0001104659-22-060475.txt : 20220513 0001104659-22-060475.hdr.sgml : 20220513 20220513171712 ACCESSION NUMBER: 0001104659-22-060475 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20220331 FILED AS OF DATE: 20220513 DATE AS OF CHANGE: 20220513 EFFECTIVENESS DATE: 20220513 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: 22924031 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 03-31-2022 03-31-2022 false Nantahala Capital Management, LLC

130 Main St. 2nd Floor New Canaan CT 06840

13F HOLDINGS REPORT 028-14750 N Taki Vasilakis 203-308-4440 /s/ Taki Vasilakis New Canaan CT 05-13-2022 0 122 2260248 INFORMATION TABLE 2 infotable.xml 5 01 ACQUISITION CORP COM CL A 33836P105 1600 162430 SH SOLE 162430 0 0 ACER THERAPEUTICS INC COM 00444P108 2256 777820 SH SOLE 777820 0 0 ADTALEM GLOBAL ED INC COM 00737L103 14855 500000 SH Put SOLE 500000 0 0 AEGLEA BIOTHERAPEUTICS INC COM 00773J103 7361 3200593 SH SOLE 3200593 0 0 AKEBIA THERAPEUTICS INC COM 00972D105 693 965800 SH Call SOLE 965800 0 0 AKUMIN INC COM 01021F109 6193 5578992 SH SOLE 5578992 0 0 ALECTOR INC COM 014442107 1351 94779 SH SOLE 94779 0 0 ALTA EQUIPMENT GROUP INC COMMON STOCK 02128L106 22330 1806607 SH SOLE 1806607 0 0 AMPHASTAR PHARMACEUTICALS IN COM 03209R103 35900 1000000 SH Put SOLE 1000000 0 0 AMRYT PHARMA PLC SPONSORED ADS 03217L106 8862 1071536 SH SOLE 1071536 0 0 ANGION BIOMEDICA CORP COM 03476J107 2487 1173162 SH SOLE 1173162 0 0 APOLLO ENDOSURGERY INC COM 03767D108 22536 3724899 SH SOLE 3724899 0 0 APTOSE BIOSCIENCES INC COM NEW 03835T200 9958 7322189 SH SOLE 7322189 0 0 ARYA SCIENCES ACQU CORP IV CL A G31659108 3193 325848 SH SOLE 325848 0 0 ARYA SCIENCES ACQUISITN CORP CLASS A ORD SHS G31658100 8423 865633 SH SOLE 865633 0 0 AURA BIOSCIENCES INC COM 05153U107 6644 301990 SH SOLE 301990 0 0 AUTOLUS THERAPEUTICS PLC SPON ADS 05280R100 18124 4346327 SH SOLE 4346327 0 0 AVALO THERAPEUTICS INC COM 05338F108 4804 6849547 SH SOLE 6849547 0 0 B RILEY PRINCIPAL 150 MERGER *W EXP 03/01/202 05601V111 109 120686 SH SOLE 120686 0 0 B RILEY PRINCIPAL 150 MERGER COM CL A 05601V103 2994 301786 SH SOLE 301786 0 0 B. 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