Nantahala Capital Management Q1 2021 13F Holdings

Nantahala Capital Management Q1 2021 holdings
TickerName Value Shares↓ Weighting
IWM ISHARES TR IWMputrussell 2000 etfReduce  $530,256
-11.3%
2,400,000
-21.3%
15.50%
-16.3%
W WAYFAIR INC Wcallcl a  $410,434
39.4%
1,304,0000.0%12.00%
31.5%
QQQ INVESCO QQQ TR QQQputunit ser 1New  $191,478600,0005.60%
ESTA ESTABLISHMENT LABS HLD...Add  $128,790
67.6%
2,059,654
0.9%
3.76%
58.0%
CDXS CODEXIS INCReduce  $95,951
-12.1%
4,191,834
-16.2%
2.80%
-17.1%
IWM ISHARES TR IWMcallrussell 2000 etfNew  $88,376400,0002.58%
TLT ISHARES TR TLTput20 yr tr bd etfNew  $81,270600,0002.38%
SGMS SCIENTIFIC G... SGMScallReduce  $79,324
-55.8%
2,059,300
-52.4%
2.32%
-58.3%
QADA QAD INCcl aReduce  $63,895
-18.2%
959,666
-22.4%
1.87%
-22.8%
IWM ISHARES TRrussell 2000 etfNew  $60,481273,7451.77%
QURE UNIQURE NVAdd  $56,360
-4.7%
1,672,891
2.2%
1.65%
-10.1%
VG VONAGE HLDGS CORPReduce  $54,817
-20.9%
4,637,611
-13.8%
1.60%
-25.4%
CVNA CARVANA CO CVNAcallcl a  $53,451
9.5%
203,7000.0%1.56%
3.3%
SGMS SCIENTIFIC GAMES CORPAdd  $51,813
426.3%
1,345,087
466.9%
1.51%
396.4%
TNL TRAVEL PLUS LEISURE CONew  $51,168836,6261.50%
QURE UNIQURE NV QUREcallAdd  $50,535
25.7%
1,500,000
34.8%
1.48%
18.6%
LXFR LUXFER HOLDINGS PLCReduce  $46,823
21.6%
2,200,347
-6.1%
1.37%
14.8%
APTOSE BIOSCIENCES INCAdd  $46,240
45.2%
7,738,892
6.4%
1.35%
37.0%
THC TENET HEALTH... THCcallReduce  $45,547
-4.6%
875,900
-26.7%
1.33%
-10.0%
CAR AVIS BUDGET GROUPNew  $45,236623,6001.32%
SNDX SYNDAX PHARMACEUTICALS...Add  $44,774
11.9%
2,002,410
11.3%
1.31%
5.6%
CASH META FINL GROUP INCReduce  $44,756
-20.5%
987,784
-35.9%
1.31%
-25.0%
ARKG ARK ETF TR ARKGcallgenomic rev etfNew  $44,365500,0001.30%
SBTX SILVERBACK THERAPEUTIC...Reduce  $42,697
-21.5%
992,242
-17.8%
1.25%
-25.9%
SFT SHIFT TECHNOLOGIES INCcl aAdd  $41,411
32.2%
5,006,840
32.2%
1.21%
24.6%
DXPE DXP ENTERPRISES INCReduce  $38,119
11.8%
1,263,480
-17.6%
1.11%
5.5%
TA TRAVELCENTERS OF AMERI...  $35,025
-16.8%
1,291,0030.0%1.02%
-21.5%
CUE CUE BIOPHARMA INCAdd  $32,989
5.2%
2,703,983
7.9%
0.96%
-0.8%
FBIO FORTRESS BIOTECH INCReduce  $30,368
10.4%
8,602,693
-0.9%
0.89%
4.1%
IMAX IMAX CORPReduce  $29,196
0.1%
1,452,523
-10.2%
0.85%
-5.6%
KROS KEROS THERAPEUTICS INCReduce  $28,336
-24.8%
460,372
-13.9%
0.83%
-29.1%
IMTX IMMATICS N.VReduce  $27,372
0.9%
2,441,765
-2.9%
0.80%
-4.9%
RMR RMR GROUP INCcl aAdd  $26,490
177.7%
649,096
162.8%
0.77%
161.5%
ALTG ALTA EQUIPMENT GROUP INCReduce  $26,339
