0001104659-19-064000.txt : 20191114
0001104659-19-064000.hdr.sgml : 20191114
20191114125128
ACCESSION NUMBER: 0001104659-19-064000
CONFORMED SUBMISSION TYPE: 13F-HR
PUBLIC DOCUMENT COUNT: 2
CONFORMED PERIOD OF REPORT: 20190930
FILED AS OF DATE: 20191114
DATE AS OF CHANGE: 20191114
EFFECTIVENESS DATE: 20191114
FILER:
COMPANY DATA:
COMPANY CONFORMED NAME: Nantahala Capital Management, LLC
CENTRAL INDEX KEY: 0001472322
IRS NUMBER: 201151760
STATE OF INCORPORATION: MA
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 13F-HR
SEC ACT: 1934 Act
SEC FILE NUMBER: 028-14750
FILM NUMBER: 191218378
BUSINESS ADDRESS:
STREET 1: 130 MAIN ST.
STREET 2: 2ND FLOOR
CITY: NEW CANAAN
STATE: CT
ZIP: 06840
BUSINESS PHONE: 203-404-1172
MAIL ADDRESS:
STREET 1: 130 MAIN ST.
STREET 2: 2ND FLOOR
CITY: NEW CANAAN
STATE: CT
ZIP: 06840
13F-HR
1
primary_doc.xml
13F-HR
LIVE
false
false
false
0001472322
XXXXXXXX
09-30-2019
09-30-2019
false
Nantahala Capital Management, LLC
130 Main St.
2nd Floor
New Canaan
CT
06840
13F HOLDINGS REPORT
028-14750
N
Paul Rehm
Chief Compliance Officer
203-909-6430
/s/ Paul Rehm
New Canaan
CT
11-14-2019
0
108
2698538
INFORMATION TABLE
2
infotable.xml
ACER THERAPEUTICS INC
COM
00444P108
3160
990655
SH
SOLE
990655
0
0
AEGLEA BIOTHERAPEUTICS INC
COM
00773J103
21934
2852260
SH
SOLE
2852260
0
0
AKEBIA THERAPEUTICS INC
COM
00972D105
22695
5789561
SH
SOLE
5789561
0
0
AKEBIA THERAPEUTICS INC
COM
00972D105
7840
2000000
SH
Call
SOLE
2000000
0
0
ALTABA INC
COM
021346101
17210
883464
SH
SOLE
883464
0
0
APOLLO ENDOSURGERY INC
COM
03767D108
5957
1810562
SH
SOLE
1810562
0
0
APTOSE BIOSCIENCES INC
COM NEW
03835T200
8898
4267530
SH
SOLE
4267530
0
0
ARMSTRONG FLOORING INC
COM
04238R106
10465
1637724
SH
SOLE
1637724
0
0
ARQULE INC
COM
04269E107
72131
10060105
SH
SOLE
10060105
0
0
ARYA SCIENCES ACQUISITION CO
UNIT 10/04/2023
G3165V117
4964
452944
SH
SOLE
452944
0
0
BANCORP INC DEL
COM
05969A105
26871
2714238
SH
SOLE
2714238
0
0
BIODELIVERY SCIENCES INTL IN
COM
09060J106
20402
4846167
SH
SOLE
4846167
0
0
CAESARS ENTMT CORP
COM
127686103
38839
3331000
SH
Call
SOLE
3331000
0
0
CARVANA CO
CL A
146869102
1223
18529
SH
SOLE
18529
0
0
CARVANA CO
CL A
146869102
82665
1252500
SH
Call
SOLE
1252500
0
0
CARVANA CO
CL A
146869102
19800
300000
SH
Call
SOLE
300000
0
0
CATALYST BIOSCIENCES INC
COM NEW
14888D208
5219
1062843
SH
SOLE
1062843
0
0
CHARDAN HEALTHCARE ACQUISITI
COM
15957A108
1197
100000
SH
SOLE
100000
0
0
CHEMBIO DIAGNOSTICS INC
COM NEW
163572209
7589
1239983
SH
SOLE
1239983
0
0
CHEMOCENTRYX INC
COM
16383L106
2034
300000
SH
Call
SOLE
300000
0
0
CODEXIS INC
COM
192005106
73560
5363484
SH
SOLE
5363484
0
0
CRH MEDICAL CORP
COM
12626F105
20086
6534155
SH
SOLE
6534155
0
0
CUE BIOPHARMA INC
COM
22978P106
11618
1378198
SH
SOLE
1378198
0
0
CURO GROUP HLDGS CORP
COM
23131L107
16326
1229332
SH
SOLE
1229332
0
0
DARIOHEALTH CORP
COM
23725P100
1302
4281652
SH
SOLE
4281652
0
0
DECIPHERA PHARMACEUTICALS IN
