Nantahala Capital Management Q3 2021 13F Holdings

Nantahala Capital Management Q3 2021 holdings
TickerName Value Shares↓ Weighting
IWM ISHARES TR IWMputrussell 2000 etfAdd  $481,250
4.9%
2,200,000
10.0%
15.17%
16.4%
W WAYFAIR INC Wcallcl aReduce  $206,375
-49.9%
807,700
-38.1%
6.50%
-44.4%
ESTA ESTABLISHMENT LABS HLD...Add  $147,243
-12.5%
2,057,039
6.7%
4.64%
-3.0%
SGMS SCIENTIFIC G... SGMScall  $129,531
7.3%
1,559,3000.0%4.08%
19.0%
CDXS CODEXIS INCReduce  $87,207
-0.3%
3,749,241
-2.9%
2.75%
10.5%
TLT ISHARES TR TLTput20 yr tr bd etfReduce  $86,592
-50.0%
600,000
-50.0%
2.73%
-44.6%
QADA QAD INCcl a  $80,989
0.4%
926,7560.0%2.55%
11.4%
QURE UNIQURE NV QUREcall  $67,410
3.9%
2,105,9000.0%2.12%
15.2%
CAR AVIS BUDGET ... CARputNew  $64,081550,0002.02%
TA TRAVELCENTERS OF AMERI...Reduce  $63,361
67.9%
1,272,570
-1.4%
2.00%
86.3%
XBI SPDR SER TR XBIputs&p biotechAdd  $62,855
16.1%
500,000
25.0%
1.98%
28.7%
CVNA CARVANA CO CVNAcallcl a  $61,424
-0.1%
203,7000.0%1.94%
10.8%
CASH META FINL GROUP INCAdd  $60,420
11.1%
1,151,305
7.2%
1.90%
23.2%
THC TENET HEALTH... THCcall  $58,195
-0.8%
875,9000.0%1.83%
10.0%
QURE UNIQURE NVReduce  $56,313
3.7%
1,759,218
-0.2%
1.78%
15.0%
MLHR MILLER HERMAN INCAdd  $55,314
-14.1%
1,468,766
7.5%
1.74%
-4.8%
TNL TRAVEL PLUS ... TNLcallNew  $54,5301,000,0001.72%
IMAX IMAX CORPAdd  $53,457
13.5%
2,816,492
28.5%
1.68%
25.8%
TNL TRAVEL PLUS LEISURE COAdd  $50,838
3.0%
932,294
12.3%
1.60%
14.3%
SNDX SYNDAX PHARMACEUTICALS...Add  $50,778
14.0%
2,657,159
2.5%
1.60%
26.5%
VG VONAGE HLDGS CORPReduce  $47,752
-22.3%
2,962,298
-30.6%
1.50%
-13.9%
MRK MERCK & CO INC MRKcallNew  $45,066600,0001.42%
GDEN GOLDEN ENTMT INCAdd  $44,242
36.0%
901,237
24.1%
1.39%
50.9%
LXFR LUXFER HOLDINGS PLCAdd  $41,473
-10.9%
2,112,728
0.9%
1.31%
-1.2%
CUE CUE BIOPHARMA INCReduce  $37,461
20.1%
2,571,082
-4.0%
1.18%
33.3%
DXPE DXP ENTERPRISES INCReduce  $34,769
-18.4%
1,175,806
-8.1%
1.10%
-9.4%
IMTX IMMATICS N.VAdd  $34,417
16.5%
2,647,449
4.0%
1.08%
29.3%
IMAX IMAX CORP IMAXcallAdd  $34,164
164.8%
1,800,000
200.0%
1.08%
193.5%
SFT SHIFT TECHNOLOGIES INCcl aReduce  $31,051
-27.6%
4,474,220
-10.6%
0.98%
-19.7%
KROS KEROS THERAPEUTICS INCAdd  $30,081
18.3%
760,383
27.0%
0.95%
31.1%
ALTG ALTA EQUIPMENT GROUP INCReduce  $26,638
-2.4%
1,940,082
-5.6%
0.84%
8.1%
FBIO FORTRESS BIOTECH INCAdd  $26,213
-2.5%
8,140,794
8.1%
0.83%
8.1%
RDVT RED VIOLET INC  $25,810
9.7%
1,000,0000.0%0.81%
21.7%
IMXI INTERNATIONAL MNY EXPR...Reduce  $25,612
0.1%
1,533,660
-10.9%
0.81%
11.0%
RHP RYMAN HOSPIT... RHPputNew  $25,110300,0000.79%
TSHA TAYSHA GENE THERAPIES INCAdd  $23,262
