0001104659-21-106457.txt : 20210816
0001104659-21-106457.hdr.sgml : 20210816
20210816170957
ACCESSION NUMBER: 0001104659-21-106457
CONFORMED SUBMISSION TYPE: 13F-HR
PUBLIC DOCUMENT COUNT: 2
CONFORMED PERIOD OF REPORT: 20210630
FILED AS OF DATE: 20210816
DATE AS OF CHANGE: 20210816
EFFECTIVENESS DATE: 20210816
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: 211179679
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
06-30-2021
06-30-2021
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
08-13-2021
0
121
3519599
INFORMATION TABLE
2
infotable.xml
5 01 ACQUISITION CORP
COM CL A
33836P105
1861
186650
SH
SOLE
186650
0
0
ACADIA PHARMACEUTICALS INC
COM
004225108
7317
300000
SH
Call
SOLE
300000
0
0
ACER THERAPEUTICS INC
COM
00444P108
2673
934755
SH
SOLE
934755
0
0
ADICET BIO INC
COM
007002108
3195
310540
SH
SOLE
310540
0
0
AEGLEA BIOTHERAPEUTICS INC
COM
00773J103
11672
1677036
SH
SOLE
1677036
0
0
AKEBIA THERAPEUTICS INC
COM
00972D105
19595
5170063
SH
SOLE
5170063
0
0
AKUMIN INC
COM
01021F109
19595
6220740
SH
SOLE
6220740
0
0
ALTA EQUIPMENT GROUP INC
COMMON STOCK
02128L106
27302
2054289
SH
SOLE
2054289
0
0
ANGION BIOMEDICA CORP
COM
03476J107
1628
125000
SH
SOLE
125000
0
0
APOLLO ENDOSURGERY INC
COM
03767D108
18772
2317491
SH
SOLE
2317491
0
0
APTOSE BIOSCIENCES INC
COM NEW
03835T200
25038
7541497
SH
SOLE
7541497
0
0
ARYA SCIENCES ACQU CORP IV
CL A
G31659108
4288
400000
SH
SOLE
400000
0
0
AT HOME GROUP INC
COM
04650Y100
10499
285000
SH
SOLE
285000
0
0
AUTOLUS THERAPEUTICS PLC
SPON ADS
05280R100
11909
1793500
SH
SOLE
1793500
0
0
AVENUE THERAPEUTICS INC
COM NEW
05360L205
76
30211
SH
SOLE
30211
0
0
AVIS BUDGET GROUP
COM
053774105
8030
103100
SH
SOLE
103100
0
0
B RILEY PRINCIPAL 150 MERGER
UNIT 99/99/9999
05601V202
3799
375000
SH
SOLE
375000
0
0
B. RILEY FINANCIAL INC
COM
05580M108
7162
94858
SH
SOLE
94858
0
0
BBQ HLDGS INC
COM
05551A109
18980
1000000
SH
SOLE
1000000
0
0
BOLT BIOTHERAPEUTICS INC
COM
097702104
773
50000
SH
SOLE
50000
0
0
BUCKLE INC
COM
118440106
19900
400000
SH
Call
SOLE
400000
0
0
CARVANA CO
CL A
146869102
61481
203700
SH
Call
SOLE
203700
0
0
CATALYST BIOSCIENCES INC
COM NEW
14888D208
10961
2531360
SH
SOLE
2531360
0
0
CERECOR INC
COM
15671L109
20685
6325677
SH
SOLE
6325677
0
0
CODEXIS INC
COM
192005106
87496
3861232
SH
SOLE
3861232
0
0
CUE BIOPHARMA INC
COM
22978P106
31195
2677666
SH
SOLE
2677666
0
0
CURIS INC
COM NEW
231269200
16814
2083536
SH
SOLE
2083536
0
0
CYREN LTD
SHS
M26895108
485
598540
SH
SOLE
598540
0
0
DARIOHEALTH CORP
COM NEW
23725P209
22717
1063515
SH
SOLE
1063515
0
0
DHI GROUP INC
COM
23331S100
12773
3778900
SH
SOLE
3778900
0
0
DOVER MOTORSPORTS INC
COM
260174107
5843
2597086
SH
SOLE
2597086
0
0
DXP ENTERPRISES INC
COM NEW
233377407
42597
1279183
SH
SOLE
1279183
0
0
ELOXX PHARMACEUTICALS INC
COM
29014R103
4510
2266287
SH
SOLE
2266287
0
0
ESTABLISHMENT LABS HLDGS INC
COM
G31249108
168327
1927264
SH
SOLE
1927264
0
0
EXACT SCIENCES CORP
COM
30063P105
12431
100000
SH
Put
SOLE
100000
0
0
EXAGEN INC
COM
30068X103
5515
367936
SH
SOLE
367936
0
0
FALCON MINERALS CORP
