13F-HR filed by Nantahala Capital Management, LLC
Nantahala Capital Management, LLC filed this 13F-HR for the quarter ended 2014-09-30, filed 2014-11-14, with 100 holding rows worth $814,589,000.
- Accession
- 0001144204-14-068848
- Filer
- CIK 1472322
- Filed
- 2014-11-14
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q3 2014
A holdings report, 136 entries on the cover page, a total value of $814,589,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $814,589,000 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 |
|---|---|---|---|---|---|---|
| SPY | 78462F103 | SHS | 415,000 | $81,763,000 | thousands by filing date | put |
| iShares Russell 2000 ETF | 464287655 | SHS | 555,000 | $60,690,000 | thousands by filing date | put |
| ISHARES TR | 464287556 | ISHARES BIOTECH | 146,300 | $40,032,000 | thousands by filing date | put |
| iShares Russell 2000 ETF | 464287655 | SHS | 300,000 | $32,805,000 | thousands by filing date | call |
| SPDR GOLD TR | 78463V107 | GOLD SHS | 245,500 | $28,530,000 | thousands by filing date | put |
| PACIRA PHARMACEUTICALS INC | 695127AB6 | NOTE 3.250 2/0 | 6,600,000 | $25,842,000 | thousands by filing date | principal |
| ELECTRONIC ARTS INC COM | 285512109 | Stock | 645,400 | $22,983,000 | thousands by filing date | put |
| LIGHT & WONDER INC COM | 80874P109 | Stock | 2,014,800 | $21,700,000 | thousands by filing date | call |
| LIFE TIME FITNESS INC | 53217R207 | COM | 373,377 | $18,833,000 | thousands by filing date | |
| DIAMOND RESORTS INTL INC | 25272T104 | COM | 695,530 | $15,830,000 | thousands by filing date | |
| SEARS HOLDINGS CORP XXX | 812350106 | COM | 403,800 | $15,179,000 | thousands by filing date | call |
| ISIS PHARMACEUTICALS INC DEL | 464337AG9 | NOTE 2.75010/0 | 5,650,000 | $13,765,000 | thousands by filing date | principal |
| XPO LOGISTICS INC | 983793AA8 | NOTE | 5,635,000 | $13,461,000 | thousands by filing date | principal |
| LENNAR CORP CL B | 526057302 | Stock | 409,113 | $13,096,000 | thousands by filing date | |
| SCICLONE PHARMACEUTICALS INC | 80862K104 | COM | 1,870,367 | $12,887,000 | thousands by filing date | |
| NEWS CORP NEW CL A | 65249B109 | Stock | 735,000 | $12,017,000 | thousands by filing date | |
| 3D SYSTEMS CORP | 88554D205 | COMMON STOCK | 217,300 | $10,077,000 | thousands by filing date | put |
| AIR LEASE CORP | 00912X302 | CL A | 300,000 | $9,750,000 | thousands by filing date | call |
| IMPERIAL HOLDINGS INC | 452834104 | COM | 1,505,360 | $9,710,000 | thousands by filing date | |
| Home Depot, Inc | 437076102 | COM | 100,000 | $9,174,000 | thousands by filing date | put |
| SUNCOKE ENERGY INC | 86722A103 | COMMON STOCK | 406,442 | $9,125,000 | thousands by filing date | |
| LIGHT & WONDER INC COM | 80874P109 | Stock | 836,084 | $9,005,000 | thousands by filing date | |
| DEAN FOODS CO NEW | 242370203 | COM NEW | 647,600 | $8,580,000 | thousands by filing date | call |
| EBAY INC. COM | 278642103 | Stock | 150,000 | $8,495,000 | thousands by filing date | call |
| CROCS INC COM | 227046109 | Stock | 675,110 | $8,493,000 | thousands by filing date | |
| Vistaprint NV Cimpress | N93540107 | CMPR | 153,600 | $8,416,000 | thousands by filing date | call |
| TRANS WORLD ENTERTAINMENT CP | 89336Q100 | COM | 2,248,265 | $8,229,000 | thousands by filing date | |
| DOLBY LABORATORIES INC COM CL A | 25659T107 | Stock | 194,000 | $8,107,000 | thousands by filing date | call |
| CODEXIS INC | 192005106 | COM | 3,486,853 | $7,915,000 | thousands by filing date | |