COM
24344T101
1298
38247
SH
SOLE
38247
0
0
DHI GROUP INC
COM
23331S100
19243
4998075
SH
SOLE
4998075
0
0
DOLBY LABORATORIES INC
COM CL A
25659T107
33722
521693
SH
SOLE
521693
0
0
DOVER MOTORSPORTS INC
COM
260174107
3357
1695541
SH
SOLE
1695541
0
0
DXP ENTERPRISES INC NEW
COM NEW
233377407
55636
1602433
SH
SOLE
1602433
0
0
ELEVATE CREDIT INC
COM
28621V101
6603
1568411
SH
SOLE
1568411
0
0
EMMIS COMMUNICATIONS CORP
COM NEW CL A
291525400
3917
781783
SH
SOLE
781783
0
0
ESTABLISHMENT LABS HLDGS INC
COM
G31249108
16110
851922
SH
SOLE
851922
0
0
EXACT SCIENCES CORP
COM
30063P105
100871
1116200
SH
Put
SOLE
1116200
0
0
EXACT SCIENCES CORP
COM
30063P105
23315
258000
SH
Put
SOLE
258000
0
0
EXELA TECHNOLOGIES INC
COM
30162V102
15078
12777887
SH
SOLE
12777887
0
0
FALCON MINERALS CORP
CL A COM
30607B109
11603
2017894
SH
SOLE
2017894
0
0
FALCON MINERALS CORP
*W EXP 07/21/202
30607B208
942
878022
SH
SOLE
878022
0
0
FIAT CHRYSLER AUTOMOBILES N
SHS
N31738102
21147
1633000
SH
Call
SOLE
1633000
0
0
FIAT CHRYSLER AUTOMOBILES N
SHS
N31738102
54222
4187000
SH
Call
SOLE
4187000
0
0
FINTECH ACQUISITION CORP III
UNIT 12/01/2023
31811A309
9000
842730
SH
SOLE
842730
0
0
FORTRESS BIOTECH INC
COM
34960Q109
475
336621
SH
SOLE
336621
0
0
GALMED PHARMACEUTICALS LTD
SHS
M47238106
4203
879200
SH
SOLE
879200
0
0
GLOBAL EAGLE ENTMT INC
COM
37951D102
20820
28835876
SH
SOLE
28835876
0
0
GOLDEN ENTMT INC
COM
381013101
32557
2449713
SH
SOLE
2449713
0
0
HCA HEALTHCARE INC
COM
40412C101
38534
320000
SH
Put
SOLE
320000
0
0
HERTZ GLOBAL HLDGS INC
COM
42806J106
10408
751995
SH
SOLE
751995
0
0
HERTZ GLOBAL HLDGS INC
COM
42806J106
6920
500000
SH
Call
SOLE
500000
0
0
HERTZ GLOBAL HLDGS INC
COM
42806J106
11649
841700
SH
Call
SOLE
841700
0
0
HTG MOLECULAR DIAGNOSTICS IN
COM
40434H104
3323
5000000
SH
SOLE
5000000
0
0
INSURANCE ACQUISITION CORP
UNIT 03/31/2024
457867307
5210
500000
SH
SOLE
500000
0
0
INTERNATIONAL GAME TECHNOLOG
SHS USD
G4863A108
7105
500000
SH
Call
SOLE
500000
0
0
INTERNATIONAL MNY EXPRESS IN
COM
46005L101
30929
2251010
SH
SOLE
2251010
0
0
INVESCO QQQ TR
UNIT SER 1
46090E103
103846
550000
SH
Put
SOLE
550000
0
0
ISHARES TR
RUSSELL 2000 ETF
464287655
166474
1100000
SH
Put
SOLE
1100000
0
0
ISHARES TR
RUSSELL 2000 ETF
464287655
71887
475000
SH
Put
SOLE
475000
0
0
ISHARES TR
RUSSELL 2000 ETF
464287655
71887
475000
SH
Put
SOLE
475000
0
0
ISHARES TR
RUSSELL 2000 ETF
464287655
98371
650000
SH
Put
SOLE
650000
0
0
JOINT CORP
COM
47973J102
15798
848881
SH
SOLE
848881
0
0
LINCOLN EDL SVCS CORP
COM
533535100
5069
2436805
SH
SOLE
2436805
0
0
LUXFER HOLDINGS PLC
SHS
G5698W116
40535
2601749
SH
SOLE
2601749
0
0
MARRIOTT VACTINS WORLDWID CO
COM
57164Y107
68203
658262
SH
SOLE
658262
0
0
MEDIFAST INC
COM
58470H101
12581
121407
SH
SOLE
121407
0
0
MERRIMACK PHARMACEUTICALS IN
COM NEW
590328209
3364
747635
SH
SOLE
747635
0
0
META FINL GROUP INC
COM
59100U108
58689
1799727
SH
SOLE
1799727
0
0
MOTUS GI HLDGS INC
COM
