Nantahala Capital Management - Q3 2023 holdings

$1.17 Billion is the total value of Nantahala Capital Management's 133 reported holdings in Q3 2023. The portfolio turnover from Q2 2023 to Q3 2023 was 39.5% .

 Value Shares↓ Weighting
IWM BuyISHARES TRput$194,414,000
+48.3%
1,100,000
+57.1%
16.61%
+31.0%
ESTA BuyESTABLISHMENT LABS HLDGS INC$92,625,366
-26.8%
1,887,617
+2.4%
7.91%
-35.3%
XBI NewSPDR SER TRput$69,369,000950,000
+100.0%
5.93%
CASH SellPATHWARD FINANCIAL INC$56,899,303
-12.6%
1,234,526
-12.1%
4.86%
-22.8%
IMAX SellIMAX CORP$50,364,999
+0.7%
2,606,884
-11.5%
4.30%
-11.1%
ESTA NewESTABLISHMENT LABS HLDGS INCcall$28,411,530579,000
+100.0%
2.43%
LXFR SellLUXFER HLDGS PLC$27,681,164
-12.5%
2,121,162
-4.6%
2.36%
-22.7%
RDVT SellRED VIOLET INC$25,250,539
-3.2%
1,261,896
-0.5%
2.16%
-14.5%
KRE NewSPDR SER TRput$25,062,000600,000
+100.0%
2.14%
IMTX SellIMMATICS N.V$22,240,965
-15.7%
1,920,636
-15.9%
1.90%
-25.5%
CRMT BuyAMERICAS CAR-MART INC$21,014,413
+98.4%
230,953
+117.5%
1.80%
+75.1%
HGV BuyHILTON GRAND VACATIONS INC$20,522,649
+2.4%
504,242
+14.4%
1.75%
-9.5%
QURE BuyUNIQURE NV$20,289,691
-37.9%
3,023,799
+6.1%
1.73%
-45.1%
BVS BuyBIOVENTUS INC$19,861,156
+22.3%
6,018,532
+7.1%
1.70%
+8.1%
PTON BuyPELOTON INTERACTIVE INC$17,950,760
+32.5%
3,554,606
+101.7%
1.53%
+16.9%
LYRA BuyLYRA THERAPEUTICS INC$15,836,352
-2.6%
4,050,218
+2.3%
1.35%
-14.0%
VMD BuyVIEMED HEALTHCARE INC$13,676,504
-19.1%
2,032,170
+17.6%
1.17%
-28.6%
ASRT NewASSERTIO HOLDINGS INC$11,955,2004,670,000
+100.0%
1.02%
NPCE BuyNEUROPACE INC$11,869,773
+522.2%
1,219,915
+187.1%
1.01%
+451.1%
SellSOLENO THERAPEUTICS INC$11,579,842
+315.4%
392,404
-39.6%
0.99%
+266.3%
GDEN SellGOLDEN ENTMT INC$11,349,674
-18.2%
332,056
-0.0%
0.97%
-27.7%
KMPH NewZEVRA THERAPEUTICS INC$11,125,6012,308,216
+100.0%
0.95%
RMR SellRMR GROUP INCcl a$10,593,449
-34.6%
432,033
-38.2%
0.90%
-42.2%
RH  RHcall$10,574,400
-19.8%
40,0000.0%0.90%
-29.2%
KROS SellKEROS THERAPEUTICS INC$10,481,538
-47.5%
328,781
-33.9%
0.90%
-53.7%
HGV NewHILTON GRAND VACATIONS INCcall$10,175,000250,000
+100.0%
0.87%
PAYO  PAYONEER GLOBAL INC$9,870,715
+27.2%
1,612,8620.0%0.84%
+12.4%
RMBL BuyRUMBLEON INC$9,841,053
-37.4%
1,605,392
+26.3%
0.84%
-44.7%
BuyABEONA THERAPEUTICS INC$9,673,713
+71.2%
2,297,794
+63.9%
0.83%
+51.3%
CDXS BuyCODEXIS INC$9,581,247
-32.0%
5,069,443
+0.7%
0.82%
-40.0%
AMRX BuyAMNEAL PHARMACEUTICALS INC$9,337,835
+40.1%
2,212,757
+3.0%
0.80%
+23.9%
NDLS BuyNOODLES & CO$8,599,734
+154.4%
3,495,827
+249.6%
0.74%
+124.8%
HLF  HERBALIFE LTDcall$8,394,000
+5.7%
600,0000.0%0.72%
-6.6%
MLHR SellMILLERKNOLL INC$8,318,575
-7.4%
340,228
