0001104659-24-062060.txt : 20240515
0001104659-24-062060.hdr.sgml : 20240515
20240515172021
ACCESSION NUMBER: 0001104659-24-062060
CONFORMED SUBMISSION TYPE: 13F-HR
PUBLIC DOCUMENT COUNT: 2
CONFORMED PERIOD OF REPORT: 20240331
FILED AS OF DATE: 20240515
DATE AS OF CHANGE: 20240515
EFFECTIVENESS DATE: 20240515
FILER:
COMPANY DATA:
COMPANY CONFORMED NAME: Nantahala Capital Management, LLC
CENTRAL INDEX KEY: 0001472322
ORGANIZATION NAME:
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: 24952619
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
03-31-2024
03-31-2024
false
Nantahala Capital Management, LLC
130 Main St.
2nd Floor
New Canaan
CT
06840
13F HOLDINGS REPORT
028-14750
N
Taki Vasilakis
Chief Compliance Officer
203-308-4440
/s/ Taki Vasilakis
New Canaan
CT
05-14-2024
0
124
1750507881
INFORMATION TABLE
2
infotable.xml
ABEONA THERAPEUTICS INC
COM NEW
00289Y206
16752140
2310640
SH
SOLE
2310640
0
0
ABEONA THERAPEUTICS INC
COM NEW
00289Y206
3770000
520000
SH
Call
SOLE
520000
0
0
ABIVAX SA
SPONSORED ADS
00370M103
14443486
1010034
SH
SOLE
1010034
0
0
ACHIEVE LIFE SCIENCES INC
COM
004468500
2972430
654000
SH
SOLE
654000
0
0
AEROVATE THERAPEUTICS INC
COM
008064107
2696429
91188
SH
SOLE
91188
0
0
AILERON THERAPEUTICS INC
COM NEW
00887A204
1690650
255000
SH
SOLE
255000
0
0
ALTA EQUIPMENT GROUP INC
COMMON STOCK
02128L106
5212492
402509
SH
SOLE
402509
0
0
ALTISOURCE PORTFOLIO SOLNS S
REG SHS
L0175J104
2116557
1091009
SH
SOLE
1091009
0
0
AMERICAS CAR-MART INC
COM
03062T105
19935615
312128
SH
SOLE
312128
0
0
AMNEAL PHARMACEUTICALS INC
COM STK CL A
03168L105
15876855
2619943
SH
SOLE
2619943
0
0
AN2 THERAPEUTICS INC
COM
037326105
319404
98278
SH
SOLE
98278
0
0
ANEBULO PHARMACEUTICALS INC
COM
034569103
1466780
511073
SH
SOLE
511073
0
0
APREA THERAPEUTICS INC
COM NEW
03836J201
1376534
205760
SH
SOLE
205760
0
0
APTOSE BIOSCIENCES INC
COM
03835T309
146976
88540
SH
SOLE
88540
0
0
ARHAUS INC
COM CL A
04035M102
15
1
SH
SOLE
1
0
0
ASSERTIO HOLDINGS INC
COM NEW
04546C205
8893513
9270836
SH
SOLE
9270836
0
0
AURA BIOSCIENCES INC
COM
05153U107
10376601
1321860
SH
SOLE
1321860
0
0
AYTU BIOPHARMA INC
COM
054754858
3303908
1086812
SH
SOLE
1086812
0
0
B. RILEY FINANCIAL INC
COM
05580M108
1323548
62520
SH
SOLE
62520
0
0
BIOVENTUS INC
COM CL A
09075A108
30191262
5806012
SH
SOLE
5806012
0
0
BM TECHNOLOGIES INC
CL A COM
05591L107
125456
76034
SH
SOLE
76034
0
0
CELLECTAR BIOSCIENCES INC
