13F-HR filed by Nantahala Capital Management, LLC
Nantahala Capital Management, LLC filed this 13F-HR for the quarter ended 2023-09-30, filed 2023-11-14, with 133 holding rows worth $1,170,672,297.
- Accession
- 0001104659-23-118091
- Filer
- CIK 1472322
- Filed
- 2023-11-14
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q3 2023
A holdings report, 133 entries on the cover page, a total value of $1,170,672,297 stated on the cover page (in dollars after the unit check, H1), rows summing to $1,170,672,297 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 filed | CUSIP | Class | Amount | Value | Value read as | Type |
|---|---|---|---|---|---|---|
| iShares Russell 2000 ETF | 464287655 | SHS | 1,100,000 | $194,414,000 | dollars as filed | put |
| ESTABLISHMENT LABS HOLDINGS | G31249108 | COMMON STOCK | 1,887,617 | $92,625,366 | dollars as filed | |
| SPDR SER TR | 78464A870 | S&P BIOTECH | 950,000 | $69,369,000 | dollars as filed | put |
| PATHWARD FINANCIAL INC | 59100U108 | COM | 1,234,526 | $56,899,303 | dollars as filed | |
| IMAX CORP | 45245E109 | COM | 2,606,884 | $50,364,999 | dollars as filed | |
| ESTABLISHMENT LABS HOLDINGS | G31249108 | COMMON STOCK | 579,000 | $28,411,530 | dollars as filed | call |
| LUXFER HOLDINGS PLC | G5698W116 | COMMON STOCK | 2,121,162 | $27,681,164 | dollars as filed | |
| RED VIOLET INC | 75704L104 | COMMON STOCK | 1,261,896 | $25,250,539 | dollars as filed | |
| SPDR SERIES TRUST | 78464A698 | ST STR SP REGBNK | 600,000 | $25,062,000 | dollars as filed | put |
| IMMATICS N.V | N44445109 | SHS | 1,920,636 | $22,240,965 | dollars as filed | |
| AMERICAS CAR-MART INC | 03062T105 | COM | 230,953 | $21,014,413 | dollars as filed | |
| HILTON GRAND VACATIONS INC COM | 43283X105 | Stock | 504,242 | $20,522,649 | dollars as filed | |
| UNIQURE NV | N90064101 | SHS | 3,023,799 | $20,289,691 | dollars as filed | |
| BIOVENTUS INC | 09075A108 | COM CL A | 6,018,532 | $19,861,156 | dollars as filed | |
| PELOTON INTERACTIVE INC | 70614W100 | CL A COM | 3,554,606 | $17,950,760 | dollars as filed | |
| LYRA THERAPEUTICS INC | 55234L105 | COM | 4,050,218 | $15,836,352 | dollars as filed | |
| VIEMED HEALTHCARE INC | 92663R105 | COM | 2,032,170 | $13,676,504 | dollars as filed | |
| ASSERTIO HOLDINGS INC | 04546C205 | COM NEW | 4,670,000 | $11,955,200 | dollars as filed | |
| NEUROPACE INC | 641288105 | COMMON STOCK | 1,219,915 | $11,869,773 | dollars as filed | |
| SOLENO THERAPEUTICS INC | 834203309 | COM | 392,404 | $11,579,842 | dollars as filed | |
| Golden Entertainment Inc | 381013101 | Common Stock | 332,056 | $11,349,674 | dollars as filed | |
| ZEVRA THERAPEUTICS INC COM NEW | 488445206 | Stock | 2,308,216 | $11,125,601 | dollars as filed | |
| RMR GROUP INC | 74967R106 | CL A | 432,033 | $10,593,449 | dollars as filed | |
| RH | 74967X103 | COM | 40,000 | $10,574,400 | dollars as filed | call |
| KEROS THERAPEUTICS INC COM | 492327101 | Stock | 328,781 | $10,481,538 | dollars as filed | |
| HILTON GRAND VACATIONS INC COM | 43283X105 | Stock | 250,000 | $10,175,000 | dollars as filed | call |
| PAYONEER GLOBAL INC COM | 70451X104 | Stock | 1,612,862 | $9,870,715 | dollars as filed | |
