464A698 | KRE | SPDR SER TR | $25.1M | 2.14% | 600,000 | PUT | SOLE |
| N44445109 | IMTX | IMMATICS N.V | $22.2M | 1.90% | 1,920,636 | Common | SOLE |
| 03062T105 | CRMT | AMERICAS CAR-MART INC | $21.0M | 1.80% | 230,953 | Common | SOLE |
| 43283X105 | HGV | HILTON GRAND VACATIONS INC | $20.5M | 1.75% | 504,242 | Common | SOLE |
| N90064101 | QURE | UNIQURE NV | $20.3M | 1.73% | 3,023,799 | Common | SOLE |
| 09075A108 | BVS | BIOVENTUS INC | $19.9M | 1.70% | 6,018,532 | Common | SOLE |
| 70614W100 | PTON | PELOTON INTERACTIVE INC | $18.0M | 1.53% | 3,554,606 | Common | SOLE |
| 55234L105 | LYRAGBP | LYRA THERAPEUTICS INC | $15.8M | 1.35% | 4,050,218 | Common | SOLE |
| 92663R105 | VMD | VIEMED HEALTHCARE INC | $13.7M | 1.17% | 2,032,170 | Common | SOLE |
| 04546C205 | — | ASSERTIO HOLDINGS INC | $12.0M | 1.02% | 4,670,000 | Common | SOLE |
| 641288105 | NPCE | NEUROPACE INC | $11.9M | 1.01% | 1,219,915 | Common | SOLE |
| 834203309 | SLNO | SOLENO THERAPEUTICS INC | $11.6M | 0.99% | 392,404 | Common | SOLE |
| 381013101 | GDEN | GOLDEN ENTMT INC | $11.3M | 0.97% | 332,056 | Common | SOLE |
| 488445206 | ZVRA | ZEVRA THERAPEUTICS INC | $11.1M | 0.95% | 2,308,216 | Common | SOLE |
| 74967R106 | RMR | RMR GROUP INC | $10.6M | 0.90% | 432,033 | Common | SOLE |
| 74967X103 | RH | RH | $10.6M | 0.90% | 40,000 | CALL | SOLE |
| 492327101 | KROS | KEROS THERAPEUTICS INC | $10.5M | 0.90% | 328,781 | Common | SOLE |
| 43283X105 | HGV | HILTON GRAND VACATIONS INC | $10.2M | 0.87% | 250,000 | CALL | SOLE |
| 70451X104 | PAYO | PAYONEER GLOBAL INC | $9.9M | 0.84% | 1,612,862 | Common | SOLE |
| 781386305 | RDNW | RUMBLEON INC | $9.8M | 0.84% | 1,605,392 | Common | SOLE |
| 00289Y206 | ABEO | ABEONA THERAPEUTICS INC | $9.7M | 0.83% | 2,297,794 | Common | SOLE |
| 192005106 | CDXS | CODEXIS INC | $9.6M | 0.82% | 5,069,443 | Common | SOLE |
| 03168L105 | AMRX | AMNEAL PHARMACEUTICALS INC | $9.3M | 0.80% | 2,212,757 | Common | SOLE |
| 65540B105 | NDLSUSD | NOODLES & CO | $8.6M | 0.73% | 3,495,827 | Common | SOLE |
| G4412G101 | HLF | HERBALIFE LTD | $8.4M | 0.72% | 600,000 | CALL | SOLE |
| 600544100 | MLKN | MILLERKNOLL INC | $8.3M | 0.71% | 340,228 | Common | SOLE |
| 87410C104 | — | TALARIS THERAPEUTICS INC | $8.3M | 0.71% | 2,953,129 | Common | SOLE |
| 23331S100 | DHX | DHI GROUP INC | $8.3M | 0.71% | 2,698,201 | Common | SOLE |
| 23725P209 | DRIOEUR | DARIOHEALTH CORP | $7.9M | 0.68% | 2,414,192 | Common | SOLE |
| 03237H101 | AMLX | AMYLYX PHARMACEUTICALS INC | $7.5M | 0.64% | 407,205 | Common | SOLE |
| 98980L101 | ZNGA | ZOOM VIDEO COMMUNICATIONS IN | $7.0M | 0.60% | 100,000 | CALL | SOLE |