2.5%
2,026,045
-22.1%
0.77%
-3.3%
EXAS EXACT SCIENC... EXASputAdd  $26,356
32.6%
200,000
33.3%
0.77%
25.0%
MILE METROMILE INCNew  $25,0302,432,4900.73%
CERC CERECOR INCAdd  $23,106
40.4%
7,650,928
22.7%
0.68%
32.4%
GDEN GOLDEN ENTMT INCReduce  $22,944
-43.2%
908,323
-55.3%
0.67%
-46.4%
IMXI INTERNATIONAL MNY EXPR...Reduce  $22,643
-31.6%
1,508,518
-29.3%
0.66%
-35.5%
AKUMIN INCReduce  $21,366
22.7%
5,774,470
-0.2%
0.62%
15.6%
EHTH EHEALTH INCReduce  $20,405
-3.6%
280,562
-6.4%
0.60%
-9.1%
VMD VIEMED HEALTHCARE INCReduce  $19,538
28.3%
1,930,590
-1.1%
0.57%
21.0%
CRIS CURIS INCAdd  $18,822
40.7%
1,662,711
1.8%
0.55%
32.9%
TDOC TELADOC HEAL... TDOCputNew  $18,175100,0000.53%
AKBA AKEBIA THERAPEUTICS INCReduce  $17,436
-11.6%
5,150,819
-26.8%
0.51%
-16.5%
WVE WAVE LIFE SCIENCES LTDReduce  $16,172
-38.8%
2,882,786
-14.1%
0.47%
-42.2%
DHX DHI GROUP INCReduce  $16,115
50.0%
4,810,513
-0.6%
0.47%
41.4%
FTOC FTAC OLYMPUS ACQUISITI...New  $15,9491,508,8890.47%
PAYA PAYA HOLDINGS INCAdd  $15,280
3.2%
1,394,116
26.7%
0.45%
-2.6%
VG VONAGE HLDGS... VGcallAdd  $14,775
129.5%
1,250,000
150.0%
0.43%
117.1%
DARIOHEALTH CORPAdd  $14,449
70.2%
750,194
26.2%
0.42%
60.5%
FTIVU FINTECH ACQUISITION CO...unit 12/31/2025  $13,776
-3.8%
1,200,0000.0%0.40%
-9.2%
AGLE AEGLEA BIOTHERAPEUTICS...Reduce  $13,560
-12.7%
1,712,088
-13.3%
0.40%
-17.7%
CBIO CATALYST BIOSCIENCES INCAdd  $12,909
9.7%
2,561,334
37.3%
0.38%
3.3%
APEN APOLLO ENDOSURGERY INCReduce  $12,563
61.4%
2,279,970
-0.4%
0.37%
52.3%
ZVO ZOVIO INCAdd  $12,551
-6.8%
3,091,286
8.8%
0.37%
-12.0%
SPCE VIRGIN GALAC... SPCEcallNew  $12,252400,0000.36%
HOOK HOOKIPA PHARMA INCNew  $12,105900,0000.35%
FALCON MINERALS CORPReduce  $12,072
8.3%
2,688,653
-24.0%
0.35%
2.3%
FTCVU FINTECH ACQUISITION CO...unit 99/99/9999  $11,950
12.0%
1,000,0000.0%0.35%
5.4%
RDI READING INTL INCcl aAdd  $11,760
18.1%
2,118,875
6.8%
0.34%
11.3%
IIIIU INSU ACQUISITION CORP IIIunit 12/31/2026  $10,100
-4.4%
1,000,0000.0%0.30%
-10.1%
HERAU FTAC HERA ACQUISITION ...unit 02/28/2026New  $9,9901,000,0000.29%
FTAAU FTAC ATHENA ACQUISITIO...unit 99/99/9999New  $10,0001,000,0000.29%
FTAC PARNASSUS ACQUISI...unit 03/10/2026New  $9,9301,000,0000.29%
SLNO SOLENO THERAPEUTICS INCReduce  $9,849
-35.2%
7,816,729
-0.7%
0.29%
-38.9%
ARYA ARYA SCIENCES ACQUISIT...Add  $9,739
28.2%
706,770
1.0%
0.28%
21.3%
LINC LINCOLN EDL SVCS CORPReduce  $9,578
-5.2%
1,494,298
-3.9%
0.28%
-10.5%
HARP HARPOON THERAPEUTICS INCNew  $9,473452,8130.28%