COM NEW
15117F807
7455834
1873325
SH
SOLE
1873325
0
0
CHILDRENS PL INC NEW
COM
168905107
1154000
100000
SH
SOLE
100000
0
0
CODEXIS INC
COM
192005106
15571954
4461878
SH
SOLE
4461878
0
0
COGENT BIOSCIENCES INC
COM
19240Q201
5315090
790936
SH
SOLE
790936
0
0
CONNS INC
COM
208242107
5929490
1769997
SH
SOLE
1769997
0
0
COSTCO WHSL CORP NEW
COM
22160K105
51284100
70000
SH
Put
SOLE
70000
0
0
CUE BIOPHARMA INC
COM
22978P106
50448
26692
SH
SOLE
26692
0
0
CUTERA INC
NOTE 4.000% 6/0
232109AG3
887605
4000000
PRN
SOLE
4000000
0
0
DARIOHEALTH CORP
COM NEW
23725P209
4027816
2632559
SH
SOLE
2632559
0
0
DHI GROUP INC
COM
23331S100
5014363
1966417
SH
SOLE
1966417
0
0
DXP ENTERPRISES INC
COM NEW
233377407
14496676
269806
SH
SOLE
269806
0
0
DYNE THERAPEUTICS INC
COM
26818M108
12356918
435256
SH
SOLE
435256
0
0
EAGLE PHARMACEUTICALS INC
COM
269796108
6595913
1258762
SH
SOLE
1258762
0
0
EDGEWISE THERAPEUTICS INC
COM
28036F105
243887
13371
SH
SOLE
13371
0
0
EHEALTH INC
COM
28238P109
11528281
1911821
SH
SOLE
1911821
0
0
ELI LILLY & CO
COM
532457108
77796000
100000
SH
Put
SOLE
100000
0
0
ELUTIA INC
CL A COM
05479K106
5197500
1650000
SH
SOLE
1650000
0
0
ENOVA INTL INC
COM
29357K103
4515278
71865
SH
SOLE
71865
0
0
ENOVA INTL INC
COM
29357K103
6848470
109000
SH
Call
SOLE
109000
0
0
ENVVENO MEDICAL CORPORATION
COM
29415J106
2696804
495736
SH
SOLE
495736
0
0
ESTABLISHMENT LABS HLDGS INC
COM
G31249108
99996206
1964562
SH
SOLE
1964562
0
0
ESTABLISHMENT LABS HLDGS INC
COM
G31249108
27995000
550000
SH
Call
SOLE
550000
0
0
EVOKE PHARMA INC
COM NEW
30049G203
411750
675000
SH
SOLE
675000
0
0
EVOLUS INC
COM
30052C107
40751886
2910849
SH
SOLE
2910849
0
0
EXAGEN INC
COM
30068X103
118147
74306
SH
SOLE
74306
0
0
FORTRESS BIOTECH INC
COM NEW
34960Q307
556304
278152
SH
SOLE
278152
0
0
FOSSIL GROUP INC
COM
34988V106
1332465
1306338
SH
SOLE
1306338
0
0
GAIA INC NEW
CL A
36269P104
2818289
915029
SH
SOLE
915029
0
0
GAMIDA CELL LTD
SHS
M47364100
28880
800000
SH
SOLE
800000
0
0
GOLDEN ENTMT INC
COM
381013101
9917104
269267
SH
SOLE
269267
0
0
GOSSAMER BIO INC
COM
38341P102
793970
672856
SH
SOLE
672856
0
0
GRAND CANYON ED INC
COM
38526M106
54484000
400000
SH
Put
SOLE
400000
0
0
GUARDFORCE AI CO LTD
*W EXP 10/01/202
G4236L120
50333
154205
SH
SOLE
154205
0
0
HERBALIFE LTD
COM SHS
G4412G101
5025000
500000
SH
Call
SOLE
500000
0
0
HILTON GRAND VACATIONS INC
COM
43283X105
31577400
668871
SH
SOLE
668871
0
0
IMAX CORP
COM