154.0%
1,249,309
189.1%
0.73%
181.9%
APEN APOLLO ENDOSURGERY INCAdd  $22,780
21.4%
2,514,328
8.5%
0.72%
34.7%
IWM ISHARES TRrussell 2000 etfNew  $21,78699,5930.69%
RMR RMR GROUP INCcl aReduce  $20,965
-17.9%
626,751
-5.2%
0.66%
-9.0%
VG VONAGE HLDGS... VGcall  $20,150
11.9%
1,250,0000.0%0.64%
24.0%
CRIS CURIS INCAdd  $19,279
14.7%
2,462,248
18.2%
0.61%
27.2%
AUTL AUTOLUS THERAPEUTICS PLCspon adsAdd  $19,236
61.5%
2,936,791
63.7%
0.61%
79.3%
SMLR SEMLER SCIENTIFIC INCNew  $18,182145,4190.57%
RDI READING INTL INCcl aAdd  $17,560
8.7%
3,470,315
49.8%
0.55%
20.5%
PTON PELOTON INTE... PTONcall  $17,410
-29.8%
200,0000.0%0.55%
-22.1%
PAYA PAYA HOLDINGS INCReduce  $16,100
-2.2%
1,481,096
-0.9%
0.51%
8.3%
DHX DHI GROUP INCReduce  $16,068
25.8%
3,375,606
-10.7%
0.51%
39.4%
APTOSE BIOSCIENCES INCReduce  $16,035
-36.0%
7,355,730
-2.5%
0.50%
-29.0%
AKUMIN INCAdd  $15,675
-20.0%
6,320,740
1.6%
0.49%
-11.3%
AVALO THERAPEUTICS INCNew  $15,1566,952,4010.48%
BBQ BBQ HLDGS INC  $15,090
-20.5%
1,000,0000.0%0.48%
-11.7%
DARIOHEALTH CORP  $14,518
-36.1%
1,063,5150.0%0.46%
-29.0%
AKBA AKEBIA THERAPEUTICS INCReduce  $14,337
-26.8%
4,978,195
-3.7%
0.45%
-18.9%
EXAS EXACT SCIENC... EXASputAdd  $14,318
15.2%
150,000
50.0%
0.45%
27.8%
TDOC TELADOC HEAL... TDOCputReduce  $12,681
-68.2%
100,000
-58.3%
0.40%
-64.7%
SBTX SILVERBACK THERAPEUTIC...Reduce  $12,242
-68.7%
1,226,631
-3.1%
0.39%
-65.3%
AGLE AEGLEA BIOTHERAPEUTICS...Reduce  $12,060
3.3%
1,516,955
-9.5%
0.38%
14.5%
HLF HERBALIFE NU... HLFcall  $11,782
-19.6%
278,0000.0%0.37%
-10.8%
FALCON MINERALS CORPReduce  $11,726
-12.1%
2,494,913
-5.0%
0.37%
-2.4%
SPCE VIRGIN GALAC... SPCEcall  $10,120
-45.0%
400,0000.0%0.32%
-39.0%
FTCV FINTECH ACQUISITION CO...New  $10,043991,4320.32%
FTVIU FINTECH ACQUISITION CO...unit 06/24/2026  $10,000
-0.9%
1,000,0000.0%0.32%
9.8%
CBIO CATALYST BIOSCIENCES INCReduce  $9,996
-8.8%
2,432,212
-3.9%
0.32%
1.3%
ARYA SCIENCES ACQUISIT...New  $9,8801,000,0000.31%
PAR TECHNOLOGY CORPnote 2.875% 4/1  $9,829
-9.7%
6,000,0000.0%0.31%
0.3%
IIII INSU ACQUISITION CORP IIINew  $9,820999,9960.31%
HERA FTAC HERA ACQUISITION ...New  $9,740999,9910.31%
LINC LINCOLN EDL SVCS CORPReduce  $9,598
-15.4%
1,434,674
-1.6%
0.30%
-6.2%
SLNO SOLENO THERAPEUTICS INC  $9,028
-18.9%
9,765,1290.0%0.28%
-9.8%
HCA HCA HEALTHCARE INC  $8,641
17.4%
35,6000.0%0.27%
30.1%
SRL SCULLY ROYALTY LTDReduce  $8,540
-9.9%
752,434
-3.5%
0.27%0.0%
SSKN STRATA SKIN SCIENCES INCReduce  $8,419
17.7%
4,575,812
-0.2%
0.26%
30.5%
VMD VIEMED HEALTHCARE INCReduce  $7,954
-34.6%
1,433,201
-15.7%
0.25%
-27.2%
