13F-HR/A filed by Nantahala Capital Management, LLC
Nantahala Capital Management, LLC filed this 13F-HR/A for the quarter ended 2023-12-31, filed 2024-02-15, with 128 holding rows worth $1,672,570,830.
- Accession
- 0001104659-24-024543
- Filer
- CIK 1472322
- Filed
- 2024-02-15
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q4 2023
A holdings report, amendment of type new holdings, 128 entries on the cover page, a total value of $1,672,570,830 stated on the cover page (in dollars after the unit check, H1), rows summing to $1,672,570,830 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 |
|---|---|---|---|---|---|---|
| SPDR SER TR | 78464A870 | S&P BIOTECH | 3,314,400 | $295,942,776 | dollars as filed | put |
| iShares Russell 2000 ETF | 464287655 | SHS | 1,250,000 | $250,887,500 | dollars as filed | put |
| SOLENO THERAPEUTICS INC | 834203309 | COM | 2,856,351 | $114,968,128 | dollars as filed | |
| ESTABLISHMENT LABS HOLDINGS | G31249108 | COMMON STOCK | 2,470,154 | $63,952,287 | dollars as filed | |
| PATHWARD FINANCIAL INC | 59100U108 | COM | 1,059,866 | $56,098,707 | dollars as filed | |
| Costco Wholesale Corporation | 22160K105 | COM | 70,000 | $46,205,600 | dollars as filed | put |
| IMAX CORP | 45245E109 | COM | 2,408,753 | $36,179,470 | dollars as filed | |
| RIDENOW GROUP INC | 781386305 | COM CL B | 4,416,506 | $35,950,359 | dollars as filed | |
| BIOVENTUS INC | 09075A108 | COM CL A | 5,977,471 | $31,501,272 | dollars as filed | |
| EVOLUS INC | 30052C107 | COM | 2,910,849 | $30,651,240 | dollars as filed | |
| HILTON GRAND VACATIONS INC COM | 43283X105 | Stock | 671,171 | $26,967,651 | dollars as filed | |
| RED VIOLET INC | 75704L104 | COMMON STOCK | 1,205,678 | $24,077,390 | dollars as filed | |
| AMERICAS CAR-MART INC | 03062T105 | COM | 312,128 | $23,649,939 | dollars as filed | |
| LYRA THERAPEUTICS INC | 55234L105 | COM | 4,050,218 | $21,223,142 | dollars as filed | |
| UNIQURE NV | N90064101 | SHS | 2,958,027 | $20,025,843 | dollars as filed | |
| PELOTON INTERACTIVE INC | 70614W100 | CL A COM | 3,262,939 | $19,871,299 | dollars as filed | |
| iShares Russell 2000 ETF | 464287655 | SHS | 97,969 | $19,663,358 | dollars as filed | |
| LUXFER HOLDINGS PLC | G5698W116 | COMMON STOCK | 1,809,645 | $16,178,226 | dollars as filed | |
| ZEVRA THERAPEUTICS INC COM NEW | 488445206 | Stock | 2,453,405 | $16,069,803 | dollars as filed | |
| VIEMED HEALTHCARE INC | 92663R105 | COM | 1,952,368 | $15,326,089 | dollars as filed | |
| IMMATICS N.V | N44445109 | SHS | 1,413,956 | $14,888,957 | dollars as filed | |
| ESTABLISHMENT LABS HOLDINGS | G31249108 | COMMON STOCK | 550,000 | $14,239,500 | dollars as filed | call |
| AMNEAL PHARMACEUTICALS INC | 03168L105 | COM STK CL A | 2,334,397 | $14,169,790 | dollars as filed | |
| CODEXIS INC | 192005106 | COM | 4,592,903 | $14,008,354 | dollars as filed | |
| KEROS THERAPEUTICS INC COM | 492327101 | Stock | 310,141 | $12,331,206 | dollars as filed | |
| NEUROPACE INC | 641288105 | COMMON STOCK | 1,173,677 | $12,100,610 | dollars as filed | |
| NOODLES & CO | 65540B105 | COM CL A | 3,744,571 | $11,795,399 | dollars as filed | |
