Nantahala Capital Management, LLC Q3 2018

Nantahala Capital Management, LLC holdings Q3 2018
Name ValueChangeSharesChangeWeightingChange
ISHARES TR (PUT)russell 2000 etf$741,620
126.42%
4,400,000
120.00%
19.95%
50.48%
ISHARES TR (PUT)u.s. real es etfNew $240,0603,000,0006.46%
EXACT SCIENCES CORP (PUT)$235,087
110.40%
2,978,800
59.40%
6.33%
39.83%
SCIENTIFIC GAMES CORP (CALL)$164,503
47.02%
6,476,500
184.49%
4.43%
-2.29%
FIAT CHRYSLER AUTOMOBILES N (CALL)$139,555
2.61%
7,970,000
10.69%
3.76%
-31.80%
CODEXIS INC$114,561
19.10%
6,679,9540.00%3.08%
-20.85%
HCA HEALTHCARE INC (PUT)$97,384
374.58%
700,000
250.00%
2.62%
215.42%
SPDR SERIES TRUST (PUT)s&p biotech$95,870
83.12%
1,000,000
81.82%
2.58%
21.70%
WORLD ACCEP CORP DEL$83,187
21.51%
727,412
17.95%
2.24%
-19.24%
ALTABA INC$79,816
-6.95%
1,171,6910.00%2.15%
-38.16%
RH (CALL)$78,096
61.52%
596,100
72.23%
2.10%
7.35%
UNIQURE NV$68,503
3.18%
1,882,471
7.18%
1.84%
-31.43%
ARQULE INC$68,497
1.34%
12,101,879
-0.98%
1.84%
-32.64%
UNIQURE NV (CALL)$65,502
-3.73%
1,800,0000.00%1.76%
-36.02%
SODASTREAM INTERNATIONAL LTD (CALL)$63,041
64.23%
440,600
-2.09%
1.70%
9.15%
LUXFER HOLDINGS PLC$61,514
33.01%
2,645,7490.00%1.66%
-11.60%
TENET HEALTHCARE CORP$60,005
11.42%
2,108,403
31.42%
1.61%
-25.95%
GOLDEN ENTMT INC$57,775
9.35%
2,406,298
22.93%
1.55%
-27.32%
ISHARES TR (PUT)nasdaq biotechNew $48,776400,0001.31%
EXELA TECHNOLOGIES INC$47,504
50.11%
6,662,5820.00%1.28%
-0.24%
QAD INCcl a$47,186
36.99%
832,927
21.27%
1.27%
-8.95%
CURO GROUP HLDGS CORP$44,647
45.49%
1,476,902
20.07%
1.20%
-3.31%
META FINL GROUP INC$44,591
-4.59%
539,516
12.44%
1.20%
-36.59%
SPDR S&P 500 ETF TR (CALL)tr unit$43,608
60.75%
150,000
50.00%
1.17%
6.84%
CARVANA COcl aNew $43,473735,7001.17%
AKEBIA THERAPEUTICS INC$41,715
-7.59%
4,724,211
4.45%
1.12%
-38.58%
DXP ENTERPRISES INC NEW$38,749
31.07%
967,028
24.96%
1.04%
-12.89%
NUTRI SYS INC NEW (PUT)$37,050
20.29%
1,000,000
25.00%
1.00%
-20.05%
TENET HEALTHCARE CORP (CALL)$36,287
96.53%
1,275,000
131.82%
0.98%
30.62%
ARMSTRONG FLOORING INC$32,155
38.55%
1,776,513
7.47%
0.87%
-7.92%
PARTY CITY HOLDCO INC$32,098
-1.52%
2,368,883
10.83%
0.86%
-34.55%
DOLBY LABORATORIES INC$30,922
-19.84%
441,932
-29.32%
0.83%
-46.72%
HERTZ GLOBAL HLDGS INC (CALL)$29,394
139.52%
1,800,000
125.00%
0.79%
59.19%
SODASTREAM INTERNATIONAL LTD$29,312
40.37%
204,865
-16.32%
0.79%
-6.71%
ON DECK CAP INC$28,767