-44.0%
0.71%
-18.2%
TALS BuyTALARIS THERAPEUTICS INC$8,298,292
+88.3%
2,953,129
+103.7%
0.71%
+66.4%
DHX SellDHI GROUP INC$8,256,495
-28.9%
2,698,201
-11.0%
0.70%
-37.2%
SellDARIOHEALTH CORP$7,918,549
-18.4%
2,414,192
-0.2%
0.68%
-27.9%
BuyAMYLYX PHARMACEUTICALS INC$7,455,924
+110.1%
407,205
+147.5%
0.64%
+85.7%
ZM  ZOOM VIDEO COMMUNICATIONS INcall$6,994,000
+3.0%
100,0000.0%0.60%
-9.0%
ILPT  INDUSTRIAL LOGISTICS PPTYS T$6,812,551
-12.4%
2,357,2840.0%0.58%
-22.6%
SellAURA BIOSCIENCES INC$6,672,711
-32.7%
743,892
-7.4%
0.57%
-40.6%
DXPE SellDXP ENTERPRISES INC$6,288,746
-19.2%
179,987
-15.8%
0.54%
-28.6%
DYN BuyDYNE THERAPEUTICS INC$6,121,149
-8.3%
683,164
+15.2%
0.52%
-18.9%
RDI SellREADING INTL INCcl a$6,097,205
-20.3%
2,876,040
-0.3%
0.52%
-29.5%
NewRESERVOIR MEDIA INC$6,016,601986,328
+100.0%
0.51%
EHTH  EHEALTH INC$5,920,000
-8.0%
800,0000.0%0.51%
-18.6%
NSPR SellINSPIREMD INC$5,781,524
+23.8%
1,768,050
-5.0%
0.49%
+9.3%
NewAN2 THERAPEUTICS INC$5,737,167356,789
+100.0%
0.49%
COGT BuyCOGENT BIOSCIENCES INC$5,606,250
+638.3%
575,000
+796.6%
0.48%
+556.2%
RH NewRH$5,512,69920,853
+100.0%
0.47%
CYTK  CYTOKINETICS INC$5,280,911
-9.7%
179,2570.0%0.45%
-20.2%
SellVENTYX BIOSCIENCES INC$5,126,947
-18.9%
147,623
-23.4%
0.44%
-28.3%
GOSS NewGOSSAMER BIO INC$5,071,3116,089,471
+100.0%
0.43%
KRTX  KARUNA THERAPEUTICS INCcall$5,072,700
-22.0%
30,0000.0%0.43%
-31.2%
IMAX  IMAX CORPcall$4,830,000
+13.7%
250,0000.0%0.41%
+0.5%
NewDIANTHUS THERAPEUTICS INC$4,604,904336,862
+100.0%
0.39%
GMDA NewGAMIDA CELL LTD$4,454,7504,325,000
+100.0%
0.38%
XTNT NewXTANT MED HLDGS INC$4,400,0004,000,000
+100.0%
0.38%
BXMT SellBLACKSTONE MTG TR INCput$4,350,000
-47.7%
200,000
-50.0%
0.37%
-53.8%
VNDA NewVANDA PHARMACEUTICALS INC$4,320,0001,000,000
+100.0%
0.37%
 PAR TECHNOLOGY CORPnote 2.875% 4/1$4,310,358
+6.5%
3,785,0000.0%0.37%
-6.1%
PTON BuyPELOTON INTERACTIVE INCcall$4,302,600
-28.3%
852,000
+9.2%
0.37%
-36.6%
SBTX BuyARS PHARMACEUTICALS INC$4,154,504
+244.3%
1,099,075
+510.3%
0.36%
+203.4%
OPTN BuyOPTINOSE INC$4,068,769
+23.4%
3,307,942
+23.4%
0.35%
+9.1%
IDYA  IDEAYA BIOSCIENCES INC$3,935,303
+14.8%
145,8600.0%0.34%
+1.5%
SVRA NewSAVARA INC$3,928,7961,039,364
+100.0%
0.34%
ALTG SellALTA EQUIPMENT GROUP INC$3,890,942
-46.9%
322,632
-23.7%
0.33%
-53.2%
AGS BuyPLAYAGS INC$3,876,622
+24.2%
594,574
+7.6%
0.33%
+9.6%
IWM SellISHARES TRrussell 2000 etf$3,866,718
-63.6%
21,878
-61.4%
0.33%
-67.8%
EOLS NewEVOLUS INC$3,849,951421,220
+100.0%
0.33%
TELA BuyTELA BIO INC$3,648,736
+1.2%
456,092
+28.1%
0.31%
-10.6%
ASPS NewALTISOURCE PORTFOLIO SOLNS S$3,608,803904,462
+100.0%
0.31%