| AURA BIOSCIENCES INC | 05153U107 | COMMON STOCK | 1,321,860 | $11,711,680 | dollars as filed | |
| RH | 74967X103 | COM | 40,000 | $11,659,200 | dollars as filed | call |
| Golden Entertainment Inc | 381013101 | Common Stock | 291,449 | $11,637,559 | dollars as filed | |
| RMR GROUP INC | 74967R106 | CL A | 404,063 | $11,406,698 | dollars as filed | |
| ABEONA THERAPEUTICS INC | 00289Y206 | COM NEW | 2,250,252 | $11,273,763 | dollars as filed | |
| RESERVOIR MEDIA INC | 76119X105 | COMMON STOCK | 1,550,797 | $11,057,183 | dollars as filed | |
| ABIVAX SA- | 00370M103 | SPONSORED ADS | 1,010,034 | $10,807,364 | dollars as filed | |
| Tourmaline Bio Inc | 89157D105 | Common Stock | 410,907 | $10,757,545 | dollars as filed | |
| HILTON GRAND VACATIONS INC COM | 43283X105 | Stock | 250,000 | $10,045,000 | dollars as filed | call |
| INDUSTRIAL LOGISTICS PPTYS T | 456237106 | COM SHS BEN INT | 1,992,819 | $9,366,249 | dollars as filed | |
| VISTAGEN THERAPEUTICS INC | 92840H400 | COM | 1,816,730 | $9,337,992 | dollars as filed | |
| CYTOKINETICS INC | 23282W605 | COM NEW | 110,017 | $9,185,319 | dollars as filed | |
| HERBALIFE LTD | G4412G101 | COM SHS | 600,000 | $9,156,000 | dollars as filed | call |
| AMYLYX PHARMACEUTICALS INC | 03237H101 | COM | 620,110 | $9,128,019 | dollars as filed | |
| PAYONEER GLOBAL INC COM | 70451X104 | Stock | 1,747,404 | $9,103,975 | dollars as filed | |
| ARS PHARMACEUTICALS INC | 82835W108 | COM | 1,596,504 | $8,748,842 | dollars as filed | |
| EHEALTH INC | 28238P109 | COM | 991,821 | $8,648,679 | dollars as filed | |
| DYNE THERAPEUTICS INC COM | 26818M108 | Stock | 642,789 | $8,549,094 | dollars as filed | |
| ASSERTIO HOLDINGS INC | 04546C205 | COM NEW | 7,619,440 | $8,152,801 | dollars as filed | |
| SYNDAX PHARMACEUTICALS INC | 87164F105 | COM | 365,259 | $7,893,247 | dollars as filed | |
| TARSUS PHARMACEUTICALS INC | 87650L103 | COMMON STOCK | 375,276 | $7,599,339 | dollars as filed | |
| TELA BIO INC | 872381108 | COM | 1,097,866 | $7,267,873 | dollars as filed | |
| ZOOM COMMUNICATIONS INC CL A | 98980L101 | Stock | 100,000 | $7,191,000 | dollars as filed | call |
| PELOTON INTERACTIVE INC | 70614W100 | CL A COM | 1,180,000 | $7,186,200 | dollars as filed | call |
| DHI GROUP INC | 23331S100 | COM | 2,639,687 | $6,836,789 | dollars as filed | |
| DXP ENTERPRISES INC | 233377407 | COM NEW | 201,829 | $6,801,637 | dollars as filed | |
| READING INTL INC | 755408101 | CL A | 3,402,203 | $6,498,208 | dollars as filed | |
| ENOVA INTL INC | 29357K103 | COM | 109,000 | $6,034,240 | dollars as filed | call |
| INSPIREMD INC | 45779A846 | COM | 2,066,456 | $5,806,742 | dollars as filed | |
| NN INC | 629337106 | COM | 1,407,222 | $5,628,888 | dollars as filed | |
| AN2 THERAPEUTICS INC | 037326105 | COM | 248,278 | $5,087,216 | dollars as filed | |
| IDEAYA BIOSCIENCES INC COM | 45166A102 | Stock | 139,298 | $4,956,223 | dollars as filed | |
| PLAYAGS INC | 72814N104 | COM | 566,588 | $4,776,337 | dollars as filed | |
| ALTERYX, INC (CLASS A) | 02156B103 | COM CL A | 99,093 | $4,673,226 | dollars as filed | |