ZGNX ZOGENIX INCReduce  $9,234
-9.8%
473,055
-7.6%
0.27%
-14.8%
IKENA ONCOLOGY INCNew  $9,181325,0000.27%
ACAD ACADIA PHARM... ACADcallNew  $7,740300,0000.23%
SSKN STRATA SKIN SCIENCES INCReduce  $7,655
9.0%
4,583,908
-2.1%
0.22%
2.8%
PAR TECHNOLOGY CORPnote 2.875% 4/1New  $7,5066,000,0000.22%
HCA HCA HEALTHCARE INCReduce  $6,705
-20.6%
35,600
-30.6%
0.20%
-25.2%
XGN EXAGEN INCNew  $6,551374,3150.19%
SRL SCULLY ROYALTY LTDReduce  $6,487
74.0%
743,953
-1.2%
0.19%
63.8%
LAVA THERAPEUTICS NVNew  $5,791381,2270.17%
RILY B. RILEY FINANCIAL INCNew  $5,724101,5320.17%
DVD DOVER MOTORSPORTS INCAdd  $5,350
24.4%
2,597,086
37.0%
0.16%
17.3%
TFFP TFF PHARMACEUTICALS INCReduce  $5,191
-79.4%
382,553
-78.3%
0.15%
-80.6%
ACET ADICET BIO INCAdd  $5,178
7.1%
395,875
15.1%
0.15%
0.7%
RGS REGIS CORP MINN RGSputNew  $5,024400,0000.15%
GLMD GALMED PHARMACEUTICALS...Reduce  $4,162
-30.6%
1,213,540
-37.0%
0.12%
-34.4%
ARYD ARYA SCIENCES ACQU COR...cl aNew  $4,189400,0000.12%
IMAC IMAC HLDGS INCNew  $4,1252,500,0000.12%
ROCRU ROTH CH ACQUISITION II...unit 02/26/2026New  $4,000400,0000.12%
MACK MERRIMACK PHARMACEUTIC...Reduce  $3,824
-26.2%
608,974
-19.0%
0.11%
-30.4%
BRPMU B RILEY PRINCIPAL 150 ...unit 99/99/9999New  $3,750375,0000.11%
MILEW METROMILE INC*w exp 02/09/202New  $3,405524,9640.10%
SFT SHIFT TECHNO... SFTcallcl aNew  $3,328400,0000.10%
AFI ARMSTRONG FLOORING INCReduce  $2,980
-52.1%
609,349
-62.6%
0.09%
-54.9%
HCAQ HEALTHCOR CATALIO ACQU...New  $2,906290,5960.08%
ACER ACER THERAPEUTICS INCReduce  $2,907
12.1%
934,755
-5.6%
0.08%
6.2%
TBBK BANCORP INC DELReduce  $2,893
-92.3%
139,629
-94.9%
0.08%
-92.7%
TELIGENT INC NEWNew  $2,5844,155,0450.08%
ANGN ANGION BIOMEDICA CORPNew  $2,259125,0000.07%
FTOCW FTAC OLYMPUS ACQUISITI...*w exp 08/28/202New  $2,035333,3270.06%
HTGM HTG MOLECULAR DIAGNOST...  $1,989
14.2%
363,6220.0%0.06%
7.4%
BCTG BCTG ACQUISITION CORPReduce  $1,956
-14.5%
175,915
-12.0%
0.06%
-19.7%
CELC CELCUITY INCNew  $1,912133,3670.06%
FVAM 5 01 ACQUISITION CORPNew  $1,862186,6500.05%
ALTGWS ALTA EQUIPMENT GROUP INC*w exp 02/14/202Reduce  $1,633
64.5%
179,300
-4.4%
0.05%
54.8%
BOLT BOLT BIOTHERAPEUTICS INCNew  $1,64650,0000.05%
IMTXW IMMATICS N.V*w exp 07/01/202  $1,614
7.7%
226,4710.0%0.05%
2.2%
KTRA KINTARA THERAPEUTICS INCAdd  $1,571
350.1%
902,677
230.7%
0.05%
318.2%
CDXS CODEXIS INC CDXScallReduce  $1,229
-81.2%
53,700
-82.1%
0.04%
-82.3%
SIC SELECT INTERIOR CONCEP...cl aReduce  $1,127
