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Disclosery

13F-HR filed by Nantahala Capital Management, LLC

Nantahala Capital Management, LLC filed this 13F-HR for the quarter ended 2022-12-31, filed 2023-02-14, with 118 holding rows worth $1,542,903,519.

Accession
0001104659-23-021908
Filer
CIK 1472322
Filed
2023-02-14
Accepted by EDGAR
acceptance time not in the bulk data set
Ingested
Source
SEC quarterly data set

Original filing

13F report for Q4 2022

A holdings report, 118 entries on the cover page, a total value of $1,542,903,519 stated on the cover page (in dollars after the unit check, H1), rows summing to $1,542,903,519 with VALUE read as dollars as filed, 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 filedCUSIPClassAmountValueValue read asType
iShares Russell 2000 ETF464287655SHS1,700,000$296,412,000dollars as filedput
iShares Russell 2000 ETF464287655SHS691,076$120,496,011dollars as filed
ESTABLISHMENT LABS HOLDINGSG31249108COMMON STOCK1,815,023$119,156,260dollars as filed
UNIQURE NVN90064101SHS2,700,239$61,214,418dollars as filed
PATHWARD FINANCIAL INC59100U108COM1,301,198$56,016,574dollars as filed
TRAVELCENTERS OF AMERICA INC89421B109COMMON STOCK1,031,394$46,185,823dollars as filed
IMAX CORP45245E109COM2,796,889$41,002,393dollars as filed
APOLLO ENDOSURGERY INC03767D108COM4,056,627$40,444,571dollars as filed
KEROS THERAPEUTICS INC COM492327101Stock792,093$38,036,306dollars as filed
LUXFER HOLDINGS PLCG5698W116COMMON STOCK2,452,319$33,645,817dollars as filed
IMAX CORP45245E109COM2,191,300$32,124,458dollars as filedcall
RED VIOLET INC75704L104COMMON STOCK1,275,088$29,352,526dollars as filed
UNIQURE NVN90064101SHS1,187,700$26,925,159dollars as filedcall
SYNDAX PHARMACEUTICALS INC87164F105COM975,705$24,831,692dollars as filed
IMMATICS N.VN44445109SHS2,748,527$23,939,670dollars as filed
RMR GROUP INC74967R106CL A846,167$23,904,218dollars as filed
TRAVEL PLUS LEISURE CO COM894164102Stock628,479$22,876,636dollars as filed
MILLERKNOLL INC600544100COM1,001,425$21,039,939dollars as filed
CODEXIS INC192005106COM4,487,782$20,913,064dollars as filed
APOLLO ENDOSURGERY INC03767D108COM2,000,000$19,940,000dollars as filedcall
PAYA HOLDINGS INC70434P103COM CL A2,472,352$19,432,939dollars as filed
DHI GROUP INC23331S100COM3,661,976$19,371,853dollars as filed
PELOTON INTERACTIVE INC70614W100CL A COM2,395,184$19,017,761dollars as filed
Golden Entertainment Inc381013101Common Stock456,109$17,058,477dollars as filed
HILTON GRAND VACATIONS INC COM43283X105Stock413,200$15,924,728dollars as filed
ALTA EQUIPMENT GROUP INC COMMON STOCK02128L106Stock1,188,985$15,682,712dollars as filed
AUTOLUS THERAPEUTICS PLC SPON05280R100COM7,782,018$14,785,834dollars as filed
CYMABAY THERAPEUTICS INC23257D103COM2,250,559$14,111,005dollars as filed
VIEMED HEALTHCARE INC92663R105COM1,770,000$13,381,200dollars as filed
HERBALIFE LTDG4412G101COM SHS867,700$12,911,376dollars as filedcall
MEDIAALPHA INC58450V104CL A1,283,240$12,768,238dollars as filed
PELOTON INTERACTIVE INC70614W100CL A COM1,368,600$10,866,684dollars as filedcall
