0001104659-23-060904.txt : 20230515 0001104659-23-060904.hdr.sgml : 20230515 20230515170019 ACCESSION NUMBER: 0001104659-23-060904 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20230331 FILED AS OF DATE: 20230515 DATE AS OF CHANGE: 20230515 EFFECTIVENESS DATE: 20230515 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: 23923921 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 X0202 13F-HR LIVE false false false 0001472322 XXXXXXXX 03-31-2023 03-31-2023 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 05-15-2023 0 124 1305022088 INFORMATION TABLE 2 infotable.xml ABEONA THERAPEUTICS INC COM NEW 00289Y206 4028864 1428675 SH SOLE 1428675 0 0 ACER THERAPEUTICS INC COM 00444P108 912571 1203126 SH SOLE 1203126 0 0 ADC THERAPEUTICS SA SHS H0036K147 1638000 840000 SH SOLE 840000 0 0 AEGLEA BIOTHERAPEUTICS INC COM 00773J103 1321823 4558012 SH SOLE 4558012 0 0 AEROVATE THERAPEUTICS INC COM 008064107 1916150 95000 SH SOLE 95000 0 0 AKUMIN INC COM 01021X100 1283062 1886856 SH SOLE 1886856 0 0 ALTA EQUIPMENT GROUP INC COMMON STOCK 02128L106 9939646 627107 SH SOLE 627107 0 0 AMERICAS CAR-MART INC COM 03062T105 5074985 64070 SH SOLE 64070 0 0 AMNEAL PHARMACEUTICALS INC COM STK CL A 03168L105 695000 500000 SH SOLE 500000 0 0 AMRYT PHARMA PLC SPONSORED ADS 03217L106 11967628 820825 SH SOLE 820825 0 0 ANEBULO PHARMACEUTICALS INC COM 034569103 1482112 511073 SH SOLE 511073 0 0 ANGION BIOMEDICA CORP COM 03476J107 540509 982743 SH SOLE 982743 0 0 APOLLO ENDOSURGERY INC COM 03767D108 45384208 4575021 SH SOLE 4575021 0 0 APOLLO ENDOSURGERY INC COM 03767D108 19840000 2000000 SH Call SOLE 2000000 0 0 APTOSE BIOSCIENCES INC COM NEW 03835T200 3186544 4978975 SH SOLE 4978975 0 0 AURA BIOSCIENCES INC COM 05153U107 7827179 843446 SH SOLE 843446 0 0 AUTOLUS THERAPEUTICS PLC SPON ADS 05280R100 14152936 7691813 SH SOLE 7691813 0 0 AVALO THERAPEUTICS INC COM NEW 05338F207 1415477 808844 SH SOLE 808844 0 0 AYTU BIOPHARMA INC COM 054754858 608346 271595 SH SOLE 271595 0 0 B. 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