Chief Compliance Officer

0001104659-21-139340.txt : 20211115 0001104659-21-139340.hdr.sgml : 20211115 20211115171528 ACCESSION NUMBER: 0001104659-21-139340 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20210930 FILED AS OF DATE: 20211115 DATE AS OF CHANGE: 20211115 EFFECTIVENESS DATE: 20211115 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: 211412432 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 09-30-2021 09-30-2021 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 11-15-2021 0 130 3173168 INFORMATION TABLE 2 infotable.xml 5 01 ACQUISITION CORP COM CL A 33836P105 1819 185213 SH SOLE 185213 0 0 ACADIA PHARMACEUTICALS INC COM 004225108 4983 300000 SH Call SOLE 300000 0 0 ACER THERAPEUTICS INC COM 00444P108 2340 914197 SH SOLE 914197 0 0 ADICET BIO INC COM 007002108 2435 310540 SH SOLE 310540 0 0 AEGLEA BIOTHERAPEUTICS INC COM 00773J103 12060 1516955 SH SOLE 1516955 0 0 AKEBIA THERAPEUTICS INC COM 00972D105 14337 4978195 SH SOLE 4978195 0 0 AKUMIN INC COM 01021F109 15675 6320740 SH SOLE 6320740 0 0 ALTA EQUIPMENT GROUP INC COMMON STOCK 02128L106 26638 1940082 SH SOLE 1940082 0 0 ANGION BIOMEDICA CORP COM 03476J107 1158 118521 SH SOLE 118521 0 0 APOLLO ENDOSURGERY INC COM 03767D108 22780 2514328 SH SOLE 2514328 0 0 APTOSE BIOSCIENCES INC COM NEW 03835T200 16035 7355730 SH SOLE 7355730 0 0 ARYA SCIENCES ACQU CORP IV CL A G31659108 4012 399248 SH SOLE 399248 0 0 ARYA SCIENCES ACQUISITN CORP CLASS A ORD SHS G31658100 9880 1000000 SH SOLE 1000000 0 0 ATHENA TECHNOLOGY ACQUISI CO COM CLASS A 04687A109 4959 499586 SH SOLE 499586 0 0 AUTOLUS THERAPEUTICS PLC SPON ADS 05280R100 19236 2936791 SH SOLE 2936791 0 0 AVALO THERAPEUTICS INC COM 05338F108 15156 6952401 SH SOLE 6952401 0 0 AVENUE THERAPEUTICS INC COM NEW 05360L205 45 30211 SH SOLE 30211 0 0 AVIS BUDGET GROUP COM 053774105 64081 550000 SH Put SOLE 550000 0 0 B RILEY PRINCIPAL 150 MERGER UNIT 99/99/9999 05601V202 3754 375000 SH SOLE 375000 0 0 B. 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