9.58%
3,800,145
1.33%
0.77%
-27.17%
CAESARS ENTMT CORP (CALL)New $25,6252,500,0000.69%
GLOBAL EAGLE ENTMT INC$25,387
11.90%
9,002,6290.00%0.68%
-25.63%
CRH MEDICAL CORP$24,513
59.22%
6,155,826
25.13%
0.66%
5.82%
AEGLEA BIOTHERAPEUTICS INC$24,186
3.30%
2,527,260
14.20%
0.65%
-31.35%
BANCORP INC DEL$23,295
30.13%
2,429,139
41.94%
0.63%
-13.51%
INTERNATIONAL MNY EXPRESS INNew $21,4041,780,6980.58%
ACER THERAPEUTICS INC$21,322
294.49%
691,388
176.28%
0.57%
162.18%
BLOCK H & R INC (PUT)$20,600
13.04%
800,0000.00%0.55%
-24.87%
BRIDGEPOINT ED INC$19,630
41.38%
1,932,134
-9.13%
0.53%
-6.04%
ADT INC (CALL)$18,780
8.55%
2,000,0000.00%0.51%
-27.85%
FALCON MINERALS CORPNew $16,9251,538,6080.46%
SIGA TECHNOLOGIES INC$16,181
10.43%
2,348,457
-4.80%
0.44%
-26.61%
SYNERGY PHARMACEUTICALS DEL$14,048
-30.27%
8,263,335
-28.63%
0.38%
-53.66%
GALMED PHARMACEUTICALS LTD$11,389
29.14%
838,674
13.16%
0.31%
-14.17%
OWENS RLTY MTG INC$11,304
1.66%
669,273
0.40%
0.30%
-32.43%
VIVEVE MED INC$10,581
-1.47%
3,948,1320.00%0.28%
-34.52%
RHNew $10,13177,3280.27%
GENERAL MTRS CO (PUT)$10,101
-14.54%
300,0000.00%0.27%
-43.20%
FTD COS INC$9,759
-4.34%
3,710,763
68.77%
0.26%
-36.42%
TILLYS INCcl a$9,704
25.08%
512,1030.00%0.26%
-16.87%
DHI GROUP INC$9,633
-0.54%
4,587,341
11.31%
0.26%
-33.90%
PG&E CORPNew $9,432205,0000.25%
GTT COMMUNICATIONS INCNew $9,186211,6580.25%
STRATA SKIN SCIENCES INC$9,058
112.58%
2,558,891
23.11%
0.24%
41.28%
JOINT CORP$8,761
100.25%
1,024,721
91.60%
0.24%
33.09%
APOLLO ENDOSURGERY INC$8,547
88.38%
1,191,985
83.40%
0.23%
25.20%
CHEMOCENTRYX INC$8,132
0.37%
643,338
4.58%
0.22%
-33.29%
CUE BIOPHARMA INC$7,721
53.68%
853,098
101.40%
0.21%
2.14%
AKEBIA THERAPEUTICS INC (CALL)$7,515
-11.52%
851,0000.00%0.20%
-41.19%
SCIENTIFIC GAMES CORP$7,242
-71.94%
285,100
-45.71%
0.19%
-81.35%
FLWS/1-800 FLOWERScl aNew $6,868582,0510.18%
IOVANCE BIOTHERAPEUTICS INC$6,769
-35.90%
601,710
-27.07%
0.18%
-57.40%
FORD MTR CO DEL (PUT)$6,475
-16.44%
700,0000.00%0.17%
-44.47%
GAIA INC NEWcl a$6,437
-8.66%
417,996
20.12%
0.17%
-39.29%
SEARS HOMETOWN & OUTLET STOR$6,366
39.30%
2,176,2510.00%0.17%
-7.42%
EMMIS COMMUNICATIONS CORP$5,716
-1.14%
1,092,9510.00%0.15%
-34.30%
LINCOLN EDL SVCS CORP$5,462
45.34%
2,416,805
11.90%
0.15%
-3.40%
RED ROCK RESORTS INC (PUT)cl a$5,330
-20.45%
200,0000.00%0.14%
-47.13%
NATURES SUNSHINE PRODUCTS IN$5,047
-6.38%
576,807
0.04%
0.14%
-37.78%