RH74967X103COM40,000$10,687,600dollars as filedcall
DARIOHEALTH CORP23725P209COM2,466,757$10,557,720dollars as filed
AMRYT PHARMA LTD - SPNR ADR03217L106COMMON EQUITY1,437,458$10,493,443dollars as filed
CONCERT PHARMACEUTICALS INC206022105COM1,732,388$10,117,146dollars as filed
RIDENOW GROUP INC781386305COM CL B1,489,391$9,636,360dollars as filed
DXP ENTERPRISES INC233377407COM NEW338,090$9,314,380dollars as filed
AURA BIOSCIENCES INC05153U107COMMON STOCK798,751$8,386,886dollars as filed
BIOVENTUS INC09075A108COM CL A3,168,574$8,269,978dollars as filed
READING INTL INC755408101CL A2,907,774$8,054,534dollars as filed
RH74967X103COM28,797$7,694,270dollars as filed
PAYONEER GLOBAL INC COM70451X104Stock1,084,831$7,663,314dollars as filed
LYRA THERAPEUTICS INC55234L105COM2,220,830$6,973,406dollars as filed
PERDOCEO ED CORP71363P106COM500,000$6,950,000dollars as filedput
TAYSHA GENE THERAPIES INC877619106COMMON STOCK2,999,765$6,779,469dollars as filed
ZOOM COMMUNICATIONS INC CL A98980L101Stock100,000$6,774,000dollars as filedcall
ESTABLISHMENT LABS HOLDINGSG31249108COMMON STOCK100,000$6,565,000dollars as filedcall
FORTRESS BIOTECH INC34960Q109COM7,968,056$5,219,077dollars as filed
Ventyx Biosciences Inc92332V107Common Stock158,033$5,181,902dollars as filed
PERELLA WEINBERG PARTNERS71367G102COMMON STOCK239,819$4,941,929dollars as filed
RINGCENTRAL INC76680R206CL A137,622$4,871,819dollars as filed
IDEAYA BIOSCIENCES INC COM45166A102Stock253,480$4,605,732dollars as filed
ABEONA THERAPEUTICS INC00289Y206COM NEW272,731$4,187,835dollars as filed
POINT BIOPHARMA GLOBAL INC730541109COM572,191$4,171,272dollars as filed
WEBER INC94770D102COM500,000$4,025,000dollars as filed
TELA BIO INC872381108COM349,002$4,013,523dollars as filed
FULCRUM THERAPEUTICS INC359616109COMMON STOCK500,000$3,640,000dollars as filed
PAR TECHNOLOGY CORP698884AC7NOTE 2.875% 4/13,785,000$3,567,362dollars as filedprincipal
APTOSE BIOSCIENCES INC COM03835T200Stock6,052,867$3,510,663dollars as filed
STRATA SKIN SCIENCES INC86272A206COMMON4,393,685$3,471,451dollars as filed
MEDIFAST INC58470H101COM30,000$3,460,500dollars as filed
AARONS CO INC00258W108COM288,572$3,448,435dollars as filed
CIDARA THERAPEUTICS INC COM NEW171757107Stock4,367,464$3,303,113dollars as filed
MIMEDX GROUP INC602496101COM1,147,524$3,190,117dollars as filed
ACER THERAPEUTICS INC00444P108CMN1,226,191$3,077,739dollars as filed
DISC MEDICINE INC COM254604101Stock162,762$3,063,181dollars as filed
DIVERSIFIED HEALTHCARE TR25525P107COM SH BEN INT4,215,000$2,726,262dollars as filed
AVALO THERAPEUTICS INC COM NEW05338F207Stock540,667$2,725,016dollars as filed
OPTINOSE INC68404V100COM1,450,000$2,682,500dollars as filed
IMMATICS N.VN44445117*W EXP 07/01/202986,101$2,475,114dollars as filed
SCULLY ROYALTY LTDG7T96K107COM SHS316,010$2,436,437dollars as filed
Merrimack Pharmaceuticals Inc590328209Common / Ordinary Stock210,000$2,406,600dollars as filed
B. RILEY FINANCIAL INC05580M108COM68,296$2,335,723dollars as filed
