Q1 2024 · 13F-HR
Nantahala Capital Management, LLCholdings as filed
Filed 2024-05-15 · accession 0001104659-24-062060
$1.75B
Reported value
124
Positions
2024-03-31
Period end
Holdings as filed
| CUSIP | Ticker | Issuer | Value | % port. | Shares | Class | Voting |
|---|---|---|---|---|---|---|---|
| 464287655 | IWM | ISHARES TR | $283.9M | 16.2% | 1,350,000 | PUT | SOLE |
| 78464A870 | XBI | SPDR SER TR | $180.3M | 10.3% | 1,900,000 | PUT | SOLE |
| 834203309 | SLNO | SOLENO THERAPEUTICS INC | $103.2M | 5.89% | 2,410,379 | Common | SOLE |
| G31249108 | ESTA | ESTABLISHMENT LABS HLDGS INC | $100.0M | 5.71% | 1,964,562 | Common | SOLE |
| 532457108 | LLY | ELI LILLY & CO | $77.8M | 4.44% | 100,000 | PUT | SOLE |
| 38526M106 | LOPE | GRAND CANYON ED INC | $54.5M | 3.11% | 400,000 | PUT | SOLE |
| 59100U108 | CASH | PATHWARD FINANCIAL INC | $51.6M | 2.95% | 1,021,727 | Common | SOLE |
| 22160K105 | COST | COSTCO WHSL CORP NEW | $51.3M | 2.93% | 70,000 | PUT | SOLE |
| 30052C107 | EOLS | EVOLUS INC | $40.8M | 2.33% | 2,910,849 | Common | SOLE |
| 45245E109 | IMAX | IMAX CORP | $35.6M | 2.04% | 2,203,177 | Common | SOLE |
| 43283X105 | HGV | HILTON GRAND VACATIONS INC | $31.6M | 1.80% | 668,871 | Common | SOLE |
| 09075A108 | BVS | BIOVENTUS INC | $30.2M | 1.72% | 5,806,012 | Common | SOLE |
| 781386305 | RDNW | RUMBLEON INC | $28.5M | 1.63% | 4,416,506 | Common | SOLE |
| G31249108 | ESTA | ESTABLISHMENT LABS HLDGS INC | $28.0M | 1.60% | 550,000 | CALL | SOLE |
| 70614W100 | PTON | PELOTON INTERACTIVE INC | $27.1M | 1.55% | 6,312,939 | Common | SOLE |
| 464287739 | IYR | ISHARES TR | $27.0M | 1.54% | 300,000 | PUT | SOLE |
| 75704L104 | RDVT | RED VIOLET INC | $21.8M | 1.25% | 1,116,249 | Common | SOLE |
| 03062T105 | CRMT | AMERICAS CAR-MART INC | $19.9M | 1.14% | 312,128 | Common | SOLE |
| 492327101 | KROS | KEROS THERAPEUTICS INC | $19.5M | 1.11% | 293,997 | Common | SOLE |
| 55234L105 | LYRAGBP | LYRA THERAPEUTICS INC | $17.5M | 1.00% | 2,820,982 | Common | SOLE |
| 00289Y206 | ABEO | ABEONA THERAPEUTICS INC | $16.8M | 0.96% | 2,310,640 | Common | SOLE |
| N90064101 | QURE | UNIQURE NV | $16.1M | 0.92% | 3,088,082 | Common | SOLE |
| 89157D105 | TRML | TOURMALINE BIO INC | $16.1M | 0.92% | 700,907 | Common | SOLE |
| 03168L105 | AMRX | AMNEAL PHARMACEUTICALS INC | $15.9M | 0.91% | 2,619,943 | Common | SOLE |
| 192005106 | CDXS | CODEXIS INC | $15.6M | 0.89% | 4,461,878 | Common | SOLE |
| 92663R105 | VMD | VIEMED HEALTHCARE INC | $14.6M | 0.84% | 1,550,122 | Common | SOLE |
| 233377407 | DXPE | DXP ENTERPRISES INC | $14.5M | 0.83% | 269,806 | Common | SOLE |
| 00370M103 | ABVX | ABIVAX SA | $14.4M | 0.83% | 1,010,034 | Common | SOLE |