SNDX SellSYNDAX PHARMACEUTICALS INC$3,485,250
-48.5%
240,031
-25.7%
0.30%
-54.4%
PNT SellPOINT BIOPHARMA GLOBAL INC$3,476,344
-32.9%
521,191
-8.9%
0.30%
-40.7%
INMD NewINMODE LTDput$3,046,000100,000
+100.0%
0.26%
BuyUNICYCIVE THERAPEUTICS INC$2,984,666
+260.2%
3,470,541
+436.1%
0.26%
+218.8%
 AYTU BIOPHARMA INC$2,934,392
+68.7%
1,086,8120.0%0.25%
+49.4%
SNDX NewSYNDAX PHARMACEUTICALS INCcall$2,904,000200,000
+100.0%
0.25%
ENVA  ENOVA INTL INC$2,708,828
-4.2%
53,2500.0%0.23%
-15.7%
PWP  PERELLA WEINBERG PARTNERS$2,629,219
+22.2%
258,2730.0%0.22%
+8.2%
RILY  B. RILEY FINANCIAL INC$2,562,695
-10.9%
62,5200.0%0.22%
-21.2%
NNBR BuyNN INC$2,516,846
+100.2%
1,353,143
+157.2%
0.22%
+76.2%
TARS NewTARSUS PHARMACEUTICALS INC$2,407,835135,500
+100.0%
0.21%
CDTX SellCIDARA THERAPEUTICS INC$2,391,686
-46.6%
2,538,406
-35.9%
0.20%
-52.9%
AZYO NewELUTIA INC$2,359,5001,650,000
+100.0%
0.20%
SELB BuySELECTA BIOSCIENCES INC$2,332,000
+108.2%
2,200,000
+120.0%
0.20%
+84.3%
FOSL BuyFOSSIL GROUP INC$2,029,543
-14.2%
985,215
+7.1%
0.17%
-24.5%
IMTXW SellIMMATICS N.V*w exp 07/01/202$1,978,779
-38.8%
558,977
-43.3%
0.17%
-46.0%
SSKN SellSTRATA SKIN SCIENCES INC$1,942,642
-53.5%
3,264,945
-25.7%
0.17%
-58.9%
MAX SellMEDIAALPHA INCcl a$1,935,913
-83.6%
234,372
-79.5%
0.16%
-85.5%
CCCC  C4 THERAPEUTICS INC$1,860,000
-32.4%
1,000,0000.0%0.16%
-40.2%
FBIO SellFORTRESS BIOTECH INC$1,747,087
-50.3%
6,018,211
-5.8%
0.15%
-56.2%
SRL SellSCULLY ROYALTY LTD$1,689,459
-23.6%
298,491
-1.7%
0.14%
-32.7%
SellJASPER THERAPEUTICS INC$1,682,033
-50.5%
2,402,904
-3.0%
0.14%
-56.1%
ANEB  ANEBULO PHARMACEUTICALS INC$1,561,328
+30.0%
511,0730.0%0.13%
+14.7%
EHTH  EHEALTH INCcall$1,502,940
-8.0%
203,1000.0%0.13%
-19.0%
AAN  THE AARONS COMPANY INC$1,450,849
-26.0%
138,5720.0%0.12%
-34.4%
AVTE  AEROVATE THERAPEUTICS INC$1,289,150
-20.9%
95,0000.0%0.11%
-30.4%
TGTX NewTG THERAPEUTICS INC$1,254,000150,000
+100.0%
0.11%
RMBL SellRUMBLEON INCcall$1,226,000
-80.2%
200,000
-60.0%
0.10%
-82.4%
NewNEOLEUKIN THERAPEUTICS INC$1,184,996299,999
+100.0%
0.10%
NMTC NewNEUROONE MED TECHNOLOGIES CO$1,113,0001,250,000
+100.0%
0.10%
RZLT  REZOLUTE INC$1,015,880
-33.3%
769,6060.0%0.09%
-40.8%
QURE SellUNIQURE NVcall$991,067
-77.7%
147,700
-61.9%
0.08%
-80.2%
BuyJOURNEY MED CORP$955,337
+236.2%
348,663
+95.1%
0.08%
+203.7%
TBBK SellBANCORP INC DEL$858,912
-93.6%
24,896
-93.9%
0.07%
-94.3%
SGRP BuySPAR GROUP INC$846,747
-11.3%
879,189
+16.0%
0.07%
-21.7%
ACER SellACER THERAPEUTICS INC$748,454
-28.7%
918,349
-19.2%
0.06%
-36.6%
NewACELRX PHARMACEUTICALS INC$680,3491,173,015
+100.0%
0.06%
REPH NewSOCIETAL CDMO INC$586,2501,250,000
+100.0%
0.05%