| RIDENOW GROUP INC | 781386305 | COM CL B | 1,605,392 | $9,841,053 | dollars as filed | |
| ABEONA THERAPEUTICS INC | 00289Y206 | COM NEW | 2,297,794 | $9,673,713 | dollars as filed | |
| CODEXIS INC | 192005106 | COM | 5,069,443 | $9,581,247 | dollars as filed | |
| AMNEAL PHARMACEUTICALS INC | 03168L105 | COM STK CL A | 2,212,757 | $9,337,835 | dollars as filed | |
| NOODLES & CO | 65540B105 | COM CL A | 3,495,827 | $8,599,734 | dollars as filed | |
| HERBALIFE LTD | G4412G101 | COM SHS | 600,000 | $8,394,000 | dollars as filed | call |
| MILLERKNOLL INC | 600544100 | COM | 340,228 | $8,318,575 | dollars as filed | |
| TALARIS THERAPEUTICS INC | 87410C104 | COM | 2,953,129 | $8,298,292 | dollars as filed | |
| DHI GROUP INC | 23331S100 | COM | 2,698,201 | $8,256,495 | dollars as filed | |
| DARIOHEALTH CORP | 23725P209 | COM | 2,414,192 | $7,918,549 | dollars as filed | |
| AMYLYX PHARMACEUTICALS INC | 03237H101 | COM | 407,205 | $7,455,924 | dollars as filed | |
| ZOOM COMMUNICATIONS INC CL A | 98980L101 | Stock | 100,000 | $6,994,000 | dollars as filed | call |
| INDUSTRIAL LOGISTICS PPTYS T | 456237106 | COM SHS BEN INT | 2,357,284 | $6,812,551 | dollars as filed | |
| AURA BIOSCIENCES INC | 05153U107 | COMMON STOCK | 743,892 | $6,672,711 | dollars as filed | |
| DXP ENTERPRISES INC | 233377407 | COM NEW | 179,987 | $6,288,746 | dollars as filed | |
| DYNE THERAPEUTICS INC COM | 26818M108 | Stock | 683,164 | $6,121,149 | dollars as filed | |
| READING INTL INC | 755408101 | CL A | 2,876,040 | $6,097,205 | dollars as filed | |
| RESERVOIR MEDIA INC | 76119X105 | COMMON STOCK | 986,328 | $6,016,601 | dollars as filed | |
| EHEALTH INC | 28238P109 | COM | 800,000 | $5,920,000 | dollars as filed | |
| INSPIREMD INC | 45779A846 | COM | 1,768,050 | $5,781,524 | dollars as filed | |
| AN2 THERAPEUTICS INC | 037326105 | COM | 356,789 | $5,737,167 | dollars as filed | |
| COGENT BIOSCIENCES INC | 19240Q201 | COM | 575,000 | $5,606,250 | dollars as filed | |
| RH | 74967X103 | COM | 20,853 | $5,512,699 | dollars as filed | |
| CYTOKINETICS INC | 23282W605 | COM NEW | 179,257 | $5,280,911 | dollars as filed | |
| Ventyx Biosciences Inc | 92332V107 | Common Stock | 147,623 | $5,126,947 | dollars as filed | |
| KARUNA THERAPEUTICS INC | 48576A100 | COM | 30,000 | $5,072,700 | dollars as filed | call |
| GOSSAMER BIO INC COM | 38341P102 | Stock | 6,089,471 | $5,071,311 | dollars as filed | |
| IMAX CORP | 45245E109 | COM | 250,000 | $4,830,000 | dollars as filed | call |
| DIANTHUS THERAPEUTICS INC | 252828108 | COM | 336,862 | $4,604,904 | dollars as filed | |
| GAMIDA CELL LTD | M47364100 | SHS | 4,325,000 | $4,454,750 | dollars as filed | |
| XTANT MED HLDGS INC | 98420P308 | COM NEW | 4,000,000 | $4,400,000 | dollars as filed | |
| BLACKSTONE MORTGAGE TRUST INC COM CL A | 09257W100 | REIT | 200,000 | $4,350,000 | dollars as filed | put |
| VANDA PHARMACEUTICALS INC | 921659108 | COM | 1,000,000 | $4,320,000 | dollars as filed | |
| PAR TECHNOLOGY CORP | 698884AC7 | NOTE 2.875% 4/1 | 3,785,000 | $4,310,358 | dollars as filed | principal |
| PELOTON INTERACTIVE INC | 70614W100 | CL A COM | 852,000 | $4,302,600 | dollars as filed | call |