ZGNX ZOGENIX INCAdd  $7,318
9.5%
481,782
24.6%
0.23%
21.6%
ZVO ZOVIO INCReduce  $7,173
-11.8%
3,001,190
-4.5%
0.23%
-2.2%
PRTY PARTY CITY H... PRTYcall  $7,100
-23.9%
1,000,0000.0%0.22%
-15.5%
MILE METROMILE INCReduce  $6,746
-73.0%
1,900,177
-30.5%
0.21%
-70.0%
NAUT NAUTILUS BIOTECHNOLOGY...Reduce  $6,412
-46.7%
1,044,267
-12.3%
0.20%
-40.9%
PWP PERELLA WEINBERG PARTNERSReduce  $6,370
-67.2%
480,784
-68.2%
0.20%
-63.6%
DVD DOVER MOTORSPORTS INCReduce  $6,258
7.1%
2,586,043
-0.4%
0.20%
18.7%
PAYO PAYONEER GLOBAL INCReduce  $5,602
-70.1%
655,169
-63.8%
0.18%
-66.8%
RILY B. RILEY FINANCIAL INCReduce  $5,535
-22.7%
93,757
-1.2%
0.17%
-14.3%
ACAD ACADIA PHARM... ACADcall  $4,983
-31.9%
300,0000.0%0.16%
-24.5%
ATHN ATHENA TECHNOLOGY ACQU...New  $4,959499,5860.16%
WVE WAVE LIFE SCIENCES LTDReduce  $4,871
-59.2%
994,131
-44.6%
0.15%
-54.7%
ARYD ARYA SCIENCES ACQU COR...cl aReduce  $4,012
-6.4%
399,248
-0.2%
0.13%
3.3%
IMV IMV INCNew  $3,7652,268,0300.12%
BRPMU B RILEY PRINCIPAL 150 ...unit 99/99/9999  $3,754
-1.2%
375,0000.0%0.12%
9.3%
IMAC IMAC HLDGS INCReduce  $3,573
-27.1%
2,414,310
-2.4%
0.11%
-18.7%
HCAQ HEALTHCOR CATALIO ACQU...  $3,508
0.5%
354,2960.0%0.11%
12.1%
IDWM IDW MEDIA HLDGS INCcl bNew  $3,5281,242,2430.11%
HARP HARPOON THERAPEUTICS INCReduce  $3,306
-46.2%
418,483
-5.6%
0.10%
-40.6%
FARADAY FUTRE INTLGT E...New  $3,304350,0000.10%
TMC THE METALS COMPANY...New  $3,199700,0000.10%
HOOK HOOKIPA PHARMA INCReduce  $2,918
-37.8%
495,388
-3.3%
0.09%
-30.8%
XGN EXAGEN INCReduce  $2,878
-47.8%
211,616
-42.5%
0.09%
-42.0%
MACK MERRIMACK PHARMACEUTIC...Reduce  $2,753
-24.7%
569,971
-0.3%
0.09%
-16.3%
IN8BIO INCNew  $2,569375,0000.08%
KIRK KIRKLANDS INC KIRKput  $2,545
-16.1%
132,5000.0%0.08%
-7.0%
ACET ADICET BIO INC  $2,435
-23.8%
310,5400.0%0.08%
-15.4%
ACER ACER THERAPEUTICS INCReduce  $2,340
-12.5%
914,197
-2.2%
0.07%
-2.6%
NPCE NEUROPACE INCReduce  $2,245
-36.0%
141,641
-3.9%
0.07%
-29.0%
LVTX LAVA THERAPEUTICS NVReduce  $2,186
-47.3%
369,290
-3.1%
0.07%
-41.5%
GUARDFORCE AI CO LTDNew  $2,111533,1280.07%
TFFP TFF PHARMACEUTICALS INCReduce  $2,093
-40.8%
271,067
-26.3%
0.07%
-34.0%
ELOX ELOXX PHARMACEUTICALS INCReduce  $1,971
-56.3%
1,209,338
-46.6%
0.06%
-51.6%
UNICYCIVE THERAPEUTICS...New  $1,981700,0000.06%
HTGM HTG MOLECULAR DIAGNOST...Reduce  $1,982
-6.2%
347,171
-4.5%
0.06%
3.3%
FVAM 5 01 ACQUISITION CORPReduce  $1,819
-2.3%
185,213
-0.8%
0.06%
7.5%
RGS REGIS CORP MINN RGSputReduce  $1,740
-66.2%
500,000
-9.1%
0.06%
-62.3%
SGMS SCIENTIFIC GAMES CORPReduce  $1,730
-90.6%
20,827
-91.2%
0.06%
-89.5%
CARIBOU BIOSCIENCES INCNew  $1,34756,4180.04%