| 456237106 | ILPT | INDUSTRIAL LOGISTICS PPTYS T | $6.8M | 0.58% | 2,357,284 | Common | SOLE |
| 05153U107 | AURA | AURA BIOSCIENCES INC | $6.7M | 0.57% | 743,892 | Common | SOLE |
| 233377407 | DXPE | DXP ENTERPRISES INC | $6.3M | 0.54% | 179,987 | Common | SOLE |
| 26818M108 | DYN | DYNE THERAPEUTICS INC | $6.1M | 0.52% | 683,164 | Common | SOLE |
| 755408101 | RDI | READING INTL INC | $6.1M | 0.52% | 2,876,040 | Common | SOLE |
| 76119X105 | RSVR | RESERVOIR MEDIA INC | $6.0M | 0.51% | 986,328 | Common | SOLE |
| 28238P109 | EHTH | EHEALTH INC | $5.9M | 0.51% | 800,000 | Common | SOLE |
| 45779A846 | NSPR | INSPIREMD INC | $5.8M | 0.49% | 1,768,050 | Common | SOLE |
| 037326105 | ANTX | AN2 THERAPEUTICS INC | $5.7M | 0.49% | 356,789 | Common | SOLE |
| 19240Q201 | COGT | COGENT BIOSCIENCES INC | $5.6M | 0.48% | 575,000 | Common | SOLE |
| 74967X103 | RH | RH | $5.5M | 0.47% | 20,853 | Common | SOLE |
| 23282W605 | CYTK | CYTOKINETICS INC | $5.3M | 0.45% | 179,257 | Common | SOLE |
| 92332V107 | VTYXUSD | VENTYX BIOSCIENCES INC | $5.1M | 0.44% | 147,623 | Common | SOLE |
| 48576A100 | — | KARUNA THERAPEUTICS INC | $5.1M | 0.43% | 30,000 | CALL | SOLE |
| 38341P102 | GOSS | GOSSAMER BIO INC | $5.1M | 0.43% | 6,089,471 | Common | SOLE |
| 45245E109 | IMAX | IMAX CORP | $4.8M | 0.41% | 250,000 | CALL | SOLE |
| 252828108 | DNTH | DIANTHUS THERAPEUTICS INC | $4.6M | 0.39% | 336,862 | Common | SOLE |
| M47364100 | — | GAMIDA CELL LTD | $4.5M | 0.38% | 4,325,000 | Common | SOLE |
| 98420P308 | XTNT | XTANT MED HLDGS INC | $4.4M | 0.38% | 4,000,000 | Common | SOLE |
| 09257W100 | BXMT | BLACKSTONE MTG TR INC | $4.3M | 0.37% | 200,000 | PUT | SOLE |
| 921659108 | VNDA | VANDA PHARMACEUTICALS INC | $4.3M | 0.37% | 1,000,000 | Common | SOLE |
| 698884AC7 | — | PAR TECHNOLOGY CORP | $4.3M | 0.37% | 3,785,000 | Common | SOLE |
| 70614W100 | PTON | PELOTON INTERACTIVE INC | $4.3M | 0.37% | 852,000 | CALL | SOLE |
| 82835W108 | SPRY | ARS PHARMACEUTICALS INC | $4.2M | 0.35% | 1,099,075 | Common | SOLE |
| 68404V100 | — | OPTINOSE INC | $4.1M | 0.35% | 3,307,942 | Common | SOLE |
| 45166A102 | IDYA | IDEAYA BIOSCIENCES INC | $3.9M | 0.34% | 145,860 | Common | SOLE |
| 805111101 | SVRA | SAVARA INC | $3.9M | 0.34% | 1,039,364 | Common | SOLE |
| 02128L106 | ALTG | ALTA EQUIPMENT GROUP INC | $3.9M | 0.33% | 322,632 | Common | SOLE |
| 72814N104 | AGS | PLAYAGS INC | $3.9M | 0.33% | 594,574 | Common | SOLE |
| 464287655 | IWM | ISHARES TR | $3.9M | 0.33% | 21,878 | Common | SOLE |
| 30052C107 | EOLS | EVOLUS INC | $3.8M | 0.33% | 421,220 | Common | SOLE |
| 872381108 | TELA | TELA BIO INC | $3.6M | 0.31% | 456,092 | Common | SOLE |