| 488445206 | ZVRA | ZEVRA THERAPEUTICS INC | $14.2M | 0.81% | 2,453,405 | Common | SOLE |
| 26818M108 | DYN | DYNE THERAPEUTICS INC | $12.4M | 0.71% | 435,256 | Common | SOLE |
| 76119X105 | RSVR | RESERVOIR MEDIA INC | $12.3M | 0.70% | 1,550,797 | Common | SOLE |
| 28238P109 | EHTH | EHEALTH INC | $11.5M | 0.66% | 1,911,821 | Common | SOLE |
| 87164F105 | SNDX | SYNDAX PHARMACEUTICALS INC | $11.1M | 0.63% | 465,259 | Common | SOLE |
| 05153U107 | AURA | AURA BIOSCIENCES INC | $10.4M | 0.59% | 1,321,860 | Common | SOLE |
| 70614W100 | PTON | PELOTON INTERACTIVE INC | $10.3M | 0.59% | 2,400,000 | CALL | SOLE |
| 641288105 | NPCE | NEUROPACE INC | $10.3M | 0.59% | 778,260 | Common | SOLE |
| 381013101 | GDEN | GOLDEN ENTMT INC | $9.9M | 0.57% | 269,267 | Common | SOLE |
| 04546C205 | — | ASSERTIO HOLDINGS INC | $8.9M | 0.51% | 9,270,836 | Common | SOLE |
| 70451X104 | PAYO | PAYONEER GLOBAL INC | $8.9M | 0.51% | 1,821,426 | Common | SOLE |
| 805111101 | SVRA | SAVARA INC | $8.7M | 0.49% | 1,737,410 | Common | SOLE |
| 90466Y103 | — | UNICYCIVE THERAPEUTICS INC | $8.6M | 0.49% | 3,335,586 | Common | SOLE |
| 74967R106 | RMR | RMR GROUP INC | $8.3M | 0.47% | 345,792 | Common | SOLE |
| N44445109 | IMTX | IMMATICS N.V | $8.3M | 0.47% | 787,974 | Common | SOLE |
| 456237106 | ILPT | INDUSTRIAL LOGISTICS PPTYS T | $8.1M | 0.46% | 1,881,132 | Common | SOLE |
| 92840H400 | VTGN | VISTAGEN THERAPEUTICS INC | $8.0M | 0.46% | 1,517,696 | Common | SOLE |
| 76200L309 | RZLT | REZOLUTE INC | $7.7M | 0.44% | 3,022,947 | Common | SOLE |
| 65540B105 | NDLSUSD | NOODLES & CO | $7.7M | 0.44% | 4,033,329 | Common | SOLE |
| 15117F807 | CLRBUSD | CELLECTAR BIOSCIENCES INC | $7.5M | 0.43% | 1,873,325 | Common | SOLE |
| G5698W116 | LXFR | LUXFER HLDGS PLC | $7.1M | 0.41% | 685,253 | Common | SOLE |
| 29357K103 | ENVA | ENOVA INTL INC | $6.8M | 0.39% | 109,000 | CALL | SOLE |
| 629337106 | NNBR | NN INC | $6.7M | 0.38% | 1,406,446 | Common | SOLE |
| 269796108 | EGRX | EAGLE PHARMACEUTICALS INC | $6.6M | 0.38% | 1,258,762 | Common | SOLE |
| 755408101 | RDI | READING INTL INC | $6.2M | 0.36% | 3,385,253 | Common | SOLE |
| 872381108 | TELA | TELA BIO INC | $6.2M | 0.36% | 1,097,866 | Common | SOLE |
| 98986M103 | ZYXIQ | ZYNEX INC | $6.1M | 0.35% | 490,000 | Common | SOLE |
| 208242107 | CN4 | CONNS INC | $5.9M | 0.34% | 1,769,997 | Common | SOLE |
| 87650L103 | TARS | TARSUS PHARMACEUTICALS INC | $5.5M | 0.31% | 150,321 | Common | SOLE |
| 19240Q201 | COGT | COGENT BIOSCIENCES INC | $5.3M | 0.30% | 790,936 | Common | SOLE |
| 02128L106 | ALTG | ALTA EQUIPMENT GROUP INC | $5.2M | 0.30% | 402,509 | Common | SOLE |
| 05479K106 | ELUT | ELUTIA INC | $5.2M | 0.30% | 1,650,000 | Common | SOLE |
| 72814N104 | AGS | PLAYAGS INC | $5.1M | 0.29% | 566,588 | Common | SOLE |