SRTS  SENSUS HEALTHCARE INC$512,583
-12.1%
185,0480.0%0.04%
-21.4%
TIL NewINSTIL BIO INC$428,0001,000,000
+100.0%
0.04%
NewACELRX PHARMACEUTICALS INCcall$437,900755,000
+100.0%
0.04%
KROS  KEROS THERAPEUTICS INCcall$392,124
-20.7%
12,3000.0%0.03%
-31.2%
SellAPTOSE BIOSCIENCES INC$382,152
-43.7%
136,483
-6.7%
0.03%
-50.0%
LADR  LADDER CAP CORPcl a$277,769
-5.4%
27,0730.0%0.02%
-14.3%
SellELICIO THERAPEUTICS INC$253,500
-71.9%
30,000
-68.4%
0.02%
-74.7%
XGN SellEXAGEN INC$258,381
-26.9%
106,769
-12.4%
0.02%
-35.3%
ADCT SellADC THERAPEUTICS SA$230,674
-87.2%
257,162
-69.4%
0.02%
-88.6%
BuyABEONA THERAPEUTICS INCcall$218,920
+171.6%
52,000
+160.0%
0.02%
+137.5%
TACT SellTRANSACT TECHNOLOGIES INC$199,713
-43.6%
31,108
-21.2%
0.02%
-50.0%
SellLUCID DIAGNOSTICS INC$185,018
-33.1%
158,135
-20.6%
0.02%
-40.7%
BMTX  BM TECHNOLOGIES INC$158,424
-32.9%
79,2120.0%0.01%
-39.1%
RFL  RAFAEL HLDGS INC$138,088
-9.1%
72,6780.0%0.01%
-20.0%
SellAKUMIN INC$142,865
-57.9%
979,196
-48.1%
0.01%
-63.6%
NewKINTARA THERAPEUTICS INC$91,38122,619
+100.0%
0.01%
CUE  CUE BIOPHARMA INC$61,548
-37.0%
26,7600.0%0.01%
-44.4%
GAIA  GAIA INC NEWcl a$62,952
+17.7%
23,1440.0%0.01%0.0%
 GUARDFORCE AI CO LTD*w exp 10/01/202$53,972
+6.1%
154,2050.0%0.01%0.0%
CBIO  CATALYST BIOSCIENCES INC$32,700
+37.2%
67,8000.0%0.00%
+50.0%
 NOGIN INC$29,962
-59.5%
56,4250.0%0.00%
-57.1%
 NOGIN INC*w exp 08/26/202$13,291
-88.1%
330,0000.0%0.00%
-90.9%
 TC BIOPHARM HOLDINGS PLC*w exp 02/08/202$5,176
-48.8%
235,2940.0%0.00%
-100.0%
IMAC ExitIMAC HLDGS INC$0-53,918
-100.0%
-0.00%
FULC ExitFULCRUM THERAPEUTICS INC$0-21,370
-100.0%
-0.01%
ExitEBET INC$0-1,065,432
-100.0%
-0.01%
ExitAVALO THERAPEUTICS INC$0-556,202
-100.0%
-0.02%
ExitEARGO INC$0-54,002
-100.0%
-0.03%
CVNA ExitCARVANA COcl a$0-25,000
-100.0%
-0.06%
ExitBERKSHIRE GREY INC$0-500,000
-100.0%
-0.07%
TSHA ExitTAYSHA GENE THERAPIES INC$0-1,251,139
-100.0%
-0.08%
DHC ExitDIVERSIFIED HEALTHCARE TR$0-395,613
-100.0%
-0.09%
SCYX ExitSCYNEXIS INC$0-300,000
-100.0%
-0.09%
TNL ExitTRAVEL PLUS LEISURE CO$0-23,016
-100.0%
-0.09%
MACK ExitMERRIMACK PHARMACEUTICALS IN$0-111,148
-100.0%
-0.13%
AGLE ExitAEGLEA BIOTHERAPEUTICS INC$0-4,101,193
-100.0%
-0.18%
ExitSTRUCTURE THERAPEUTICS INCsponsored ads$0-50,000
-100.0%
-0.20%
UTHR ExitUNITED THERAPEUTICS CORP DEL$0-15,700
-100.0%
-0.34%
MGTA ExitMAGENTA THERAPEUTICS INC$0-5,000,000
-100.0%
-0.37%
CVNA ExitCARVANA COcall$0-150,000
-100.0%
-0.38%
CBAY ExitCYMABAY THERAPEUTICS INC$0-553,307
-100.0%
-0.59%
IWM ExitISHARES TRcall$0-50,000
-100.0%
-0.90%
AUTL ExitAUTOLUS THERAPEUTICS PLCspon ads$0-4,272,203
-100.0%
-0.98%
Original filings