| L0175J104 | ASPS | ALTISOURCE PORTFOLIO SOLNS S | $3.6M | 0.31% | 904,462 | Common | SOLE |
| 87164F105 | SNDX | SYNDAX PHARMACEUTICALS INC | $3.5M | 0.30% | 240,031 | Common | SOLE |
| 730541109 | — | POINT BIOPHARMA GLOBAL INC | $3.5M | 0.30% | 521,191 | Common | SOLE |
| M5425M103 | INMD | INMODE LTD | $3.0M | 0.26% | 100,000 | PUT | SOLE |
| 90466Y103 | — | UNICYCIVE THERAPEUTICS INC | $3.0M | 0.25% | 3,470,541 | Common | SOLE |
| 054754858 | AYTU | AYTU BIOPHARMA INC | $2.9M | 0.25% | 1,086,812 | Common | SOLE |
| 87164F105 | SNDX | SYNDAX PHARMACEUTICALS INC | $2.9M | 0.25% | 200,000 | CALL | SOLE |
| 29357K103 | ENVA | ENOVA INTL INC | $2.7M | 0.23% | 53,250 | Common | SOLE |
| 71367G102 | PWP | PERELLA WEINBERG PARTNERS | $2.6M | 0.22% | 258,273 | Common | SOLE |
| 05580M108 | RILY | B. RILEY FINANCIAL INC | $2.6M | 0.22% | 62,520 | Common | SOLE |
| 629337106 | NNBR | NN INC | $2.5M | 0.21% | 1,353,143 | Common | SOLE |
| 87650L103 | TARS | TARSUS PHARMACEUTICALS INC | $2.4M | 0.21% | 135,500 | Common | SOLE |
| 171757107 | — | CIDARA THERAPEUTICS INC | $2.4M | 0.20% | 2,538,406 | Common | SOLE |
| 05479K106 | ELUT | ELUTIA INC | $2.4M | 0.20% | 1,650,000 | Common | SOLE |
| 816212104 | SELBUSD | SELECTA BIOSCIENCES INC | $2.3M | 0.20% | 2,200,000 | Common | SOLE |
| 34988V106 | FOSL | FOSSIL GROUP INC | $2.0M | 0.17% | 985,215 | Common | SOLE |
| N44445117 | IMTXW | IMMATICS N.V | $2.0M | 0.17% | 558,977 | Common | SOLE |
| 86272A206 | SSKNEUR | STRATA SKIN SCIENCES INC | $1.9M | 0.17% | 3,264,945 | Common | SOLE |
| 58450V104 | MAX | MEDIAALPHA INC | $1.9M | 0.17% | 234,372 | Common | SOLE |
| 12529R107 | CCCC | C4 THERAPEUTICS INC | $1.9M | 0.16% | 1,000,000 | Common | SOLE |
| 34960Q109 | — | FORTRESS BIOTECH INC | $1.7M | 0.15% | 6,018,211 | Common | SOLE |
| G7T96K107 | SRL | SCULLY ROYALTY LTD | $1.7M | 0.14% | 298,491 | Common | SOLE |
| 471871103 | — | JASPER THERAPEUTICS INC | $1.7M | 0.14% | 2,402,904 | Common | SOLE |
| 034569103 | ANEB | ANEBULO PHARMACEUTICALS INC | $1.6M | 0.13% | 511,073 | Common | SOLE |
| 28238P109 | EHTH | EHEALTH INC | $1.5M | 0.13% | 203,100 | CALL | SOLE |
| 00258W108 | — | THE AARONS COMPANY INC | $1.5M | 0.12% | 138,572 | Common | SOLE |
| 008064107 | — | AEROVATE THERAPEUTICS INC | $1.3M | 0.11% | 95,000 | Common | SOLE |
| 88322Q108 | TGTX | TG THERAPEUTICS INC | $1.3M | 0.11% | 150,000 | Common | SOLE |
| 781386305 | RDNW | RUMBLEON INC | $1.2M | 0.10% | 200,000 | CALL | SOLE |
| 64049K203 | — | NEOLEUKIN THERAPEUTICS INC | $1.2M | 0.10% | 299,999 | Common | SOLE |
| 64130M209 | — | NEUROONE MED TECHNOLOGIES CO | $1.1M | 0.10% | 1,250,000 | Common | SOLE |