| G4412G101 | HLF | HERBALIFE LTD | $5.0M | 0.29% | 500,000 | CALL | SOLE |
| 23331S100 | DHX | DHI GROUP INC | $5.0M | 0.29% | 1,966,417 | Common | SOLE |
| 45779A846 | NSPR | INSPIREMD INC | $4.9M | 0.28% | 2,066,456 | Common | SOLE |
| 698884AC7 | — | PAR TECHNOLOGY CORP | $4.7M | 0.27% | 3,785,000 | Common | SOLE |
| 98420P308 | XTNT | XTANT MED HLDGS INC | $4.7M | 0.27% | 4,000,000 | Common | SOLE |
| 29357K103 | ENVA | ENOVA INTL INC | $4.5M | 0.26% | 71,865 | Common | SOLE |
| 88338H704 | TQ80 | THERATECHNOLOGIES INC | $4.5M | 0.25% | 2,682,228 | Common | SOLE |
| 82686Q101 | SLN | SILENCE THERAPEUTICS PLC | $4.3M | 0.25% | 200,000 | Common | SOLE |
| 603170101 | MLYS | MINERALYS THERAPEUTICS INC | $4.3M | 0.25% | 332,506 | Common | SOLE |
| 921659108 | VNDA | VANDA PHARMACEUTICALS INC | $4.2M | 0.24% | 1,013,251 | Common | SOLE |
| N62509109 | NAMS | NEWAMSTERDAM PHARMA COMPANY | $4.1M | 0.24% | 175,000 | Common | SOLE |
| 23725P209 | DRIOEUR | DARIOHEALTH CORP | $4.0M | 0.23% | 2,632,559 | Common | SOLE |
| 78464A870 | XBI | SPDR SER TR | $4.0M | 0.23% | 42,069 | Common | SOLE |
| 00289Y206 | ABEO | ABEONA THERAPEUTICS INC | $3.8M | 0.22% | 520,000 | CALL | SOLE |
| 64135M105 | NGNE | NEUROGENE INC | $3.7M | 0.21% | 72,279 | Common | SOLE |
| 68404V100 | — | OPTINOSE INC | $3.6M | 0.21% | 2,474,296 | Common | SOLE |
| 054754858 | AYTU | AYTU BIOPHARMA INC | $3.3M | 0.19% | 1,086,812 | Common | SOLE |
| 59935V107 | MIST | MILESTONE PHARMACEUTICALS IN | $3.1M | 0.18% | 1,750,000 | Common | SOLE |
| 88338K103 | STKS | THE ONE GROUP HOSPITALITY IN | $3.1M | 0.17% | 547,710 | Common | SOLE |
| 58450V104 | MAX | MEDIAALPHA INC | $3.0M | 0.17% | 149,371 | Common | SOLE |
| 004468500 | ACHV | ACHIEVE LIFE SCIENCES INC | $3.0M | 0.17% | 654,000 | Common | SOLE |
| 36269P104 | GAIA | GAIA INC NEW | $2.8M | 0.16% | 915,029 | Common | SOLE |
| 29415J106 | — | ENVVENO MEDICAL CORPORATION | $2.7M | 0.15% | 495,736 | Common | SOLE |
| 008064107 | — | AEROVATE THERAPEUTICS INC | $2.7M | 0.15% | 91,188 | Common | SOLE |
| 640268108 | NKTREUR | NEKTAR THERAPEUTICS | $2.3M | 0.13% | 2,475,954 | Common | SOLE |
| L0175J104 | ASPS | ALTISOURCE PORTFOLIO SOLNS S | $2.1M | 0.12% | 1,091,009 | Common | SOLE |
| 00444T209 | TLPH | TALPHERA INC | $2.1M | 0.12% | 1,992,519 | Common | SOLE |
| 00887A204 | RNTX | AILERON THERAPEUTICS INC | $1.7M | 0.10% | 255,000 | Common | SOLE |
| N44445117 | IMTXW | IMMATICS N.V | $1.5M | 0.09% | 558,977 | Common | SOLE |
| G7T96K107 | SRL | SCULLY ROYALTY LTD | $1.5M | 0.08% | 239,197 | Common | SOLE |
| 034569103 | ANEB | ANEBULO PHARMACEUTICALS INC | $1.5M | 0.08% | 511,073 | Common | SOLE |
| 64130M209 | — | NEUROONE MED TECHNOLOGIES CO | $1.4M | 0.08% | 1,198,912 | Common | SOLE |