45245E109
35625372
2203177
SH
SOLE
2203177
0
0
IMMATICS N.V
*W EXP 07/01/202
N44445117
1509238
558977
SH
SOLE
558977
0
0
IMMATICS N.V
SHS
N44445109
8281607
787974
SH
SOLE
787974
0
0
INDUSTRIAL LOGISTICS PPTYS T
COM SHS BEN INT
456237106
8070056
1881132
SH
SOLE
1881132
0
0
INSPIREMD INC
COM
45779A846
4897707
2066456
SH
SOLE
2066456
0
0
INSTIL BIO INC
COM NEW
45783C200
1374754
127292
SH
SOLE
127292
0
0
ISHARES TR
RUSSELL 2000 ETF
464287655
283905000
1350000
SH
Put
SOLE
1350000
0
0
ISHARES TR
U.S. REAL ES ETF
464287739
26970000
300000
SH
Put
SOLE
300000
0
0
KEROS THERAPEUTICS INC
COM
492327101
19462601
293997
SH
SOLE
293997
0
0
KINTARA THERAPEUTICS INC
COM NEW
49720K200
1285
12763
SH
SOLE
12763
0
0
KIORA PHARMACEUTICALS INC
COM NEW
49721T309
1341400
1900000
SH
SOLE
1900000
0
0
LADDER CAP CORP
CL A
505743104
285273
25631
SH
SOLE
25631
0
0
LUCID DIAGNOSTICS INC
COM
54948X109
132281
149698
SH
SOLE
149698
0
0
LUXFER HLDGS PLC
SHS
G5698W116
7106074
685253
SH
SOLE
685253
0
0
LYRA THERAPEUTICS INC
COM
55234L105
17546508
2820982
SH
SOLE
2820982
0
0
MATTERPORT INC
COM CL A
577096100
1239330
548376
SH
SOLE
548376
0
0
MEDIAALPHA INC
CL A
58450V104
3042687
149371
SH
SOLE
149371
0
0
MILESTONE PHARMACEUTICALS IN
COM
59935V107
3132500
1750000
SH
SOLE
1750000
0
0
MINERALYS THERAPEUTICS INC
COM
603170101
4292652
332506
SH
SOLE
332506
0
0
NEKTAR THERAPEUTICS
COM
640268108
2313036
2475954
SH
SOLE
2475954
0
0
NEUROGENE INC
COM
64135M105
3679001
72279
SH
SOLE
72279
0
0
NEUROONE MED TECHNOLOGIES CO
COM NEW
64130M209
1438694
1198912
SH
SOLE
1198912
0
0
NEUROPACE INC
COM
641288105
10273032
778260
SH
SOLE
778260
0
0
NEWAMSTERDAM PHARMA COMPANY
ORDINARY SHARES
N62509109
4138750
175000
SH
SOLE
175000
0
0
NN INC
COM
629337106
6666554
1406446
SH
SOLE
1406446
0
0
NOODLES & CO
COM CL A
65540B105
7703658
4033329
SH
SOLE
4033329
0
0
OPTINOSE INC
COM
68404V100
3612472
2474296
SH
SOLE
2474296
0
0
PAR TECHNOLOGY CORP
NOTE 2.875% 4/1
698884AC7
4719895
3785000
PRN
SOLE
3785000
0
0
PATHWARD FINANCIAL INC
COM
59100U108
51576779
1021727
SH
SOLE
1021727
0
0
PAYONEER GLOBAL INC
COM
70451X104
8852130
1821426
SH
SOLE
1821426
0
0
PELOTON INTERACTIVE INC
CL A COM
70614W100
27050944
6312939
SH
SOLE
6312939
0
0
PELOTON INTERACTIVE INC
CL A COM
70614W100
10284000
2400000
SH
Call
SOLE
2400000
0
0
PERELLA WEINBERG PARTNERS
CLASS A COM
71367G102
1409863
99778
SH
SOLE
99778
0
0
PERFECT CORP
CL A ORD SHS
G7006A109
496000
