Q4 2023 · 13F-HR/A
Nantahala Capital Management, LLCholdings as filed
Filed 2024-02-15 · accession 0001104659-24-024543
$1.67B
Reported value
128
Positions
2023-12-31
Period end
Holdings as filed
| CUSIP | Ticker | Issuer | Value | % port. | Shares | Class | Voting |
|---|---|---|---|---|---|---|---|
| 78464A870 | XBI | SPDR SER TR | $295.9M | 17.7% | 3,314,400 | PUT | SOLE |
| 464287655 | IWM | ISHARES TR | $250.9M | 15.0% | 1,250,000 | PUT | SOLE |
| 834203309 | SLNO | SOLENO THERAPEUTICS INC | $115.0M | 6.87% | 2,856,351 | Common | SOLE |
| G31249108 | ESTA | ESTABLISHMENT LABS HLDGS INC | $64.0M | 3.82% | 2,470,154 | Common | SOLE |
| 59100U108 | CASH | PATHWARD FINANCIAL INC | $56.1M | 3.35% | 1,059,866 | Common | SOLE |
| 22160K105 | COST | COSTCO WHSL CORP NEW | $46.2M | 2.76% | 70,000 | PUT | SOLE |
| 45245E109 | IMAX | IMAX CORP | $36.2M | 2.16% | 2,408,753 | Common | SOLE |
| 781386305 | RDNW | RUMBLEON INC | $36.0M | 2.15% | 4,416,506 | Common | SOLE |
| 09075A108 | BVS | BIOVENTUS INC | $31.5M | 1.88% | 5,977,471 | Common | SOLE |
| 30052C107 | EOLS | EVOLUS INC | $30.7M | 1.83% | 2,910,849 | Common | SOLE |
| 43283X105 | HGV | HILTON GRAND VACATIONS INC | $27.0M | 1.61% | 671,171 | Common | SOLE |
| 75704L104 | RDVT | RED VIOLET INC | $24.1M | 1.44% | 1,205,678 | Common | SOLE |
| 03062T105 | CRMT | AMERICAS CAR-MART INC | $23.6M | 1.41% | 312,128 | Common | SOLE |
| 55234L105 | LYRAGBP | LYRA THERAPEUTICS INC | $21.2M | 1.27% | 4,050,218 | Common | SOLE |
| N90064101 | QURE | UNIQURE NV | $20.0M | 1.20% | 2,958,027 | Common | SOLE |
| 70614W100 | PTON | PELOTON INTERACTIVE INC | $19.9M | 1.19% | 3,262,939 | Common | SOLE |
| 464287655 | IWM | ISHARES TR | $19.7M | 1.18% | 97,969 | Common | SOLE |
| G5698W116 | LXFR | LUXFER HLDGS PLC | $16.2M | 0.97% | 1,809,645 | Common | SOLE |
| 488445206 | ZVRA | ZEVRA THERAPEUTICS INC | $16.1M | 0.96% | 2,453,405 | Common | SOLE |
| 92663R105 | VMD | VIEMED HEALTHCARE INC | $15.3M | 0.92% | 1,952,368 | Common | SOLE |
| N44445109 | IMTX | IMMATICS N.V | $14.9M | 0.89% | 1,413,956 | Common | SOLE |
| G31249108 | ESTA | ESTABLISHMENT LABS HLDGS INC | $14.2M | 0.85% | 550,000 | CALL | SOLE |
| 03168L105 | AMRX | AMNEAL PHARMACEUTICALS INC | $14.2M | 0.85% | 2,334,397 | Common | SOLE |
| 192005106 | CDXS | CODEXIS INC | $14.0M | 0.84% | 4,592,903 | Common | SOLE |
| 492327101 | KROS | KEROS THERAPEUTICS INC | $12.3M | 0.74% | 310,141 | Common | SOLE |
| 641288105 | NPCE | NEUROPACE INC | $12.1M | 0.72% | 1,173,677 | Common | SOLE |
| 65540B105 | NDLSUSD | NOODLES & CO | $11.8M | 0.71% | 3,744,571 | Common | SOLE |
| 05153U107 | AURA | AURA BIOSCIENCES INC | $11.7M | 0.70% | 1,321,860 | Common | SOLE |
| 74967X103 | RH | RH | $11.7M | 0.70% | 40,000 | CALL | SOLE |
