13F-HR filed by Nantahala Capital Management, LLC
Nantahala Capital Management, LLC filed this 13F-HR for the quarter ended 2021-12-31, filed 2022-02-14, with 136 holding rows worth $2,842,308,000.
- Accession
- 0001104659-22-022906
- Filer
- CIK 1472322
- Filed
- 2022-02-14
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q4 2021
A holdings report, 136 entries on the cover page, a total value of $2,842,308,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $2,842,308,000 with VALUE read as thousands by filing date, 13F file number 028-14750. The quarter's positions are built on this report. The resolved quarter.
The information table after summing rows of one CUSIP and put or call (H4), with the CUSIP and issuer name as filed. Values in dollars after the unit check (method).
| Issuer as filed | CUSIP | Class | Amount | Value | Value read as | Type |
|---|---|---|---|---|---|---|
| iShares Russell 2000 ETF | 464287655 | SHS | 2,150,000 | $478,268,000 | thousands by filing date | put |
| WAYFAIR INC | 94419L101 | CL A | 807,700 | $153,439,000 | thousands by filing date | call |
| ESTABLISHMENT LABS HOLDINGS | G31249108 | COMMON STOCK | 2,123,236 | $143,510,000 | thousands by filing date | |
| LIGHT & WONDER INC COM | 80874P109 | Stock | 1,559,300 | $104,208,000 | thousands by filing date | call |
| CODEXIS INC | 192005106 | COM | 3,214,097 | $100,505,000 | thousands by filing date | |
| SPDR SER TR | 78464A870 | S&P BIOTECH | 650,000 | $72,774,000 | thousands by filing date | put |
| TENET HEALTHCARE CORP COM NEW | 88033G407 | Stock | 875,900 | $71,552,000 | thousands by filing date | call |
| TRAVELCENTERS OF AMERICA INC | 89421B109 | COMMON STOCK | 1,272,570 | $65,690,000 | thousands by filing date | |
| SYNDAX PHARMACEUTICALS INC | 87164F105 | COM | 2,850,559 | $62,399,000 | thousands by filing date | |
| MILLERKNOLL INC | 600544100 | COM | 1,464,507 | $57,394,000 | thousands by filing date | |
| TRAVEL PLUS LEISURE CO COM | 894164102 | Stock | 1,000,000 | $55,270,000 | thousands by filing date | call |
| Golden Entertainment Inc | 381013101 | Common Stock | 1,071,315 | $54,134,000 | thousands by filing date | |
| PATHWARD FINANCIAL INC | 59100U108 | COM | 895,792 | $53,443,000 | thousands by filing date | |
| TRAVEL PLUS LEISURE CO COM | 894164102 | Stock | 941,252 | $52,023,000 | thousands by filing date | |
| IMAX CORP | 45245E109 | COM | 2,797,490 | $49,907,000 | thousands by filing date | |
| UNIQURE NV | N90064101 | SHS | 2,363,313 | $49,015,000 | thousands by filing date | |
| CARVANA CO CL A | 146869102 | Stock | 203,700 | $47,216,000 | thousands by filing date | call |
| KEROS THERAPEUTICS INC COM | 492327101 | Stock | 796,698 | $46,615,000 | thousands by filing date | |
| SPDR SER TR | 78464A870 | S&P BIOTECH | 400,000 | $44,784,000 | thousands by filing date | call |
| UNIQURE NV | N90064101 | SHS | 2,105,900 | $43,676,000 | thousands by filing date | call |
| IMAX CORP | 45245E109 | COM | 2,400,000 | $42,816,000 | thousands by filing date | call |
| LUXFER HOLDINGS PLC | G5698W116 | COMMON STOCK | 2,118,233 | $40,903,000 | thousands by filing date | |
| RED VIOLET INC | 75704L104 | COMMON STOCK | 1,023,459 | $40,621,000 | thousands by filing date | |
| IMMATICS N.V | N44445109 | SHS | 2,918,662 | $39,227,000 | thousands by filing date | |
| RMR GROUP INC | 74967R106 | CL A | 963,726 | $33,422,000 | thousands by filing date | |
| PELOTON INTERACTIVE INC | 70614W100 | CL A COM | 900,000 | $32,184,000 | thousands by filing date | call |
| APOLLO ENDOSURGERY INC | 03767D108 | COM | 3,761,783 | $31,712,000 | thousands by filing date | |
| DXP ENTERPRISES INC | 233377407 | COM NEW | 1,223,258 | $31,401,000 | thousands by filing date | |