*W EXP 07/21/202
30607B208
167
878022
SH
SOLE
878022
0
0
FALCON MINERALS CORP
CL A COM
30607B109
13344
2626748
SH
SOLE
2626748
0
0
FINTECH ACQUISITION CORP V
UNIT 99/99/9999
31810Q305
13080
1000000
SH
SOLE
1000000
0
0
FINTECH ACQUISITION CORP VI
UNIT 06/24/2026
31811H205
10090
1000000
SH
SOLE
1000000
0
0
FORTRESS BIOTECH INC
COM
34960Q109
26879
7529169
SH
SOLE
7529169
0
0
FTAC ATHENA ACQUISITION CORP
UNIT 99/99/9999
G37283127
10200
1000000
SH
SOLE
1000000
0
0
FTAC HERA ACQUISITION CORP
UNIT 02/28/2026
G3728Y129
10045
1000000
SH
SOLE
1000000
0
0
FTAC PARNASSUS ACQUISITN COR
UNIT 03/10/2026
30319B207
10050
1000000
SH
SOLE
1000000
0
0
GALMED PHARMACEUTICALS LTD
SHS
M47238106
2872
944631
SH
SOLE
944631
0
0
GOLDEN ENTMT INC
COM
381013101
32526
726027
SH
SOLE
726027
0
0
HARPOON THERAPEUTICS INC
COM
41358P106
6148
443247
SH
SOLE
443247
0
0
HCA HEALTHCARE INC
COM
40412C101
7360
35600
SH
SOLE
35600
0
0
HEALTHCOR CATALIO ACQU CORP
CL A SHS
G44125105
3490
354296
SH
SOLE
354296
0
0
HERBALIFE NUTRITION LTD
COM SHS
G4412G101
14659
278000
SH
Call
SOLE
278000
0
0
HOOKIPA PHARMA INC
COM
43906K100
4691
512108
SH
SOLE
512108
0
0
HTG MOLECULAR DIAGNOSTICS IN
COM NEW
40434H203
2113
363622
SH
SOLE
363622
0
0
IKENA ONCOLOGY INC
COM
45175G108
4909
349660
SH
SOLE
349660
0
0
IMAC HLDGS INC
COM
44967K104
4898
2473637
SH
SOLE
2473637
0
0
IMAX CORP
COM
45245E109
12900
600000
SH
Call
SOLE
600000
0
0
IMAX CORP
COM
45245E109
47117
2191490
SH
SOLE
2191490
0
0
IMMATICS N.V
*W EXP 07/01/202
N44445117
779
226471
SH
SOLE
226471
0
0
IMMATICS N.V
SHS
N44445109
29543
2544622
SH
SOLE
2544622
0
0
INSU ACQUISITION CORP III
UNIT 12/31/2026
457817302
10050
1000000
SH
SOLE
1000000
0
0
INTERNATIONAL MNY EXPRESS IN
COM
46005L101
25575
1722240
SH
SOLE
1722240
0
0
ISHARES TR
20 YR TR BD ETF
464287432
173220
1200000
SH
Put
SOLE
1200000
0
0
ISHARES TR
RUS 2000 GRW ETF
464287648
93507
300000
SH
Put
SOLE
300000
0
0
ISHARES TR
RUSSELL 2000 ETF
464287655
458740
2000000
SH
Put
SOLE
2000000
0
0
KEROS THERAPEUTICS INC
COM
492327101
25434
598880
SH
SOLE
598880
0
0
KINTARA THERAPEUTICS INC
COM
49720K101
1188
523279
SH
SOLE
523279
0
0
KIRKLANDS INC
COM
497498105
3032
132500
SH
Put
SOLE
132500
0
0
LAVA THERAPEUTICS NV
SHS
N51517105
4148
381227
SH
SOLE
381227
0
0
LINCOLN EDL SVCS CORP
COM
533535100
11345
1458208
SH
SOLE
1458208
0
0
LUXFER HOLDINGS PLC
SHS
G5698W116
46570
2093024
SH
SOLE
2093024
0
0
MEDIACO HLDG INC
CL A
58450D104
373
103680
SH
SOLE
103680
0
0
MERRIMACK PHARMACEUTICALS IN
COM NEW
590328209
3655
571946
SH
SOLE
571946
0
0
META FINL GROUP INC
COM
59100U108
54373
1073936
SH
SOLE
1073936
0
0
METROMILE INC
*W EXP 02/09/202
591697115
1234
558296
SH
SOLE
558296
0
0
METROMILE INC
COM
591697107
25006
2732851
SH
SOLE
2732851
0
0
MILLER HERMAN INC
COM
600544100
23570
500000
SH
Call
SOLE
500000
0
0
MILLER HERMAN INC
COM
600544100
64406
1366266
SH
SOLE
1366266
0
0
NAUTILUS BIOTECHNOLOGY INC
COM
63909J108
12027
1190810
SH
SOLE
1190810
0
0
NEUROPACE INC
COM
641288105
3507
147404
SH
SOLE
147404
0
0
PAR TECHNOLOGY CORP
NOTE 2.875% 4/1