ESTABLISHMENT LABS HLDGS INCNew $4,820200,0000.13%
BIODELIVERY SCIENCES INTL INNew $4,6671,666,6670.13%
MFC BANCORP LTD$4,603
15.28%
754,632
11.87%
0.12%
-23.38%
TRAVELCENTERS AMER LLC$4,329
62.87%
759,4010.00%0.12%
8.24%
DOVER MOTORSPORTS INC$3,710
-4.46%
1,725,7890.00%0.10%
-36.50%
RAFAEL HLDGS INC$3,705
-8.61%
441,0920.00%0.10%
-39.26%
ELEVATE CREDIT INC$3,575
-62.88%
443,491
-61.04%
0.10%
-75.33%
PIERIS PHARMACEUTICALS INCNew $3,561635,8450.10%
DOVER DOWNS GAMING & ENTMT I$3,298
-1.79%
1,161,233
-38.44%
0.09%
-34.73%
ASCENT CAP GROUP INC$3,176
-31.26%
1,794,260
9.12%
0.09%
-54.31%
RADIANT LOGISTICS INC$3,105
51.17%
525,3000.00%0.08%
0.47%
KIRKLANDS INC (PUT)$3,027
-13.32%
300,0000.00%0.08%
-42.39%
RUMBLEON INCcl bNew $2,728260,3430.07%
ROADRUNNER TRNSN SVCS HLDG I$2,465
-53.76%
2,948,930
15.62%
0.07%
-69.27%
PAR TECHNOLOGY CORPNew $2,455110,5040.07%
STREAMLINE HEALTH SOLUTIONS$2,121
-17.47%
1,760,2970.00%0.06%
-45.15%
FALCON MINERALS CORP*w exp 07/21/202New $1,494878,0220.04%
SEARS HLDGS CORP (PUT)$968
-59.16%
1,000,0000.00%0.03%
-72.85%
SEARS HLDGS CORP (CALL)$968
-59.16%
1,000,0000.00%0.03%
-72.85%
SEARS HLDGS CORP$764
-69.37%
789,201
-25.02%
0.02%
-79.64%
PAIN THERAPEUTICS INC$654
-50.94%
647,0530.00%0.02%
-67.39%
INTERNATIONAL MNY EXPRESS IN*w exp 01/19/202New $587249,9990.02%
REPUBLIC BANCORP KYcl a$340
1.80%
7,3710.00%0.01%
-32.34%
WORLD ACCEP CORP DEL (CALL)Sold $0-155,100-0.70%
LIBERTY TAX INCcl aSold $0-808,239-0.26%
FINTECH ACQUISITION CORP II*w exp 01/19/202Sold $0-249,999-0.02%
FINTECH ACQUISITION CORP IISold $0-1,204,498-0.49%
OSPREY ENERGY ACQUISITION COunit 07/21/2022Sold $0-1,000,000-0.44%
JAMBA INCSold $0-1,834,835-0.79%
TEAM INCSold $0-60,400-0.06%
TRANS WORLD ENTMT CORPSold $0-722,647-0.03%
SPDR S&P 500 ETF TR (PUT)tr unitSold $0-350,000-3.84%
Portfolio Information
QuarterQ3 2018
Total value$3,716,492,000
Holdings97
Managers
Wilmot B. Harkey
Daniel Mack
Quarters
2018-09-30
$3,716,492
2018-06-30
$2,470,048
2018-03-31
$2,218,800
2017-12-31
$2,249,865
2017-09-30
$2,039,333
2017-06-30
$1,260,495
2017-03-31
$897,743
2016-12-31
$963,285
2016-09-30
$829,395
2016-06-30
$922,450
2016-03-31
$972,075
2015-12-31
$766,548
2015-09-30
$736,677
2015-06-30
$681,602
2015-03-31
$601,046
2014-12-31
$712,513
2014-09-30
$814,589
2014-06-30
$679,845
2014-03-31
$622,660
2013-12-31
$616,665
2013-09-30
$446,748
2013-06-30
$431,777
SEC Filings