| CUE BIOPHARMA INC | 22978P106 | COM | 2,539,700 | $28,724,000 | thousands by filing date | |
| ALTA EQUIPMENT GROUP INC COMMON STOCK | 02128L106 | Stock | 1,946,541 | $28,497,000 | thousands by filing date | |
| INTERNATIONAL MONEY EXPRESS | 46005L101 | COM | 1,611,488 | $25,719,000 | thousands by filing date | |
| SEMLER SCIENTIFIC INC | 81684M104 | COM | 279,085 | $25,578,000 | thousands by filing date | |
| PAYA HOLDINGS INC | 70434P103 | COM CL A | 3,799,961 | $24,092,000 | thousands by filing date | |
| DHI GROUP INC | 23331S100 | COM | 3,726,184 | $23,251,000 | thousands by filing date | |
| FORTRESS BIOTECH INC | 34960Q109 | COM | 9,086,005 | $22,715,000 | thousands by filing date | |
| AUTOLUS THERAPEUTICS PLC SPON | 05280R100 | COM | 4,077,509 | $21,162,000 | thousands by filing date | |
| DARIOHEALTH CORP | 23725P209 | COM | 1,411,681 | $18,310,000 | thousands by filing date | |
| TAYSHA GENE THERAPIES INC | 877619106 | COMMON STOCK | 1,456,147 | $16,964,000 | thousands by filing date | |
| SANTANDER CONSUMER USA HOLDINGS | 80283M101 | COMMON STOCK | 395,176 | $16,605,000 | thousands by filing date | |
| VROOM INC | 92918V109 | COM | 1,500,000 | $16,185,000 | thousands by filing date | call |
| BBQ HLDGS INC | 05551A109 | CMN | 1,000,000 | $15,840,000 | thousands by filing date | |
| SHOCKWAVE MED INC | 82489T104 | COM | 80,000 | $14,266,000 | thousands by filing date | put |
| READING INTL INC | 755408101 | CL A | 3,475,832 | $14,042,000 | thousands by filing date | |
| SHIFT TECHNOLOGIES INC | 82452T107 | CL A | 4,116,943 | $14,039,000 | thousands by filing date | |
| ZOGENIX INC | 98978LAB1 | NOTE 2.750%10/0 | 14,000,000 | $13,864,000 | thousands by filing date | principal |
| AEGLEA BIOTHERAPEUTICS INC | 00773J103 | COM | 2,813,560 | $13,364,000 | thousands by filing date | |
| AVALO THERAPEUTICS INC | 05338F108 | CMN | 7,145,874 | $12,148,000 | thousands by filing date | |
| HELIOGEN INC | 42329E105 | COM | 775,001 | $12,021,000 | thousands by filing date | |
| FALCON MINERALS CORP | 30607B109 | CL A COM | 2,374,707 | $11,565,000 | thousands by filing date | |
| CURIS INC | 231269200 | COM | 2,391,691 | $11,384,000 | thousands by filing date | |
| HERBALIFE LTD | G4412G101 | COM SHS | 278,000 | $11,379,000 | thousands by filing date | call |
| AKEBIA THERAPEUTICS INC | 00972D105 | COMMON STOCK | 4,918,565 | $11,116,000 | thousands by filing date | |
| AKUMIN INC | 01021F109 | COM | 6,320,740 | $11,061,000 | thousands by filing date | |
| APTOSE BIOSCIENCES INC COM | 03835T200 | Stock | 7,604,693 | $10,266,000 | thousands by filing date | |
| FINTECH ACQUISITION CORP VI | 31811H205 | UNT | 1,000,000 | $10,005,000 | thousands by filing date | |
| FINTECH ACQUISITION CORP V | 31810Q107 | COM CL A | 991,432 | $9,835,000 | thousands by filing date | |
| INSU ACQUISITION CORP III | 457817104 | CMN | 999,996 | $9,800,000 | thousands by filing date | |
| ARYA SCIENCES ACQUISITN CORP | G31658100 | CLASS A ORD SHS | 999,811 | $9,698,000 | thousands by filing date | |
| iShares Russell 2000 ETF | 464287655 | SHS | 42,630 | $9,483,000 | thousands by filing date | |
| TELADOC HEALTH INC | 87918A105 | COM | 100,000 | $9,182,000 | thousands by filing date | put |
| HCA Healthcare Inc | 40412C101 | COM | 35,600 | $9,146,000 | thousands by filing date | |
| FTAC HERA ACQUISITION CORP | G3728Y103 | COM | 931,191 | $9,098,000 | thousands by filing date | |
| PAR TECHNOLOGY CORP | 698884AC7 | NOTE 2.875% 4/1 | 6,000,000 | $8,820,000 | thousands by filing date | principal |
| B. RILEY FINANCIAL INC | 05580M108 | COM | 93,377 | $8,297,000 | thousands by filing date | |