698884AC7
10884
6000000
PRN
SOLE
6000000
0
0
PARTY CITY HOLDCO INC
COM
702149105
9330
1000000
SH
Call
SOLE
1000000
0
0
PAYA HOLDINGS INC
COM CL A
70434P103
16465
1494116
SH
SOLE
1494116
0
0
PAYONEER GLOBAL INC
*W EXP 06/25/202
70451X112
790
333327
SH
SOLE
333327
0
0
PAYONEER GLOBAL INC
COM
70451X104
18758
1808889
SH
SOLE
1808889
0
0
PELOTON INTERACTIVE INC
CL A COM
70614W100
24804
200000
SH
Call
SOLE
200000
0
0
PERELLA WEINBERG PARTNERS
*W EXP 12/31/202
71367G110
1112
400000
SH
SOLE
400000
0
0
PERELLA WEINBERG PARTNERS
CLASS A COM
71367G102
19431
1510996
SH
SOLE
1510996
0
0
QAD INC
CL A
74727D306
80646
926756
SH
SOLE
926756
0
0
READING INTL INC
CL A
755408101
16148
2316739
SH
SOLE
2316739
0
0
RED VIOLET INC
COM
75704L104
23520
1000000
SH
SOLE
1000000
0
0
REGIS CORP MINN
COM
758932107
5148
550000
SH
Put
SOLE
550000
0
0
RMR GROUP INC
CL A
74967R106
25540
660984
SH
SOLE
660984
0
0
ROTH CH ACQUISITION III CO
UNIT 02/26/2026
77867Q201
4110
399006
SH
SOLE
399006
0
0
SCIENTIFIC GAMES CORP
COM
80874P109
120752
1559300
SH
Call
SOLE
1559300
0
0
SCIENTIFIC GAMES CORP
COM
80874P109
18402
237628
SH
SOLE
237628
0
0
SCULLY ROYALTY LTD
COM SHS
G7T96K107
9481
779349
SH
SOLE
779349
0
0
SHIFT TECHNOLOGIES INC
CL A
82452T107
42917
5001932
SH
SOLE
5001932
0
0
SIGA TECHNOLOGIES INC
COM
826917106
312
49605
SH
SOLE
49605
0
0
SILVERBACK THERAPEUTICS INC
COM
82835W108
39115
1266266
SH
SOLE
1266266
0
0
SOARING EAGLE ACQUISITION CO
CL A SHS
G8354H126
9754
979358
SH
SOLE
979358
0
0
SOLENO THERAPEUTICS INC
COM NEW
834203200
11132
9765129
SH
SOLE
9765129
0
0
SPDR SER TR
S&P BIOTECH
78464A870
54160
400000
SH
Put
SOLE
400000
0
0
STRATA SKIN SCIENCES INC
COM NEW
86272A206
7151
4583908
SH
SOLE
4583908
0
0
SUSTAINABLE OPPORTNTS ACQ CO
*W EXP 99/99/999
G8598Y117
1156
802758
SH
SOLE
802758
0
0
SYNDAX PHARMACEUTICALS INC
COM
87164F105
44528
2593337
SH
SOLE
2593337
0
0
TAYSHA GENE THERAPIES INC
COM SHS
877619106
9160
432072
SH
SOLE
432072
0
0
TELADOC HEALTH INC
COM
87918A105
39910
240000
SH
Put
SOLE
240000
0
0
TELIGENT INC NEW
COM NEW
87960W203
1294
2418987
SH
SOLE
2418987
0
0
TENET HEALTHCARE CORP
COM NEW
88033G407
58676
875900
SH
Call
SOLE
875900
0
0
TFF PHARMACEUTICALS INC
COM
87241J104
3535
367817
SH
SOLE
367817
0
0
TRAVEL PLUS LEISURE CO
COM
894164102
49349
830092
SH
SOLE
830092
0
0
TRAVELCENTERS OF AMERICA INC
COM NEW
89421B109
37746
1290898
SH
SOLE
1290898
0
0
UNIQURE NV
SHS
N90064101
64862
2105900
SH
Call
SOLE
2105900
0
0
UNIQURE NV
SHS
N90064101
54293
1762766
SH
SOLE
1762766
0
0
VIEMED HEALTHCARE INC
COM
92663R105
12159
1700596
SH
SOLE
1700596
0
0
VIRGIN GALACTIC HOLDINGS INC
COM
92766K106
18400
400000
SH
Call
SOLE
400000
0
0
VONAGE HLDGS CORP
COM
92886T201
18012
1250000
SH
Call
SOLE
1250000
0
0
VONAGE HLDGS CORP
COM
92886T201
61489
4267140
SH
SOLE
4267140
0
0
WAVE LIFE SCIENCES LTD
SHS
Y95308105
11950
1794232
SH
SOLE
1794232
0
0
WAYFAIR INC
CL A
94419L101
411686
1304000
SH
Call
SOLE
1304000
0
0
ZOGENIX INC
COM NEW
98978L204
6682
386696
SH
SOLE
386696
0
0
ZOVIO INC
COM
98979V102
8136
3141286
SH
SOLE
3141286
0
0