| 381013101 | GDEN | GOLDEN ENTMT INC | $11.6M | 0.70% | 291,449 | Common | SOLE |
| 74967R106 | RMR | RMR GROUP INC | $11.4M | 0.68% | 404,063 | Common | SOLE |
| 00289Y206 | ABEO | ABEONA THERAPEUTICS INC | $11.3M | 0.67% | 2,250,252 | Common | SOLE |
| 76119X105 | RSVR | RESERVOIR MEDIA INC | $11.1M | 0.66% | 1,550,797 | Common | SOLE |
| 00370M103 | ABVX | ABIVAX SA | $10.8M | 0.65% | 1,010,034 | Common | SOLE |
| 89157D105 | TRML | TOURMALINE BIO INC | $10.8M | 0.64% | 410,907 | Common | SOLE |
| 43283X105 | HGV | HILTON GRAND VACATIONS INC | $10.0M | 0.60% | 250,000 | CALL | SOLE |
| 456237106 | ILPT | INDUSTRIAL LOGISTICS PPTYS T | $9.4M | 0.56% | 1,992,819 | Common | SOLE |
| 92840H400 | VTGN | VISTAGEN THERAPEUTICS INC | $9.3M | 0.56% | 1,816,730 | Common | SOLE |
| 23282W605 | CYTK | CYTOKINETICS INC | $9.2M | 0.55% | 110,017 | Common | SOLE |
| G4412G101 | HLF | HERBALIFE LTD | $9.2M | 0.55% | 600,000 | CALL | SOLE |
| 03237H101 | AMLX | AMYLYX PHARMACEUTICALS INC | $9.1M | 0.55% | 620,110 | Common | SOLE |
| 70451X104 | PAYO | PAYONEER GLOBAL INC | $9.1M | 0.54% | 1,747,404 | Common | SOLE |
| 82835W108 | SPRY | ARS PHARMACEUTICALS INC | $8.7M | 0.52% | 1,596,504 | Common | SOLE |
| 28238P109 | EHTH | EHEALTH INC | $8.6M | 0.52% | 991,821 | Common | SOLE |
| 26818M108 | DYN | DYNE THERAPEUTICS INC | $8.5M | 0.51% | 642,789 | Common | SOLE |
| 04546C205 | — | ASSERTIO HOLDINGS INC | $8.2M | 0.49% | 7,619,440 | Common | SOLE |
| 87164F105 | SNDX | SYNDAX PHARMACEUTICALS INC | $7.9M | 0.47% | 365,259 | Common | SOLE |
| 87650L103 | TARS | TARSUS PHARMACEUTICALS INC | $7.6M | 0.45% | 375,276 | Common | SOLE |
| 872381108 | TELA | TELA BIO INC | $7.3M | 0.43% | 1,097,866 | Common | SOLE |
| 98980L101 | ZNGA | ZOOM VIDEO COMMUNICATIONS IN | $7.2M | 0.43% | 100,000 | CALL | SOLE |
| 70614W100 | PTON | PELOTON INTERACTIVE INC | $7.2M | 0.43% | 1,180,000 | CALL | SOLE |
| 23331S100 | DHX | DHI GROUP INC | $6.8M | 0.41% | 2,639,687 | Common | SOLE |
| 233377407 | DXPE | DXP ENTERPRISES INC | $6.8M | 0.41% | 201,829 | Common | SOLE |
| 755408101 | RDI | READING INTL INC | $6.5M | 0.39% | 3,402,203 | Common | SOLE |
| 29357K103 | ENVA | ENOVA INTL INC | $6.0M | 0.36% | 109,000 | CALL | SOLE |
| 45779A846 | NSPR | INSPIREMD INC | $5.8M | 0.35% | 2,066,456 | Common | SOLE |
| 629337106 | NNBR | NN INC | $5.6M | 0.34% | 1,407,222 | Common | SOLE |
| 037326105 | ANTX | AN2 THERAPEUTICS INC | $5.1M | 0.30% | 248,278 | Common | SOLE |
| 45166A102 | IDYA | IDEAYA BIOSCIENCES INC | $5.0M | 0.30% | 139,298 | Common | SOLE |
| 72814N104 | AGS | PLAYAGS INC | $4.8M | 0.29% | 566,588 | Common | SOLE |
| 02156B103 | AYXEUR | ALTERYX INC | $4.7M | 0.28% | 99,093 | Common | SOLE |
| 805111101 | SVRA | SAVARA INC | $4.6M | 0.28% | 987,903 | Common | SOLE |
| 698884AC7 | — | PAR TECHNOLOGY CORP | $4.6M | 0.28% | 3,785,000 | Common | SOLE |