| 71367G102 | PWP | PERELLA WEINBERG PARTNERS | $1.4M | 0.08% | 99,778 | Common | SOLE |
| 03836J201 | APRE | APREA THERAPEUTICS INC | $1.4M | 0.08% | 205,760 | Common | SOLE |
| 45783C200 | TIL | INSTIL BIO INC | $1.4M | 0.08% | 127,292 | Common | SOLE |
| 49721T309 | EYEGEUR | KIORA PHARMACEUTICALS INC | $1.3M | 0.08% | 1,900,000 | Common | SOLE |
| 34988V106 | FOSL | FOSSIL GROUP INC | $1.3M | 0.08% | 1,306,338 | Common | SOLE |
| 05580M108 | RILY | B. RILEY FINANCIAL INC | $1.3M | 0.08% | 62,520 | Common | SOLE |
| N90064101 | QURE | UNIQURE NV | $1.3M | 0.07% | 243,000 | CALL | SOLE |
| 577096100 | MTTR* | MATTERPORT INC | $1.2M | 0.07% | 548,376 | Common | SOLE |
| 86272A206 | SSKNEUR | STRATA SKIN SCIENCES INC | $1.2M | 0.07% | 3,089,821 | Common | SOLE |
| 168905107 | PLCE | CHILDRENS PL INC NEW | $1.2M | 0.07% | 100,000 | Common | SOLE |
| 784933103 | SGRP | SPAR GROUP INC | $896,773 | 0.05% | 879,189 | Common | SOLE |
| 232109AG3 | — | CUTERA INC | $887,605 | 0.05% | 4,000,000 | Common | SOLE |
| 38341P102 | GOSS | GOSSAMER BIO INC | $793,970 | 0.05% | 672,856 | Common | SOLE |
| 34960Q307 | FBIO | FORTRESS BIOTECH INC | $556,304 | 0.03% | 278,152 | Common | SOLE |
| G7006A109 | PERF | PERFECT CORP | $496,000 | 0.03% | 200,000 | Common | SOLE |
| 30049G203 | EVOKEUR | EVOKE PHARMA INC | $411,750 | 0.02% | 675,000 | Common | SOLE |
| 037326105 | ANTX | AN2 THERAPEUTICS INC | $319,404 | 0.02% | 98,278 | Common | SOLE |
| 505743104 | LADR | LADDER CAP CORP | $285,273 | 0.02% | 25,631 | Common | SOLE |
| 28036F105 | EWTX | EDGEWISE THERAPEUTICS INC | $243,887 | 0.01% | 13,371 | Common | SOLE |
| 03835T309 | — | APTOSE BIOSCIENCES INC | $146,976 | 0.01% | 88,540 | Common | SOLE |
| 54948X109 | LUCD | LUCID DIAGNOSTICS INC | $132,281 | 0.01% | 149,698 | Common | SOLE |
| 05591L107 | — | BM TECHNOLOGIES INC | $125,456 | 0.01% | 76,034 | Common | SOLE |
| 892918103 | TACT | TRANSACT TECHNOLOGIES INC | $125,393 | 0.01% | 23,930 | Common | SOLE |
| 30068X103 | XGN | EXAGEN INC | $118,147 | 0.01% | 74,306 | Common | SOLE |
| 75973T101 | RNLXUSD | RENALYTIX PLC | $101,174 | 0.01% | 117,644 | Common | SOLE |
| 22978P106 | CUE1EUR | CUE BIOPHARMA INC | $50,448 | 0.00% | 26,692 | Common | SOLE |
| G4236L120 | GFAIW | GUARDFORCE AI CO LTD | $50,333 | 0.00% | 154,205 | Common | SOLE |
| M47364100 | — | GAMIDA CELL LTD | $28,880 | 0.00% | 800,000 | Common | SOLE |
| 87807D111 | TCBWF | TC BIOPHARM HOLDINGS PLC | $4,706 | 0.00% | 235,294 | Common | SOLE |
| 49720K200 | — | KINTARA THERAPEUTICS INC | $1,285 | 0.00% | 12,763 | Common | SOLE |
| 04035M102 | ARHS | ARHAUS INC | $15 | 0.00% | 1 | 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.