| SAVARA INC | 805111101 | COM | 987,903 | $4,643,144 | dollars as filed | |
| PAR TECHNOLOGY CORP | 698884AC7 | NOTE 2.875% 4/1 | 3,785,000 | $4,603,696 | dollars as filed | principal |
| XTANT MED HLDGS INC | 98420P308 | COM NEW | 4,000,000 | $4,520,000 | dollars as filed | |
| MILLERKNOLL INC | 600544100 | COM | 167,148 | $4,459,509 | dollars as filed | |
| THERATECHNOLOGIES INC | 88338H704 | COM | 2,682,228 | $4,345,209 | dollars as filed | |
| SYNDAX PHARMACEUTICALS INC | 87164F105 | COM | 200,000 | $4,322,000 | dollars as filed | call |
| VANDA PHARMACEUTICALS INC | 921659108 | COM | 1,013,251 | $4,275,919 | dollars as filed | |
| OPTINOSE INC | 68404V100 | COM | 3,146,921 | $4,059,528 | dollars as filed | |
| DARIOHEALTH CORP | 23725P209 | COM | 2,336,753 | $4,019,215 | dollars as filed | |
| ENOVA INTL INC | 29357K103 | COM | 71,865 | $3,978,446 | dollars as filed | |
| ALTISOURCE PORTFOLIO SOLNS S | L0175J104 | REG SHS | 1,064,109 | $3,788,228 | dollars as filed | |
| COGENT BIOSCIENCES INC | 19240Q201 | COM | 640,936 | $3,768,704 | dollars as filed | |
| IMAX CORP | 45245E109 | COM | 250,000 | $3,755,000 | dollars as filed | call |
| ALTA EQUIPMENT GROUP INC COMMON STOCK | 02128L106 | Stock | 302,509 | $3,742,036 | dollars as filed | |
| CELLECTAR BIOSCIENCES INC | 15117F807 | COM | 1,350,578 | $3,741,101 | dollars as filed | |
| ENVVENO MEDICAL CORPORATION | 29415J106 | COM | 706,319 | $3,630,480 | dollars as filed | |
| ELUTIA INC | 05479K106 | CL A COM | 1,650,000 | $3,564,000 | dollars as filed | |
| STARTEK INC | 85569C107 | COM | 786,913 | $3,470,286 | dollars as filed | |
| DIANTHUS THERAPEUTICS INC | 252828108 | COM | 328,433 | $3,415,703 | dollars as filed | |
| AYTU BIOPHARMA INC | 054754858 | COM | 1,086,812 | $3,086,546 | dollars as filed | |
| UNICYCIVE THERAPEUTICS INC | 90466Y103 | CMN | 3,438,181 | $2,983,309 | dollars as filed | |
| ABEONA THERAPEUTICS INC | 00289Y206 | COM NEW | 520,000 | $2,605,200 | dollars as filed | call |
| GAIA INC NEW | 36269P104 | CL A | 915,029 | $2,470,578 | dollars as filed | |
| EHEALTH INC | 28238P109 | COM | 250,000 | $2,180,000 | dollars as filed | call |
| GRAPHITE BIO INC | 38870X104 | COM | 820,971 | $2,150,944 | dollars as filed | |
| AEROVATE THERAPEUTICS INC | 008064107 | COM | 91,188 | $2,063,584 | dollars as filed | |
| MEDIAALPHA INC | 58450V104 | CL A | 180,868 | $2,016,678 | dollars as filed | |
| NEUROONE MED TECHNOLOGIES CORP COM | 64130M209 | Stock | 1,214,094 | $1,918,269 | dollars as filed | |
| PERELLA WEINBERG PARTNERS | 71367G102 | COMMON STOCK | 155,709 | $1,904,321 | dollars as filed | |
| JASPER THERAPEUTICS INC | 471871103 | COM | 2,228,265 | $1,758,101 | dollars as filed | |
| STRATA SKIN SCIENCES INC | 86272A206 | COMMON | 3,128,132 | $1,720,785 | dollars as filed | |
| IMMATICS N.V | N44445117 | *W EXP 07/01/202 | 558,977 | $1,632,213 | dollars as filed | |
| CONNS INC | 208242107 | COM | 359,371 | $1,595,607 | dollars as filed | |
| SELECTA BIOSCIENCES INC | 816212104 | COM | 2,234,209 | $1,540,264 | dollars as filed | |