The following EDGAR filing(s) were analyzed to create this report:

  • View 13F-HR filed 2023-11-14
Signatures

The EDGAR filing(s) were signed by:

About Nantahala Capital Management

Nantahala Capital Management is a hedge fund that was founded in 2004 by Wil Harkey. The firm is headquartered in Connecticut and has additional offices in New York and North Carolina. Nantahala Capital Management primarily invests in the technology, healthcare, and consumer sectors. The firm has a long-term investment approach and seeks to identify undervalued companies with strong growth potential.

Wil Harkey serves as the CEO and Chief Investment Officer of Nantahala Capital Management. He has over 20 years of experience in the finance industry and previously worked at Goldman Sachs and Maverick Capital. In addition to Harkey, the firm's leadership team includes COO and General Counsel, David Kozak, and CFO, Michael Kozak.

Nantahala Capital Management has a strong track record of generating positive returns for its investors. The firm's flagship fund, the Nantahala Fund, has delivered an annualized return of over 20% since its inception in 2006. The firm's success can be attributed to its disciplined investment approach and focus on long-term value creation.

Overall, Nantahala Capital Management is a well-respected hedge fund with a talented leadership team and a strong track record of performance. However, as with any investment, it is important for investors to conduct their own due diligence and carefully consider the risks before investing in the firm's funds.

It's important to note that this information is for educational purposes only and has not been fact-checked. As with any investment, it's important to do your own research and consult with a financial advisor before making any investment decisions.

Top long-term holdings
NameQuarters ownedLatest quarter ownedMax weighting
ISHARES TR42Q3 202327.2%
CODEXIS INC42Q3 20233.9%
PATHWARD FINANCIAL INC35Q3 20236.3%
SCIENTIFIC GAMES CORP34Q3 20225.3%
DOVER MOTORSPORTS INC34Q3 20210.5%
GOLDEN ENTMT INC33Q3 20232.1%
QAD INC32Q3 20212.6%
SCIENTIFIC GAMES CORP31Q4 20217.7%
DOLBY LABORATORIES INC31Q4 20205.6%
LINCOLN EDL SVCS CORP31Q4 20210.7%

View Nantahala Capital Management's complete holdings history.

Latest significant ownerships (13-D/G)
Nantahala Capital Management Q3 2023 significant holdings filed using form 13D/G when ownership exceeds 5% of a company's total stock issue.
FiledShares Percentage
AYTU BIOPHARMA, INCJune 16, 20231,086,81219.7%
Acer Therapeutics Inc.February 14, 20231,226,1917.5%
Aeglea BioTherapeutics, Inc.February 14, 20234,611,3027.5%
AKUMIN INC.February 14, 20232,206,9602.5%
ALTA EQUIPMENT GROUP INC.February 14, 20231,188,9853.7%
Apollo Endosurgery, Inc.February 14, 20234,056,6279.9%
Autolus Therapeutics plcFebruary 14, 20237,782,0184.7%
Bioventus Inc.February 14, 20233,168,5745.1%
CATALYST BIOSCIENCES, INC.February 14, 2023438,0551.4%
Drive Shack Inc.February 14, 20236,500,0007.0%

View Nantahala Capital Management's complete significant-ownership history.

Latest filings
TypeFiled
42024-03-21
42024-03-15
SC 13G2024-03-11
13F-HR/A2024-02-15
13F-HR2024-02-14
SC 13G/A2024-02-14
SC 13G/A2024-02-14
SC 13G/A2024-02-14
SC 13G/A2024-02-14
SC 13G/A2024-02-14

View Nantahala Capital Management's complete filings history.

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