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 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