AEGLEA BIOTHERAPEUTICS INC00773J103COM4,611,302$2,074,625dollars as filed
ENOVA INTL INC29357K103COM53,250$2,043,202dollars as filed
KEROS THERAPEUTICS INC COM492327101Stock41,900$2,012,038dollars as filedcall
BM TECHNOLOGIES INC05591L107COM307,776$1,603,513dollars as filed
AKUMIN INC01021X100COM2,206,960$1,586,363dollars as filed
VROOM INC92918V109COM1,500,000$1,530,000dollars as filedcall
WABASH NATIONAL CORP929566107COMMON STOCK66,700$1,507,420dollars as filedput
REZOLUTE INC76200L309COMMON STOCK718,736$1,487,784dollars as filed
ANEBULO PHARMACEUTICALS INC034569103COM511,073$1,238,688dollars as filed
SOLENO THERAPEUTICS INC834203309COM604,179$1,196,274dollars as filed
PLAYAGS INC72814N104COM222,518$1,134,842dollars as filed
AMERICAS CAR-MART INC03062T105COM15,000$1,083,900dollars as filed
DRIVE SHACK INC262077100COM6,500,000$1,072,825dollars as filed
LIQUIDIA CORPORATION COM NEW53635D202Stock146,792$935,065dollars as filed
ADC THERAPEUTICS SAH0036K147COMMON STOCK243,290$934,234dollars as filed
ANGION BIOMEDICA CORP03476J107COM1,033,145$838,500dollars as filed
DAKTRONICS INC234264109COM292,187$823,967dollars as filed
IDW MEDIA44951N106COM836,019$785,857dollars as filed
CARVANA CO CL A146869102Stock150,000$711,000dollars as filedcall
SPAR GROUP INC784933103COM538,427$699,955dollars as filed
NEUROPACE INC641288105COMMON STOCK433,582$646,037dollars as filed
NAUTILUS BIOTECHNOLOGY INC63909J108COM289,845$521,721dollars as filed
AEROVATE THERAPEUTICS INC008064107COM15,700$460,010dollars as filed
HYPERFINE INC44916K106Common Stock544,930$457,741dollars as filed
CURIS INC231269200COM796,241$437,933dollars as filed
JOURNEY MED CORP48115J109COM225,996$433,912dollars as filed
TRANSACT TECHNOLOGIES INC892918103CMN65,738$415,464dollars as filed
LUCID DIAGNOSTICS INC54948X109COM279,537$380,170dollars as filed
EXAGEN INC30068X103COM146,559$351,742dollars as filed
UNICYCIVE THERAPEUTICS INC90466Y103CMN647,416$349,605dollars as filed
CUE BIOPHARMA INC22978P106COM93,297$265,896dollars as filed
INTELLICHECK MOBILISA INC45817G201COM NEW124,594$249,188dollars as filed
IMAC HLDGS INC44967K104COM1,174,253$234,263dollars as filed
CATALYST BIOSCIENCES INC14888D208COM438,055$231,074dollars as filed
CYTOKINETICS INC23282W605COM NEW4,802$220,028dollars as filed
STAR GROUP LP85512C105UNIT LTD PARTNR12,681$152,806dollars as filed
Rafael Holdings Inc Class B75062E106COM72,678$135,908dollars as filed
KINTARA THERAPEUTICS INC49720K200COM NEW11,901$81,998dollars as filed
CYREN LTDM26895132COM116,214$71,983dollars as filed
SHIFT TECHNOLOGIES INC82452T107CL A200,000$45,620dollars as filed
TC BIOPHARM HOLDINGS PLC87807D111*W EXP 02/10/202235,294$21,047dollars as filed
FTAC HERA ACQUISITION CORPG3728Y111*W EXP 02/28/202222,949$6,131dollars as filed
QUALTEK SERVICES INC74760R113*W EXP 02/14/20296,244$3,956dollars as filed
GUARDFORCE AI CO LTDG4236L120*W EXP 10/01/202154,205$3,084dollars as filed

Amendment chain

FilingRoleFiledAcceptedIngested
13F-HR 0001104659-23-021908this filing2023-02-14acceptance time not in the bulk data set