| REZOLUTE INC | 76200L309 | COMMON STOCK | 1,537,707 | $1,526,174 | dollars as filed | |
| SCULLY ROYALTY LTD | G7T96K107 | COM SHS | 242,721 | $1,480,598 | dollars as filed | |
| NEUROGENE INC | 64135M105 | COMMON STOCK | 72,279 | $1,400,767 | dollars as filed | |
| UNIQURE NV | N90064101 | SHS | 200,000 | $1,354,000 | dollars as filed | call |
| B. RILEY FINANCIAL INC | 05580M108 | COM | 62,520 | $1,312,295 | dollars as filed | |
| ZYNEX INC | 98986M103 | COM | 120,000 | $1,306,800 | dollars as filed | |
| EARGO INC | 270087208 | COMMON | 495,582 | $1,283,557 | dollars as filed | |
| ANEBULO PHARMACEUTICALS INC | 034569103 | COM | 511,073 | $1,236,797 | dollars as filed | |
| CIDARA THERAPEUTICS INC COM NEW | 171757107 | Stock | 1,546,745 | $1,228,116 | dollars as filed | |
| FORTRESS BIOTECH INC | 34960Q307 | COM NEW | 372,562 | $1,121,412 | dollars as filed | |
| Instil Bio Inc | 45783C200 | COM NEW | 127,292 | $969,965 | dollars as filed | |
| TALPHERA INC | 00444T209 | COM NEW | 1,237,519 | $909,576 | dollars as filed | |
| SPAR GROUP INC | 784933103 | COM | 879,189 | $887,981 | dollars as filed | |
| CUTERA INC | 232109AG3 | NOTE 4.000% 6/0 | 4,000,000 | $876,000 | dollars as filed | principal |
| GOSSAMER BIO INC COM | 38341P102 | Stock | 672,856 | $613,981 | dollars as filed | |
| FOSSIL GROUP INC | 34988V106 | COMMON STOCK | 405,278 | $591,706 | dollars as filed | |
| TALPHERA INC | 00444T209 | COM NEW | 755,000 | $554,925 | dollars as filed | call |
| KEROS THERAPEUTICS INC COM | 492327101 | Stock | 11,400 | $453,264 | dollars as filed | call |
| SOCIETAL CDMO INC | 75629F109 | COM | 1,214,706 | $425,754 | dollars as filed | |
| SENSUS HEALTHCARE INC | 81728J109 | COM | 176,750 | $417,130 | dollars as filed | |
| GAMIDA CELL LTD | M47364100 | SHS | 800,000 | $330,160 | dollars as filed | |
| APTOSE BIOSCIENCES INC | 03835T309 | COM | 120,132 | $305,135 | dollars as filed | |
| LADDER CAP CORP CL A | 505743104 | REIT | 25,631 | $295,013 | dollars as filed | |
| LUCID DIAGNOSTICS INC | 54948X109 | COM | 149,698 | $211,074 | dollars as filed | |
| TRANSACT TECHNOLOGIES INC | 892918103 | CMN | 28,127 | $196,326 | dollars as filed | |
| EXAGEN INC | 30068X103 | COM | 97,124 | $193,277 | dollars as filed | |
| BM TECHNOLOGIES INC | 05591L107 | COM | 76,034 | $155,870 | dollars as filed | |
| Rafael Holdings Inc Class B | 75062E106 | COM | 72,678 | $133,001 | dollars as filed | |
| CUE BIOPHARMA INC | 22978P106 | COM | 26,692 | $70,467 | dollars as filed | |
| CHECK CAP LTD | M2361E179 | SHS | 33,400 | $69,472 | dollars as filed | |
| GUARDFORCE AI CO LTD | G4236L120 | *W EXP 10/01/202 | 154,205 | $26,230 | dollars as filed | |
| TC BIOPHARM HOLDINGS PLC | 87807D111 | *W EXP 02/10/202 | 235,294 | $7,647 | dollars as filed | |
| KINTARA THERAPEUTICS INC | 49720K200 | COM NEW | 22,021 | $3,735 | dollars as filed |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001104659-24-023643 | superseded | 2024-02-14 | acceptance time not in the bulk data set | |
| 13F-HR/A 0001104659-24-024543 | this filing | 2024-02-15 | acceptance time not in the bulk data set |