TANGO THERAPEUTICS INCNew  $1,293100,0000.04%
PWPPW PERELLA WEINBERG PARTNERS*w exp 12/31/202  $1,264
13.7%
400,0000.0%0.04%
25.0%
ANGN ANGION BIOMEDICA CORPReduce  $1,158
-28.9%
118,521
-5.2%
0.04%
-21.7%
TACT TRANSACT TECHNOLOGIES INCNew  $1,06576,5830.03%
GLMD GALMED PHARMACEUTICALS...Reduce  $1,045
-63.6%
374,730
-60.3%
0.03%
-59.8%
IMTXW IMMATICS N.V*w exp 07/01/202  $958
23.0%
226,4710.0%0.03%
36.4%
FTCVW FINTECH ACQUISITION CO...*w exp 12/31/202New  $697333,3310.02%
KTRA KINTARA THERAPEUTICS INCAdd  $582
-51.0%
663,279
26.8%
0.02%
-47.1%
GUARDFORCE AI CO LTD*w exp 09/01/202New  $480600,0000.02%
MILEW METROMILE INC*w exp 02/09/202  $475
-61.5%
558,2960.0%0.02%
-57.1%
IIIIW INSU ACQUISITION CORP III*w exp 12/31/202New  $292333,3320.01%
HERAW FTAC HERA ACQUISITION ...*w exp 02/28/202New  $257249,9970.01%
TELIGENT INC NEWReduce  $207
-84.0%
525,952
-78.3%
0.01%
-81.1%
FALCON MINERALS CORP*w exp 07/21/202  $127
-24.0%
878,0220.0%0.00%
-20.0%
ROCRW ROTH CH ACQUISITION II...*w exp 02/26/202New  $12899,7490.00%
CYRN CYREN LTDReduce  $95
-80.4%
152,393
-74.5%
0.00%
-78.6%
RGS REGIS CORP MINNNew  $5315,2680.00%
ATXI AVENUE THERAPEUTICS INC  $45
-40.8%
30,2110.0%0.00%
-50.0%
SIGA SIGA TECHNOLOGIES INCSold out  $0-49,605-0.01%
MDIA MEDIACO HLDG INCcl aSold out  $0-103,680-0.01%
PAYOW PAYONEER GLOBAL INC*w exp 06/25/202Sold out  $0-333,327-0.02%
BOLT BOLT BIOTHERAPEUTICS INCSold out  $0-50,000-0.02%
SOACWS SUSTAINABLE OPPORTNTS ...*w exp 99/99/999Sold out  $0-802,758-0.03%
ROCRU ROTH CH ACQUISITION II...unit 02/26/2026Sold out  $0-399,006-0.12%
IKNA IKENA ONCOLOGY INCSold out  $0-349,660-0.14%
CAR AVIS BUDGET GROUPSold out  $0-103,100-0.23%
SRNG SOARING EAGLE ACQUISIT...Sold out  $0-979,358-0.28%
HERAU FTAC HERA ACQUISITION ...unit 02/28/2026Sold out  $0-1,000,000-0.28%
IIIIU INSU ACQUISITION CORP IIIunit 12/31/2026Sold out  $0-1,000,000-0.29%
FTPAU FTAC PARNASSUS ACQUISI...unit 03/10/2026Sold out  $0-1,000,000-0.29%
FTAAU FTAC ATHENA ACQUISITIO...unit 99/99/9999Sold out  $0-1,000,000-0.29%
HOME AT HOME GROUP INCSold out  $0-285,000-0.30%
FTCVU FINTECH ACQUISITION CO...unit 99/99/9999Sold out  $0-1,000,000-0.37%
BKE BUCKLE INC BKEcallSold out  $0-400,000-0.56%
CERC CERECOR INCSold out  $0-6,325,677-0.59%
MLHR MILLER HERMA... MLHRcallSold out  $0-500,000-0.67%
IWO ISHARES TR IWOputrus 2000 grw etfSold out  $0-300,000-2.66%
  • Nantahala Capital Management Q3 2021 Portfolio
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  • Quarter
    Q3 2021
  • Total value
    $3.17 Billion
  • Holdings
    130
  • Turnover
    38.8%
  • EDGAR