| 98420P308 | XTNT | XTANT MED HLDGS INC | $4.5M | 0.27% | 4,000,000 | Common | SOLE |
| 600544100 | MLKN | MILLERKNOLL INC | $4.5M | 0.27% | 167,148 | Common | SOLE |
| 88338H704 | TQ80 | THERATECHNOLOGIES INC | $4.3M | 0.26% | 2,682,228 | Common | SOLE |
| 87164F105 | SNDX | SYNDAX PHARMACEUTICALS INC | $4.3M | 0.26% | 200,000 | CALL | SOLE |
| 921659108 | VNDA | VANDA PHARMACEUTICALS INC | $4.3M | 0.26% | 1,013,251 | Common | SOLE |
| 68404V100 | — | OPTINOSE INC | $4.1M | 0.24% | 3,146,921 | Common | SOLE |
| 23725P209 | DRIOEUR | DARIOHEALTH CORP | $4.0M | 0.24% | 2,336,753 | Common | SOLE |
| 29357K103 | ENVA | ENOVA INTL INC | $4.0M | 0.24% | 71,865 | Common | SOLE |
| L0175J104 | ASPS | ALTISOURCE PORTFOLIO SOLNS S | $3.8M | 0.23% | 1,064,109 | Common | SOLE |
| 19240Q201 | COGT | COGENT BIOSCIENCES INC | $3.8M | 0.23% | 640,936 | Common | SOLE |
| 45245E109 | IMAX | IMAX CORP | $3.8M | 0.22% | 250,000 | CALL | SOLE |
| 02128L106 | ALTG | ALTA EQUIPMENT GROUP INC | $3.7M | 0.22% | 302,509 | Common | SOLE |
| 15117F807 | CLRBUSD | CELLECTAR BIOSCIENCES INC | $3.7M | 0.22% | 1,350,578 | Common | SOLE |
| 29415J106 | — | ENVVENO MEDICAL CORPORATION | $3.6M | 0.22% | 706,319 | Common | SOLE |
| 05479K106 | ELUT | ELUTIA INC | $3.6M | 0.21% | 1,650,000 | Common | SOLE |
| 85569C107 | — | STARTEK INC | $3.5M | 0.21% | 786,913 | Common | SOLE |
| 252828108 | DNTH | DIANTHUS THERAPEUTICS INC | $3.4M | 0.20% | 328,433 | Common | SOLE |
| 054754858 | AYTU | AYTU BIOPHARMA INC | $3.1M | 0.18% | 1,086,812 | Common | SOLE |
| 90466Y103 | — | UNICYCIVE THERAPEUTICS INC | $3.0M | 0.18% | 3,438,181 | Common | SOLE |
| 00289Y206 | ABEO | ABEONA THERAPEUTICS INC | $2.6M | 0.16% | 520,000 | CALL | SOLE |
| 36269P104 | GAIA | GAIA INC NEW | $2.5M | 0.15% | 915,029 | Common | SOLE |
| 28238P109 | EHTH | EHEALTH INC | $2.2M | 0.13% | 250,000 | CALL | SOLE |
| 38870X104 | GRPH | GRAPHITE BIO INC | $2.2M | 0.13% | 820,971 | Common | SOLE |
| 008064107 | — | AEROVATE THERAPEUTICS INC | $2.1M | 0.12% | 91,188 | Common | SOLE |
| 58450V104 | MAX | MEDIAALPHA INC | $2.0M | 0.12% | 180,868 | Common | SOLE |
| 64130M209 | — | NEUROONE MED TECHNOLOGIES CO | $1.9M | 0.11% | 1,214,094 | Common | SOLE |
| 71367G102 | PWP | PERELLA WEINBERG PARTNERS | $1.9M | 0.11% | 155,709 | Common | SOLE |
| 471871103 | — | JASPER THERAPEUTICS INC | $1.8M | 0.11% | 2,228,265 | Common | SOLE |
| 86272A206 | SSKNEUR | STRATA SKIN SCIENCES INC | $1.7M | 0.10% | 3,128,132 | Common | SOLE |
| N44445117 | IMTXW | IMMATICS N.V | $1.6M | 0.10% | 558,977 | Common | SOLE |
| 208242107 | CN4 | CONNS INC | $1.6M | 0.10% | 359,371 | Common | SOLE |
| 816212104 | SELBUSD | CARTESIAN THERAPEUTICS INC | $1.5M | 0.09% | 2,234,209 | Common | SOLE |