| ARS PHARMACEUTICALS INC | 82835W108 | COM | 1,099,075 | $4,154,504 | dollars as filed | |
| OPTINOSE INC | 68404V100 | COM | 3,307,942 | $4,068,769 | dollars as filed | |
| IDEAYA BIOSCIENCES INC COM | 45166A102 | Stock | 145,860 | $3,935,303 | dollars as filed | |
| SAVARA INC | 805111101 | COM | 1,039,364 | $3,928,796 | dollars as filed | |
| ALTA EQUIPMENT GROUP INC COMMON STOCK | 02128L106 | Stock | 322,632 | $3,890,942 | dollars as filed | |
| PLAYAGS INC | 72814N104 | COM | 594,574 | $3,876,622 | dollars as filed | |
| iShares Russell 2000 ETF | 464287655 | SHS | 21,878 | $3,866,718 | dollars as filed | |
| EVOLUS INC | 30052C107 | COM | 421,220 | $3,849,951 | dollars as filed | |
| TELA BIO INC | 872381108 | COM | 456,092 | $3,648,736 | dollars as filed | |
| ALTISOURCE PORTFOLIO SOLNS S | L0175J104 | REG SHS | 904,462 | $3,608,803 | dollars as filed | |
| SYNDAX PHARMACEUTICALS INC | 87164F105 | COM | 240,031 | $3,485,250 | dollars as filed | |
| POINT BIOPHARMA GLOBAL INC | 730541109 | COM | 521,191 | $3,476,344 | dollars as filed | |
| INMODE LTD SHS | M5425M103 | Stock | 100,000 | $3,046,000 | dollars as filed | put |
| UNICYCIVE THERAPEUTICS INC | 90466Y103 | CMN | 3,470,541 | $2,984,666 | dollars as filed | |
| AYTU BIOPHARMA INC | 054754858 | COM | 1,086,812 | $2,934,392 | dollars as filed | |
| SYNDAX PHARMACEUTICALS INC | 87164F105 | COM | 200,000 | $2,904,000 | dollars as filed | call |
| ENOVA INTL INC | 29357K103 | COM | 53,250 | $2,708,828 | dollars as filed | |
| PERELLA WEINBERG PARTNERS | 71367G102 | COMMON STOCK | 258,273 | $2,629,219 | dollars as filed | |
| B. RILEY FINANCIAL INC | 05580M108 | COM | 62,520 | $2,562,695 | dollars as filed | |
| NN INC | 629337106 | COM | 1,353,143 | $2,516,846 | dollars as filed | |
| TARSUS PHARMACEUTICALS INC | 87650L103 | COMMON STOCK | 135,500 | $2,407,835 | dollars as filed | |
| CIDARA THERAPEUTICS INC COM NEW | 171757107 | Stock | 2,538,406 | $2,391,686 | dollars as filed | |
| ELUTIA INC | 05479K106 | CL A COM | 1,650,000 | $2,359,500 | dollars as filed | |
| SELECTA BIOSCIENCES INC | 816212104 | COM | 2,200,000 | $2,332,000 | dollars as filed | |
| FOSSIL GROUP INC | 34988V106 | COMMON STOCK | 985,215 | $2,029,543 | dollars as filed | |
| IMMATICS N.V | N44445117 | *W EXP 07/01/202 | 558,977 | $1,978,779 | dollars as filed | |
| STRATA SKIN SCIENCES INC | 86272A206 | COMMON | 3,264,945 | $1,942,642 | dollars as filed | |
| MEDIAALPHA INC | 58450V104 | CL A | 234,372 | $1,935,913 | dollars as filed | |
| C4 THERAPEUTICS INC | 12529R107 | COM STK | 1,000,000 | $1,860,000 | dollars as filed | |
| FORTRESS BIOTECH INC | 34960Q109 | COM | 6,018,211 | $1,747,087 | dollars as filed | |
| SCULLY ROYALTY LTD | G7T96K107 | COM SHS | 298,491 | $1,689,459 | dollars as filed | |
| JASPER THERAPEUTICS INC | 471871103 | COM | 2,402,904 | $1,682,033 | dollars as filed | |
| ANEBULO PHARMACEUTICALS INC | 034569103 | COM | 511,073 | $1,561,328 | dollars as filed | |
| EHEALTH INC | 28238P109 | COM | 203,100 | $1,502,940 | dollars as filed | call |
| AARONS CO INC | 00258W108 | COM | 138,572 | $1,450,849 | dollars as filed | |
| AEROVATE THERAPEUTICS INC | 008064107 | COM | 95,000 | $1,289,150 | dollars as filed | |