| BRIDGEPOINT EDUCATION INC | 10807M105 | COM | 697,381 | $7,783,000 | thousands by filing date | |
| REGIONAL MANAGEMENT CORP | 75902K106 | COMMON STOCK | 430,924 | $7,735,000 | thousands by filing date | |
| LINKEDIN CORP | 53578A108 | COM | 35,900 | $7,460,000 | thousands by filing date | put |
| AMERICAN RLTY CAP PPTYS INC | 02917T104 | COM | 602,100 | $7,261,000 | thousands by filing date | put |
| PGT INNOVATIONS INC | 69336V101 | COM | 761,971 | $7,102,000 | thousands by filing date | |
| LIBERTY INTERACTIVE CORP | 53071M880 | LBT VENT COM A | 186,000 | $7,061,000 | thousands by filing date | |
| ELLIS PERRY INTL INC | 288853104 | COM | 346,534 | $7,052,000 | thousands by filing date | |
| MIDWAY GOLD CORP CAD COM | 598153104 | COM | 6,581,676 | $6,845,000 | thousands by filing date | |
| EVOLUTION PETROLEUM CORP | 30049A107 | COMMON STOCK | 744,654 | $6,836,000 | thousands by filing date | |
| LIFE TIME FITNESS INC | 53217R207 | COM | 134,900 | $6,805,000 | thousands by filing date | call |
| OWENS RLTY MTG INC | 690828108 | COM | 450,500 | $6,420,000 | thousands by filing date | |
| SODASTREAM INTERNATIONAL | M9068E105 | LTD | 215,000 | $6,341,000 | thousands by filing date | call |
| BANCORP INC DEL | 05969A105 | COM | 737,260 | $6,333,000 | thousands by filing date | |
| LIBERTY TRIPADVISOR HLDGS IN | 531465102 | COM SER A | 186,000 | $6,305,000 | thousands by filing date | |
| FIDELITY NATIONAL FINANCIAL | 31620R303 | FNF GROUP COM | 221,500 | $6,144,000 | thousands by filing date | |
| CLIFTON BANCORP INC | 186873105 | COM | 481,500 | $6,062,000 | thousands by filing date | |
| ITT EDUCATIONAL SERVICES INC | 45068B109 | COM | 1,381,600 | $5,928,000 | thousands by filing date | call |
| UNITED RENTALS INC COM | 911363109 | Stock | 53,262 | $5,917,000 | thousands by filing date | |
| TIME WARNER INC | 887317303 | COM NEW | 77,500 | $5,829,000 | thousands by filing date | call |
| CROWN MEDIA HLDGS INC | 228411104 | CL A | 1,789,494 | $5,726,000 | thousands by filing date | |
| CITI TRENDS INC | 17306X102 | COMMON STOCK | 256,229 | $5,663,000 | thousands by filing date | |
| SODASTREAM INTERNATIONAL | M9068E105 | LTD | 190,000 | $5,603,000 | thousands by filing date | |
| UNITED RENTALS INC COM | 911363109 | Stock | 50,000 | $5,555,000 | thousands by filing date | call |
| ISHARES TR | 464287739 | U.S. REAL ES ETF | 80,000 | $5,536,000 | thousands by filing date | put |
| META PLATFORMS INC CL A | 30303M102 | COM | 70,000 | $5,533,000 | thousands by filing date | put |
| STEWART INFORMATION SVCS COR | 860372101 | COM | 172,190 | $5,054,000 | thousands by filing date | |
| REPUBLIC BANCORP INC CLASS A | 760281204 | COMMON STOCK | 189,835 | $4,497,000 | thousands by filing date | |
| CROCS INC COM | 227046109 | Stock | 356,700 | $4,487,000 | thousands by filing date | call |
| ABERCROMBIE & FITCH CO CL A | 002896207 | Stock | 112,308 | $4,081,000 | thousands by filing date | |
| RADIANT LOGISTICS INC | 75025X100 | COM | 1,108,193 | $4,078,000 | thousands by filing date | |
| ACTUATE CORP | 00508B102 | COM | 1,009,700 | $3,938,000 | thousands by filing date | |
| TFS FINL CORP | 87240R107 | COM | 273,387 | $3,915,000 | thousands by filing date | |
| APOLLO GROUP INC | 037604105 | CL A | 155,600 | $3,913,000 | thousands by filing date | call |
| POTBELLY CORP | 73754Y100 | COM | 326,400 | $3,806,000 | thousands by filing date | |
| ABERCROMBIE & FITCH CO CL A | 002896207 | Stock | 103,600 | $3,765,000 | thousands by filing date | call |