| ZOGENIX INC. | 98978L204 | Common Stock | 481,782 | $7,829,000 | thousands by filing date | |
| LINCOLN EDL SVCS CORP | 533535100 | COM | 1,003,024 | $7,493,000 | thousands by filing date | |
| VIEMED HEALTHCARE INC | 92663R105 | COM | 1,423,538 | $7,431,000 | thousands by filing date | |
| SCULLY ROYALTY LTD | G7T96K107 | COM SHS | 807,089 | $7,151,000 | thousands by filing date | |
| ACADIA PHARMACEUTICALS INC | 004225108 | COM | 300,000 | $7,002,000 | thousands by filing date | call |
| CYMABAY THERAPEUTICS INC | 23257D103 | COM | 2,000,142 | $6,760,000 | thousands by filing date | |
| STRATA SKIN SCIENCES INC | 86272A206 | COMMON | 4,575,812 | $6,704,000 | thousands by filing date | |
| ARS PHARMACEUTICALS INC | 82835W108 | COM | 1,006,462 | $6,703,000 | thousands by filing date | |
| CIDARA THERAPEUTICS INC COM NEW | 171757107 | Stock | 5,270,458 | $6,693,000 | thousands by filing date | |
| LIGHT & WONDER INC COM | 80874P109 | Stock | 93,533 | $6,251,000 | thousands by filing date | |
| MEDIAALPHA INC | 58450V104 | CL A | 370,404 | $5,719,000 | thousands by filing date | |
| PARTY CITY HOLDCO INC | 702149105 | COM | 1,000,000 | $5,570,000 | thousands by filing date | call |
| VIRGIN GALACTIC HLDGS INC | 92766K106 | COM | 400,000 | $5,352,000 | thousands by filing date | call |
| NAUTILUS BIOTECHNOLOGY INC | 63909J108 | COM | 1,029,872 | $5,335,000 | thousands by filing date | |
| HYPERFINE INC | 44916K106 | Common Stock | 718,637 | $5,210,000 | thousands by filing date | |
| IMMATICS N.V | N44445117 | *W EXP 07/01/202 | 1,071,466 | $4,704,000 | thousands by filing date | |
| SYNDAX PHARMACEUTICALS INC | 87164F105 | COM | 200,000 | $4,378,000 | thousands by filing date | call |
| SOLENO THERAPEUTIVS, INC. | 834203200 | COMM | 9,765,129 | $4,004,000 | thousands by filing date | |
| ARYA SCIENCES ACQU CORP IV | G31659108 | COM | 399,248 | $3,959,000 | thousands by filing date | |
| ZOGENIX INC. | 98978L204 | Common Stock | 236,400 | $3,842,000 | thousands by filing date | call |
| BIG 5 SPORTING GOODS CORP | 08915P101 | COM | 200,000 | $3,802,000 | thousands by filing date | put |
| ZOVIO INC | 98979V102 | COMMON STOCK | 2,980,767 | $3,786,000 | thousands by filing date | |
| ANGION BIOMEDICA CORP | 03476J107 | COM | 1,267,029 | $3,674,000 | thousands by filing date | |
| PELOTON INTERACTIVE INC | 70614W100 | CL A COM | 102,342 | $3,660,000 | thousands by filing date | |
| HARPOON THERAPEUTICS INC | 41358P106 | COM | 475,467 | $3,590,000 | thousands by filing date | |
| PERELLA WEINBERG PARTNERS | 71367G102 | COMMON STOCK | 278,140 | $3,577,000 | thousands by filing date | |
| B RILEY PRINCIPAL 150 MERGER | 05601V103 | COM CL A | 349,649 | $3,538,000 | thousands by filing date | |
| KURA ONCOLOGY INC COM | 50127T109 | Stock | 250,000 | $3,500,000 | thousands by filing date | call |
| NEUROPACE INC | 641288105 | COMMON STOCK | 305,906 | $3,084,000 | thousands by filing date | |
| PAYONEER GLOBAL INC COM | 70451X104 | Stock | 398,684 | $2,930,000 | thousands by filing date | |
| WAVE LIFE SCIENCES LTD SHS | Y95308105 | Stock | 907,094 | $2,848,000 | thousands by filing date | |
| IMAC HLDGS INC | 44967K104 | COM | 2,392,094 | $2,727,000 | thousands by filing date | |
| CATALYST BIOSCIENCES INC | 14888D208 | COM | 2,761,660 | $2,524,000 | thousands by filing date | |
| IMV INC | 44974L103 | COM | 2,055,212 | $2,507,000 | thousands by filing date | |
| IDW MEDIA | 44951N106 | COM | 1,229,243 | $2,458,000 | thousands by filing date | |
| METROMILE INC | 591697107 | COM | 1,119,612 | $2,452,000 | thousands by filing date | |
| LUCID DIAGNOSTICS INC | 54948X109 | COM | 435,055 | $2,336,000 | thousands by filing date | |