| TG THERAPEUTICS INC COM | 88322Q108 | Stock | 150,000 | $1,254,000 | dollars as filed | |
| RIDENOW GROUP INC | 781386305 | COM CL B | 200,000 | $1,226,000 | dollars as filed | call |
| NEOLEUKIN THERAPEUTICS INC | 64049K203 | COM NEW | 299,999 | $1,184,996 | dollars as filed | |
| NEUROONE MED TECHNOLOGIES CORP COM | 64130M209 | Stock | 1,250,000 | $1,113,000 | dollars as filed | |
| REZOLUTE INC | 76200L309 | COMMON STOCK | 769,606 | $1,015,880 | dollars as filed | |
| UNIQURE NV | N90064101 | SHS | 147,700 | $991,067 | dollars as filed | call |
| JOURNEY MED CORP | 48115J109 | COM | 348,663 | $955,337 | dollars as filed | |
| BANCORP INC DEL | 05969A105 | COM | 24,896 | $858,912 | dollars as filed | |
| SPAR GROUP INC | 784933103 | COM | 879,189 | $846,747 | dollars as filed | |
| ACER THERAPEUTICS INC | 00444P108 | CMN | 918,349 | $748,454 | dollars as filed | |
| TALPHERA INC | 00444T209 | COM NEW | 1,173,015 | $680,349 | dollars as filed | |
| SOCIETAL CDMO INC | 75629F109 | COM | 1,250,000 | $586,250 | dollars as filed | |
| SENSUS HEALTHCARE INC | 81728J109 | COM | 185,048 | $512,583 | dollars as filed | |
| TALPHERA INC | 00444T209 | COM NEW | 755,000 | $437,900 | dollars as filed | call |
| Instil Bio, Inc. | 45783C101 | Common Stock | 1,000,000 | $428,000 | dollars as filed | |
| KEROS THERAPEUTICS INC COM | 492327101 | Stock | 12,300 | $392,124 | dollars as filed | call |
| APTOSE BIOSCIENCES INC | 03835T309 | COM | 136,483 | $382,152 | dollars as filed | |
| LADDER CAP CORP CL A | 505743104 | REIT | 27,073 | $277,769 | dollars as filed | |
| EXAGEN INC | 30068X103 | COM | 106,769 | $258,381 | dollars as filed | |
| Elicio Therapeutics Inc Com | 28657F103 | LST Equity Option | 30,000 | $253,500 | dollars as filed | |
| ADC THERAPEUTICS SA | H0036K147 | COMMON STOCK | 257,162 | $230,674 | dollars as filed | |
| ABEONA THERAPEUTICS INC | 00289Y206 | COM NEW | 52,000 | $218,920 | dollars as filed | call |
| TRANSACT TECHNOLOGIES INC | 892918103 | CMN | 31,108 | $199,713 | dollars as filed | |
| LUCID DIAGNOSTICS INC | 54948X109 | COM | 158,135 | $185,018 | dollars as filed | |
| BM TECHNOLOGIES INC | 05591L107 | COM | 79,212 | $158,424 | dollars as filed | |
| AKUMIN INC | 01021X100 | COM | 979,196 | $142,865 | dollars as filed | |
| Rafael Holdings Inc Class B | 75062E106 | COM | 72,678 | $138,088 | dollars as filed | |
| KINTARA THERAPEUTICS INC | 49720K200 | COM NEW | 22,619 | $91,381 | dollars as filed | |
| GAIA INC NEW | 36269P104 | CL A | 23,144 | $62,952 | dollars as filed | |
| CUE BIOPHARMA INC | 22978P106 | COM | 26,760 | $61,548 | dollars as filed | |
| GUARDFORCE AI CO LTD | G4236L120 | *W EXP 10/01/202 | 154,205 | $53,972 | dollars as filed | |
| CATALYST BIOSCIENCES INC | 14888D208 | COM | 67,800 | $32,700 | dollars as filed | |
| NOGIN INC | 65528N204 | COM NEW | 56,425 | $29,962 | dollars as filed | |
| Nogin Inc | 65528N113 | Warrant | 330,000 | $13,291 | dollars as filed | |
| TC BIOPHARM HOLDINGS PLC | 87807D111 | *W EXP 02/10/202 | 235,294 | $5,176 | dollars as filed |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001104659-23-118091 | this filing | 2023-11-14 | acceptance time not in the bulk data set |