| FALCONSTOR SOFTWARE INC | 306137100 | COM | 3,220,486 | $3,704,000 | thousands by filing date | |
| SYNERGETICS USA INC | 87160G107 | COM | 1,082,792 | $3,692,000 | thousands by filing date | |
| RED LION HOTELS CORP | 756764106 | COM | 621,439 | $3,536,000 | thousands by filing date | |
| DEPT TECHNOLOGY INC | 006854202 | COM NEW | 408,109 | $3,432,000 | thousands by filing date | |
| DOLBY LABORATORIES INC COM CL A | 25659T107 | Stock | 81,472 | $3,405,000 | thousands by filing date | |
| BRIGHTCOVE INC | 10921T101 | COM | 593,374 | $3,311,000 | thousands by filing date | |
| WORKDAY INC CL A | 98138H101 | Stock | 38,600 | $3,185,000 | thousands by filing date | put |
| LAKES ENTERTAINMEN | 51206P208 | COM | 373,937 | $3,115,000 | thousands by filing date | |
| Full Circle Capital Corp. | 359671104 | COM | 474,820 | $3,034,000 | thousands by filing date | |
| QAD INC-B | 74727D207 | Common | 183,484 | $2,884,000 | thousands by filing date | |
| ITT EDUCATIONAL SERVICES INC | 45068B109 | COM | 660,000 | $2,831,000 | thousands by filing date | |
| PIER 1 IMPORTS INC | 720279108 | COM | 230,000 | $2,735,000 | thousands by filing date | |
| PHARMATHENE INC | 71714G102 | COM | 1,520,000 | $2,706,000 | thousands by filing date | |
| NRC HEALTH | 637372202 | COMMON STOCK | 202,273 | $2,632,000 | thousands by filing date | |
| CONNS INC | 208242107 | COM | 85,000 | $2,573,000 | thousands by filing date | |
| DOVER MOTORSPORTS INC | 260174107 | COM | 947,152 | $2,188,000 | thousands by filing date | |
| QAD INC-A | 74727D306 | CL A | 117,184 | $2,182,000 | thousands by filing date | |
| SOTHEBYS | 835898107 | COM | 60,000 | $2,143,000 | thousands by filing date | call |
| BAKER HUGHES INC | 057224107 | COM | 31,500 | $2,049,000 | thousands by filing date | call |
| LINCOLN EDL SVCS CORP | 533535100 | COM | 602,295 | $1,692,000 | thousands by filing date | |
| SEARS HOMETOWN & OUTLET STOR | 812362101 | COM | 102,989 | $1,596,000 | thousands by filing date | |
| CLUBCORP HLDGS INC | 18948M108 | COM | 80,000 | $1,586,000 | thousands by filing date | |
| IMPERIAL HOLDINGS INC 8.5% 2/15/2019 | 452834AB0 | DEBT | 1,131,000 | $1,350,000 | thousands by filing date | principal |
| CACHE INC | 127150308 | COM | 1,272,952 | $1,072,000 | thousands by filing date | |
| ALLIED NEVADA GOLD CORP | 019344100 | COM | 300,000 | $993,000 | thousands by filing date | call |
| AUDIENCE INC | 05070J102 | COM | 129,915 | $961,000 | thousands by filing date | |
| BRIDGEPOINT EDUCATION INC | 10807M105 | COM | 67,000 | $748,000 | thousands by filing date | call |
| EMMIS COMMUNICATIONS CORP | 291525103 | CL A | 332,079 | $701,000 | thousands by filing date | |
| FNFV GROUP | 31620R402 | COM | 44,224 | $609,000 | thousands by filing date | |
| RUSH ENTERPRISES INC CL B | 781846308 | COMMON STOCK | 17,350 | $511,000 | thousands by filing date | |
| UNITED RENTALS INC COM | 911363109 | Stock | 1,600 | $178,000 | thousands by filing date | put |
| CORINTHIAN COLLEGES INC | 218868107 | COMMON STOCK | 1,400,000 | $155,000 | thousands by filing date | |
| DEPT TECHNOLOGY INC | 006854202 | COM NEW | 13,300 | $112,000 | thousands by filing date | call |
| MECHEL PREF SPON ADR | 583840509 | COM | 712,281 | $85,000 | thousands by filing date | |
| EMERSON RADIO CORP | 291087203 | COM NEW | 14,097 | $28,000 | thousands by filing date | |
| ALLIED NEVADA GOLD CORP | 019344100 | COM | 5,000 | $17,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001144204-14-068848 | this filing | 2014-11-14 | acceptance time not in the bulk data set |