| 76200L309 | RZLT | REZOLUTE INC | $1.0M | 0.09% | 769,606 | Common | SOLE |
| N90064101 | QURE | UNIQURE NV | $991,067 | 0.08% | 147,700 | CALL | SOLE |
| 48115J109 | DERM | JOURNEY MED CORP | $955,337 | 0.08% | 348,663 | Common | SOLE |
| 05969A105 | TBBK | BANCORP INC DEL | $858,912 | 0.07% | 24,896 | Common | SOLE |
| 784933103 | SGRP | SPAR GROUP INC | $846,747 | 0.07% | 879,189 | Common | SOLE |
| 00444P108 | — | ACER THERAPEUTICS INC | $748,454 | 0.06% | 918,349 | Common | SOLE |
| 00444T209 | TLPH | ACELRX PHARMACEUTICALS INC | $680,349 | 0.06% | 1,173,015 | Common | SOLE |
| 75629F109 | RAH | SOCIETAL CDMO INC | $586,250 | 0.05% | 1,250,000 | Common | SOLE |
| 81728J109 | SRTS | SENSUS HEALTHCARE INC | $512,583 | 0.04% | 185,048 | Common | SOLE |
| 00444T209 | TLPH | ACELRX PHARMACEUTICALS INC | $437,900 | 0.04% | 755,000 | CALL | SOLE |
| 45783C101 | — | INSTIL BIO INC | $428,000 | 0.04% | 1,000,000 | Common | SOLE |
| 492327101 | KROS | KEROS THERAPEUTICS INC | $392,124 | 0.03% | 12,300 | CALL | SOLE |
| 03835T309 | — | APTOSE BIOSCIENCES INC | $382,152 | 0.03% | 136,483 | Common | SOLE |
| 505743104 | LADR | LADDER CAP CORP | $277,769 | 0.02% | 27,073 | Common | SOLE |
| 30068X103 | XGN | EXAGEN INC | $258,381 | 0.02% | 106,769 | Common | SOLE |
| 28657F103 | ELTX | ELICIO THERAPEUTICS INC | $253,500 | 0.02% | 30,000 | Common | SOLE |
| H0036K147 | ADCT | ADC THERAPEUTICS SA | $230,674 | 0.02% | 257,162 | Common | SOLE |
| 00289Y206 | ABEO | ABEONA THERAPEUTICS INC | $218,920 | 0.02% | 52,000 | CALL | SOLE |
| 892918103 | TACT | TRANSACT TECHNOLOGIES INC | $199,713 | 0.02% | 31,108 | Common | SOLE |
| 54948X109 | LUCD | LUCID DIAGNOSTICS INC | $185,018 | 0.02% | 158,135 | Common | SOLE |
| 05591L107 | — | BM TECHNOLOGIES INC | $158,424 | 0.01% | 79,212 | Common | SOLE |
| 01021X100 | — | AKUMIN INC | $142,865 | 0.01% | 979,196 | Common | SOLE |
| 75062E106 | RFL | RAFAEL HLDGS INC | $138,088 | 0.01% | 72,678 | Common | SOLE |
| 49720K200 | — | KINTARA THERAPEUTICS INC | $91,381 | 0.01% | 22,619 | Common | SOLE |
| 36269P104 | GAIA | GAIA INC NEW | $62,952 | 0.01% | 23,144 | Common | SOLE |
| 22978P106 | CUE1EUR | CUE BIOPHARMA INC | $61,548 | 0.01% | 26,760 | Common | SOLE |
| G4236L120 | GFAIW | GUARDFORCE AI CO LTD | $53,972 | 0.00% | 154,205 | Common | SOLE |
| 14888D208 | — | CATALYST BIOSCIENCES INC | $32,700 | 0.00% | 67,800 | Common | SOLE |
| 65528N204 | — | NOGIN INC | $29,962 | 0.00% | 56,425 | Common | SOLE |
| 65528N113 | — | NOGIN INC | $13,291 | 0.00% | 330,000 | Common | SOLE |
| 87807D111 | TCBWF | TC BIOPHARM HOLDINGS PLC | $5,176 | 0.00% | 235,294 | 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.