200000
SH
SOLE
200000
0
0
PLAYAGS INC
COM
72814N104
5087960
566588
SH
SOLE
566588
0
0
READING INTL INC
CL A
755408101
6228866
3385253
SH
SOLE
3385253
0
0
RED VIOLET INC
COM
75704L104
21822668
1116249
SH
SOLE
1116249
0
0
RENALYTIX PLC
ADS
75973T101
101174
117644
SH
SOLE
117644
0
0
RESERVOIR MEDIA INC
COM
76119X105
12297820
1550797
SH
SOLE
1550797
0
0
REZOLUTE INC
COM NEW
76200L309
7708515
3022947
SH
SOLE
3022947
0
0
RMR GROUP INC
CL A
74967R106
8299008
345792
SH
SOLE
345792
0
0
RUMBLEON INC
COM CL B
781386305
28530629
4416506
SH
SOLE
4416506
0
0
SAVARA INC
COM
805111101
8652302
1737410
SH
SOLE
1737410
0
0
SCULLY ROYALTY LTD
COM SHS
G7T96K107
1471062
239197
SH
SOLE
239197
0
0
SILENCE THERAPEUTICS PLC
ADS
82686Q101
4320000
200000
SH
SOLE
200000
0
0
SOLENO THERAPEUTICS INC
COM
834203309
103164221
2410379
SH
SOLE
2410379
0
0
SPAR GROUP INC
COM
784933103
896773
879189
SH
SOLE
879189
0
0
SPDR SER TR
S&P BIOTECH
78464A870
3991927
42069
SH
SOLE
42069
0
0
SPDR SER TR
S&P BIOTECH
78464A870
180291000
1900000
SH
Put
SOLE
1900000
0
0
STRATA SKIN SCIENCES INC
COM NEW
86272A206
1167952
3089821
SH
SOLE
3089821
0
0
SYNDAX PHARMACEUTICALS INC
COM
87164F105
11073164
465259
SH
SOLE
465259
0
0
TALPHERA INC
COM NEW
00444T209
2052295
1992519
SH
SOLE
1992519
0
0
TARSUS PHARMACEUTICALS INC
COM
87650L103
5464168
150321
SH
SOLE
150321
0
0
TC BIOPHARM HOLDINGS PLC
*W EXP 02/10/202
87807D111
4706
235294
SH
SOLE
235294
0
0
TELA BIO INC
COM
872381108
6224900
1097866
SH
SOLE
1097866
0
0
THE ONE GROUP HOSPITALITY IN
COM
88338K103
3050745
547710
SH
SOLE
547710
0
0
THERATECHNOLOGIES INC
COM NEW
88338H704
4452498
2682228
SH
SOLE
2682228
0
0
TOURMALINE BIO INC
COM
89157D105
16050770
700907
SH
SOLE
700907
0
0
TRANSACT TECHNOLOGIES INC
COM
892918103
125393
23930
SH
SOLE
23930
0
0
UNICYCIVE THERAPEUTICS INC
COM
90466Y103
8644198
3335586
SH
SOLE
3335586
0
0
UNIQURE NV
SHS
N90064101
16058026
3088082
SH
SOLE
3088082
0
0
UNIQURE NV
SHS
N90064101
1263600
243000
SH
Call
SOLE
243000
0
0
VANDA PHARMACEUTICALS INC
COM
921659108
4164462
1013251
SH
SOLE
1013251
0
0
VIEMED HEALTHCARE INC
COM
92663R105
14617650
1550122
SH
SOLE
1550122
0
0
VISTAGEN THERAPEUTICS INC
COM
92840H400
8013435
1517696
SH
SOLE
1517696
0
0
XTANT MED HLDGS INC
COM NEW
98420P308
4680000
4000000
SH
SOLE
4000000
0
0
ZEVRA THERAPEUTICS INC
COM NEW
488445206
14229749
2453405
SH
SOLE
2453405
0
0
ZYNEX INC
COM
98986M103
6061300
490000
SH
SOLE
490000
0
0