| 76200L309 | RZLT | REZOLUTE INC | $1.5M | 0.09% | 1,537,707 | Common | SOLE |
| G7T96K107 | SRL | SCULLY ROYALTY LTD | $1.5M | 0.09% | 242,721 | Common | SOLE |
| 64135M105 | NGNE | NEUROGENE INC | $1.4M | 0.08% | 72,279 | Common | SOLE |
| N90064101 | QURE | UNIQURE NV | $1.4M | 0.08% | 200,000 | CALL | SOLE |
| 05580M108 | RILY | B. RILEY FINANCIAL INC | $1.3M | 0.08% | 62,520 | Common | SOLE |
| 98986M103 | ZYXIQ | ZYNEX INC | $1.3M | 0.08% | 120,000 | Common | SOLE |
| 270087208 | — | EARGO INC | $1.3M | 0.08% | 495,582 | Common | SOLE |
| 034569103 | ANEB | ANEBULO PHARMACEUTICALS INC | $1.2M | 0.07% | 511,073 | Common | SOLE |
| 171757107 | — | CIDARA THERAPEUTICS INC | $1.2M | 0.07% | 1,546,745 | Common | SOLE |
| 34960Q307 | FBIO | FORTRESS BIOTECH INC | $1.1M | 0.07% | 372,562 | Common | SOLE |
| 45783C200 | TIL | INSTIL BIO INC | $969,965 | 0.06% | 127,292 | Common | SOLE |
| 00444T209 | TLPH | ACELRX PHARMACEUTICALS INC | $909,576 | 0.05% | 1,237,519 | Common | SOLE |
| 784933103 | SGRP | SPAR GROUP INC | $887,981 | 0.05% | 879,189 | Common | SOLE |
| 232109AG3 | — | CUTERA INC | $876,000 | 0.05% | 4,000,000 | Common | SOLE |
| 38341P102 | GOSS | GOSSAMER BIO INC | $613,981 | 0.04% | 672,856 | Common | SOLE |
| 34988V106 | FOSL | FOSSIL GROUP INC | $591,706 | 0.04% | 405,278 | Common | SOLE |
| 00444T209 | TLPH | ACELRX PHARMACEUTICALS INC | $554,925 | 0.03% | 755,000 | CALL | SOLE |
| 492327101 | KROS | KEROS THERAPEUTICS INC | $453,264 | 0.03% | 11,400 | CALL | SOLE |
| 75629F109 | RAH | SOCIETAL CDMO INC | $425,754 | 0.03% | 1,214,706 | Common | SOLE |
| 81728J109 | SRTS | SENSUS HEALTHCARE INC | $417,130 | 0.02% | 176,750 | Common | SOLE |
| M47364100 | — | GAMIDA CELL LTD | $330,160 | 0.02% | 800,000 | Common | SOLE |
| 03835T309 | — | APTOSE BIOSCIENCES INC | $305,135 | 0.02% | 120,132 | Common | SOLE |
| 505743104 | LADR | LADDER CAP CORP | $295,013 | 0.02% | 25,631 | Common | SOLE |
| 54948X109 | LUCD | LUCID DIAGNOSTICS INC | $211,074 | 0.01% | 149,698 | Common | SOLE |
| 892918103 | TACT | TRANSACT TECHNOLOGIES INC | $196,326 | 0.01% | 28,127 | Common | SOLE |
| 30068X103 | XGN | EXAGEN INC | $193,277 | 0.01% | 97,124 | Common | SOLE |
| 05591L107 | — | BM TECHNOLOGIES INC | $155,870 | 0.01% | 76,034 | Common | SOLE |
| 75062E106 | RFL | RAFAEL HLDGS INC | $133,001 | 0.01% | 72,678 | Common | SOLE |
| 22978P106 | CUE1EUR | CUE BIOPHARMA INC | $70,467 | 0.00% | 26,692 | Common | SOLE |
| M2361E179 | MBAI | CHECK CAP LTD | $69,472 | 0.00% | 33,400 | Common | SOLE |
| G4236L120 | GFAIW | GUARDFORCE AI CO LTD | $26,230 | 0.00% | 154,205 | Common | SOLE |
| 87807D111 | TCBWF | TC BIOPHARM HOLDINGS PLC | $7,647 | 0.00% | 235,294 | Common | SOLE |
| 49720K200 | — | KINTARA THERAPEUTICS INC | $3,735 | 0.00% | 22,021 | 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.