-91.7%
156,573
-91.8%
0.03%
-92.2%
AAN THE AARONS COMPANY INCNew  $89935,0260.03%
THC TENET HEALTHCARE CORPReduce  $853
-96.2%
16,408
-97.1%
0.02%
-96.4%
TSHA TAYSHA GENE THERAPIES INCReduce  $750
-64.0%
36,956
-53.0%
0.02%
-66.2%
FALCON MINERALS CORP*w exp 07/21/202  $714
90.4%
878,0220.0%0.02%
75.0%
SIGA SIGA TECHNOLOGIES INCReduce  $681
-70.8%
104,702
-67.4%
0.02%
-72.2%
CYRN CYREN LTDReduce  $487
-74.3%
598,540
-67.5%
0.01%
-76.3%
MDIA MEDIACO HLDG INCcl a  $346
28.1%
103,6800.0%0.01%
25.0%
ATXI AVENUE THERAPEUTICS INC  $183
1.7%
30,2110.0%0.01%
-16.7%
MOTS MOTUS GI HLDGS INCSold out  $0-415,501-0.01%
NK NANTKWEST INCSold out  $0-52,771-0.02%
AMCX AMC NETWORKS INCcl aSold out  $0-25,751-0.03%
CVNA CARVANA COcl aSold out  $0-3,843-0.03%
SFTTW SHIFT TECHNOLOGIES INC*w exp 10/13/202Sold out  $0-249,999-0.04%
CURIW CURIOSITYSTREAM INC*w exp 10/14/202Sold out  $0-200,000-0.09%
STRM STREAMLINE HEALTH SOLU...Sold out  $0-2,753,599-0.13%
CEREW CEREVEL THERAPEUTICS H...*w exp 06/09/202Sold out  $0-283,332-0.13%
PRTY PARTY CITY HOLDCO INCSold out  $0-834,002-0.16%
PAYAW PAYA HOLDINGS INC*w exp 10/16/202Sold out  $0-538,510-0.16%
XELA EXELA TECHNOLOGIES INCSold out  $0-15,168,086-0.20%
SCPL SCIPLAY CORPORATIONcl aSold out  $0-510,122-0.22%
INAQW INSU ACQUISITION CORP II*w exp 09/01/202Sold out  $0-524,964-0.25%
PRCH PORCH GROUP INCSold out  $0-600,000-0.25%
NATR NATURES SUNSHINE PRODS...Sold out  $0-600,409-0.28%
RFL RAFAEL HLDGS INCSold out  $0-389,370-0.28%
BMYRT BRISTOL-MYERS SQUIBB COright 99/99/9999Sold out  $0-14,602,975-0.31%
YTRA YATRA ONLINE INCSold out  $0-5,315,350-0.32%
FTOCU FTAC OLYMPUS ACQUISITI...unit 08/24/2025Sold out  $0-1,000,000-0.34%
CERE CEREVEL THERAPEUTICS H...Sold out  $0-685,704-0.35%
PLCE CHILDRENS PL INCSold out  $0-252,472-0.39%
PAR PAR TECHNOLOGY CORPSold out  $0-202,312-0.39%
CRHM CRH MED CORPSold out  $0-6,892,005-0.50%
JYNT JOINT CORPSold out  $0-693,172-0.56%
EVRI EVERI HLDGS INCSold out  $0-1,363,786-0.58%
BDSI BIODELIVERY SCIENCES I...Sold out  $0-5,123,671-0.67%
UPLD UPLAND SOFTWARE INCSold out  $0-501,100-0.71%
CAR AVIS BUDGET ... CARcallSold out  $0-657,700-0.76%
HCA HCA HEALTHCA... HCAputSold out  $0-150,000-0.76%
INAQ INSU ACQUISITION CORP IISold out  $0-1,698,075-0.82%
FCFS FIRSTCASH INCSold out  $0-387,189-0.84%
WYND WYNDHAM DESTINATIONS INCSold out  $0-1,117,394-1.55%
VAC MARRIOTT VACTINS WORLD...Sold out  $0-384,987-1.64%
DLB DOLBY LABORATORIES INCSold out  $0-770,845-2.32%