| KEROS THERAPEUTICS INC COM | 492327101 | Stock | 39,700 | $2,323,000 | thousands by filing date | call |
| AKEBIA THERAPEUTICS INC | 00972D105 | COMMON STOCK | 1,000,000 | $2,260,000 | thousands by filing date | call |
| Merrimack Pharmaceuticals Inc | 590328209 | Common / Ordinary Stock | 569,971 | $2,229,000 | thousands by filing date | |
| EXAGEN INC | 30068X103 | COM | 186,936 | $2,174,000 | thousands by filing date | |
| ACER THERAPEUTICS INC | 00444P108 | CMN | 901,290 | $2,055,000 | thousands by filing date | |
| LAVA THERAPEUTICS NV | N51517105 | SHS | 360,808 | $1,984,000 | thousands by filing date | |
| FARADAY FUTRE INTLGT ELCTR I | 307359109 | COM | 350,000 | $1,862,000 | thousands by filing date | |
| HTG MOLECULAR DIAGNOSTICS IN | 40434H203 | COM NEW | 335,015 | $1,816,000 | thousands by filing date | |
| 5 01 ACQUISITION CORP | 33836P105 | CMN | 181,927 | $1,792,000 | thousands by filing date | |
| AURA BIOSCIENCES INC | 05153U107 | COMMON STOCK | 99,146 | $1,683,000 | thousands by filing date | |
| IN8BIO INC | 45674E109 | COM | 373,169 | $1,638,000 | thousands by filing date | |
| UNICYCIVE THERAPEUTICS INC | 90466Y103 | CMN | 686,756 | $1,415,000 | thousands by filing date | |
| PERELLA WEINBERG PARTNERS | 71367G110 | *W EXP 12/31/202 | 400,000 | $1,412,000 | thousands by filing date | |
| COGNITION THERAPEUTICS INC | 19243B102 | COM | 209,588 | $1,325,000 | thousands by filing date | |
| AVENUE THERAPEUTICS INC | 05360L205 | COM | 1,453,166 | $1,319,000 | thousands by filing date | |
| CABALETTA BIO INC | 12674W109 | COMMON STOCK | 341,538 | $1,294,000 | thousands by filing date | |
| HOOKIPA PHARMA INC | 43906K100 | COM | 473,566 | $1,103,000 | thousands by filing date | |
| TANGO THERAPEUTICS INC | 87583X109 | COM | 100,000 | $1,094,000 | thousands by filing date | |
| TRANSACT TECHNOLOGIES INC | 892918103 | CMN | 76,583 | $835,000 | thousands by filing date | |
| ELOXX PHARMACEUTICALS INC | 29014R103 | COM | 894,659 | $632,000 | thousands by filing date | |
| GALMED PHARMACEUTICALS LTD | M47238106 | SHS | 297,947 | $542,000 | thousands by filing date | |
| FINTECH ACQUISITION CORP V | 31810Q115 | *W EXP 12/31/202 | 333,331 | $490,000 | thousands by filing date | |
| BAKKT HOLDINGS INC | 05759B107 | COM | 52,499 | $447,000 | thousands by filing date | |
| Kintara Therapeutics, Inc. | 49720K101 | Equities | 663,279 | $338,000 | thousands by filing date | |
| GUARDFORCE AI CO LTD | G4236L120 | *W EXP 10/01/202 | 600,000 | $333,000 | thousands by filing date | |
| OCUGEN INC | 67577C105 | COMMON STOCK | 63,606 | $289,000 | thousands by filing date | |
| FTAC HERA ACQUISITION CORP | G3728Y111 | *W EXP 02/28/202 | 249,997 | $237,000 | thousands by filing date | |
| INSU ACQUISITION CORP III | 457817112 | *W EXP 12/31/202 | 333,332 | $185,000 | thousands by filing date | |
| FAZE HOLDINGS INC WT EXP 030128 | 05601V111 | Common Stock | 124,997 | $181,000 | thousands by filing date | |
| FALCON MINERALS CORP | 30607B208 | *W EXP 07/21/202 | 878,022 | $122,000 | thousands by filing date | |
| ROTH CH ACQUISITION III CO | 77867Q110 | *W EXP 02/26/202 | 99,749 | $109,000 | thousands by filing date | |
| METROMILE INC | 591697115 | *W EXP 02/09/202 | 558,296 | $78,000 | thousands by filing date | |
| FTAC HERA ACQUISITION CORP | G3728Y129 | UNIT 02/28/2026 | 9 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| B RILEY PRINCIPAL 150 MERGER | 05601V202 | UNIT 99/99/9999 | 9 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| INSU ACQUISITION CORP III | 457817302 | UNIT 12/31/2026 | 4 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001104659-22-022906 | this filing | 2022-02-14 | acceptance time not in the bulk data set |