62014P108
827
417708
SH
SOLE
417708
0
0
NATURES SUNSHINE PRODUCTS IN
COM
639027101
4837
583510
SH
SOLE
583510
0
0
NEOS THERAPEUTICS INC
COM
64052L106
6823
4610000
SH
SOLE
4610000
0
0
ON DECK CAP INC
COM
682163100
21452
6384602
SH
SOLE
6384602
0
0
PAR TECHNOLOGY CORP
COM
698884103
14928
628017
SH
SOLE
628017
0
0
PARTY CITY HOLDCO INC
COM
702149105
34408
6025989
SH
SOLE
6025989
0
0
PARTY CITY HOLDCO INC
COM
702149105
5710
1000000
SH
Call
SOLE
1000000
0
0
PLAYAGS INC
COM
72814N104
9252
900000
SH
SOLE
900000
0
0
QAD INC
CL A
74727D306
57758
1250722
SH
SOLE
1250722
0
0
RADNET INC
COM
750491102
16224
1129814
SH
SOLE
1129814
0
0
RAFAEL HLDGS INC
COM CL B
75062E106
10173
485366
SH
SOLE
485366
0
0
RH
COM
74967X103
64182
375707
SH
SOLE
375707
0
0
RH
COM
74967X103
53811
315000
SH
Call
SOLE
315000
0
0
RUMBLEON INC
CL B
781386206
4723
1634350
SH
SOLE
1634350
0
0
SCIENTIFIC GAMES CORP
COM
80874P109
29246
1437167
SH
SOLE
1437167
0
0
SCIENTIFIC GAMES CORP
COM
80874P109
12414
610000
SH
Call
SOLE
610000
0
0
SCIENTIFIC GAMES CORP
COM
80874P109
78588
3861800
SH
Call
SOLE
3861800
0
0
SCIENTIFIC GAMES CORP
COM
80874P109
30904
1518600
SH
Call
SOLE
1518600
0
0
SCIPLAY CORP
CL A
809087109
2675
250000
SH
SOLE
250000
0
0
SCULLY ROYALTY LTD
COM SHS
G7T96K107
9752
837048
SH
SOLE
837048
0
0
SEARS HOMETOWN & OUTLET STOR
COM
812362101
7491
2131251
SH
SOLE
2131251
0
0
SELECT INTERIOR CONCEPTS INC
CL A
816120307
8475
653461
SH
SOLE
653461
0
0
SIGA TECHNOLOGIES INC
COM
826917106
9219
1800514
SH
SOLE
1800514
0
0
SPDR SERIES TRUST
S&P BIOTECH
78464A870
22875
300000
SH
Put
SOLE
300000
0
0
SPDR SERIES TRUST
S&P BIOTECH
78464A870
45750
600000
SH
Put
SOLE
600000
0
0
STRATA SKIN SCIENCES INC
COM NEW
86272A206
6130
2851001
SH
SOLE
2851001
0
0
STREAMLINE HEALTH SOLUTIONS
COM
86323X106
1909
1760297
SH
SOLE
1760297
0
0
SUNESIS PHARMACEUTICALS INC
COM
867328700
5543
7700146
SH
SOLE
7700146
0
0
TENET HEALTHCARE CORP
COM NEW
88033G407
44282
2001914
SH
SOLE
2001914
0
0
TENET HEALTHCARE CORP
COM NEW
88033G407
22894
1035000
SH
Call
SOLE
1035000
0
0
TENET HEALTHCARE CORP
COM NEW
88033G407
9512
430000
SH
Call
SOLE
430000
0
0
TENET HEALTHCARE CORP
COM NEW
88033G407
11314
511500
SH
Call
SOLE
511500
0
0
TENET HEALTHCARE CORP
COM NEW
88033G407
13272
600000
SH
Call
SOLE
600000
0
0
TENET HEALTHCARE CORP
COM NEW
88033G407
12221
552500
SH
Call
SOLE
552500
0
0
TRAVELCENTERS OF AMERICA INC
COM NEW
89421B109
4158
337390
SH
SOLE
337390
0
0
UNIQURE NV
SHS
N90064101
77493
1968838
SH
SOLE
1968838
0
0
UNIQURE NV
SHS
N90064101
29126
740000
SH
Call
SOLE
740000
0
0
UNIQURE NV
SHS
N90064101
24600
625000
SH
Call
SOLE
625000
0
0
UNIQURE NV
SHS
N90064101
23616
600000
SH
Call
SOLE
600000
0
0
VIEMED HEALTHCARE INC
COM
92663R105
10341
1498100
SH
SOLE
1498100
0
0
WAYFAIR INC
CL A
94419L101
33958
302870
SH
SOLE
302870
0
0
WORLD ACCEP CORP DEL
COM
981419104
34651
271753
SH
SOLE
271753
0
0
ZOVIO INC
COM
98979V102
2135
1083906
SH
SOLE
1083906
0
0