Nantahala Capital Management, LLC Q3 2017

Nantahala Capital Management, LLC holdings Q3 2017
Name ValueChangeSharesChangeWeightingChange
ISHARES TR (PUT)russell 2000 etf$545,302
101.54%
3,680,000
91.67%
26.74%
24.57%
SPDR S&P 500 ETF TR (PUT)tr unit$175,861
142.43%
700,000
133.33%
8.62%
49.85%
SPDR S&P 500 ETF TR (CALL)tr unit$150,738
211.70%
600,000
200.00%
7.39%
92.66%
SCIENTIFIC GAMES CORP (CALL)cl a$143,969
87.62%
3,140,000
6.80%
7.06%
15.97%
EXACT SCIENCES CORP (PUT)$98,952
99.83%
2,100,000
50.00%
4.85%
23.51%
RH (CALL)$84,384
51.55%
1,200,000
39.05%
4.14%
-6.33%
ALTABA INC$67,677
11.67%
1,021,691
-8.15%
3.32%
-30.98%
DOLBY LABORATORIES INC$44,543
0.81%
774,397
-14.19%
2.18%
-37.69%
CODEXIS INC$43,230
22.25%
6,500,679
0.19%
2.12%
-24.44%
FIAT CHRYSLER AUTOMOBILES N (CALL)$39,402
307.38%
2,200,000
175.00%
1.93%
151.80%
WORLD ACCEP CORP DEL$37,040
11.40%
446,861
0.68%
1.82%
-31.15%
META FINL GROUP INC$35,119
-9.90%
447,952
2.28%
1.72%
-44.31%
SODASTREAM INTERNATIONAL LTD$33,225
3.85%
500,000
-16.36%
1.63%
-35.81%
LUXFER HLDGS PLCsponsored adr$29,353
7.72%
2,357,651
10.66%
1.44%
-33.42%
WORLD ACCEP CORP DEL (CALL)New $29,012350,0001.42%
FIRSTCASH INC$27,170
-23.69%
430,250
-29.55%
1.33%
-52.84%
AKEBIA THERAPEUTICS INC$26,908
-12.85%
1,367,947
-36.33%
1.32%
-46.13%
GOLDEN ENTMT INC$26,607
17.72%
1,091,3290.00%1.30%
-27.24%
QAD INCcl a$26,483
15.40%
770,973
7.67%
1.30%
-28.67%
GLOBAL EAGLE ENTMT INC$25,746
31.50%
7,528,066
36.88%
1.26%
-18.72%
SCIENTIFIC GAMES CORPcl aNew $22,925500,0001.12%
BLOCK H & R INC (PUT)New $21,184800,0001.04%
BANCORP INC DEL$20,675
-27.06%
2,500,000
-33.15%
1.01%
-54.92%
SODASTREAM INTERNATIONAL LTD (CALL)$19,935
24.16%
300,0000.00%0.98%
-23.26%
ARMSTRONG FLOORING INC$19,541
34.82%
1,240,677
53.82%
0.96%
-16.67%
HERTZ GLOBAL HLDGS INC (CALL)$17,888
211.10%
800,000
60.00%
0.88%
92.29%
PETMED EXPRESS INC (PUT)$13,260
63.30%
400,000
100.00%
0.65%
0.93%
BRIDGEPOINT ED INC$12,275
-40.32%
1,278,682
-8.25%
0.60%
-63.11%
ARQULE INC$11,366
-10.48%
10,239,751
0.00%
0.56%
-44.67%
JAMBA INC$11,266
53.17%
1,303,929
38.11%
0.55%
-5.32%
OWENS RLTY MTG INC$11,142
1.49%
611,878
-5.47%
0.55%
-37.27%
MEDICINES CO (CALL)$11,112
-2.55%
300,0000.00%0.54%
-39.77%
UNIQURE NV$10,751
56.83%
1,119,883
1.12%
0.53%
-3.06%
OSPREY ENERGY ACQUISITION COunit 07/21/2022New $9,9601,000,0000.49%
AVEXIS INC (PUT)$9,673
17.73%
100,0000.00%0.47%
-27.23%
ON DECK CAP INC$9,335
0.21%
1,999,0200.00%0.46%
-38.06%
COGENTIX MED INC$9,318
47.34%
3,639,853
0.15%
0.46%
-8.93%
ASCENT CAP GROUP INC$9,043
336.65%
693,504
414.37%
0.44%
169.89%
AEGLEA BIOTHERAPEUTICS INC$7,902
28.84%
1,602,903
0.63%
0.39%
-20.36%
SEARS HLDGS CORP (CALL)$7,300
-17.61%
1,000,0000.00%0.36%
-49.07%
GAMESTOP CORP NEW (PUT)cl a$6,198
-4.40%
300,0000.00%0.30%
-40.91%
DOLBY LABORATORIES INC (CALL)New $5,752100,0000.28%
BRIDGEPOINT ED INC (CALL)New $5,280550,0000.26%
NATURES SUNSHINE PRODUCTS IN$5,187
24.75%
510,989
62.83%
0.25%
-22.89%
LINCOLN EDL SVCS CORP$5,075
-21.98%
2,029,877
-3.26%
0.25%
-51.78%
CHEMOCENTRYX INC$5,029
-11.24%
677,779
11.96%
0.25%
-45.14%
FINTECH ACQUISITION CORP IINew $4,900499,9980.24%
SEARS HOMETOWN & OUTLET STOR$4,016
42.31%
1,575,051
50.69%
0.20%
-12.04%
ELEVATE CREDIT INC$3,647
-26.32%
596,900
-4.50%
0.18%
-54.46%
TRANS WORLD ENTMT CORP$3,642
24.68%
1,820,939
-0.25%
0.18%
-22.93%
EMMIS COMMUNICATIONS CORP$3,629
15.68%
1,092,9510.00%0.18%
-28.50%
DOVER MOTORSPORTS INC$3,538
-2.37%
1,725,7890.00%0.17%
-39.66%
AMERICAS CAR MART INC$3,469
5.89%
84,348
0.16%
0.17%
-34.55%
LIBERTY TAX INCcl a$3,358
1379.30%
233,198
1233.25%
0.16%
814.34%
RADIANT LOGISTICS INC$3,273
-1.30%
616,4000.00%0.16%
-38.99%
TILLYS INCcl aNew $2,689224,2390.13%
STREAMLINE HEALTH SOLUTIONS$2,588
37.37%
1,760,2970.00%0.13%
-15.09%
UNIVERSAL TECHNICAL INST INC$2,318
-2.81%
667,9460.00%0.11%
-39.93%
NOW INCNew $2,072150,0000.10%
DOVER DOWNS GAMING & ENTMT I$1,627
1.12%
1,579,641
8.97%
0.08%
-37.50%
MFC BANCORP LTDNew $1,483157,9300.07%
PAIN THERAPEUTICS INC$1,413
-1.88%
347,053
0.00%
0.07%
-39.35%
LEE ENTERPRISES INC$1,034
207.74%
470,000
165.41%
0.05%
90.21%
EVOLUTION PETROLEUM CORP$940
-79.40%
130,615
-76.81%
0.05%
-87.26%
FINTECH ACQUISITION CORP II*w exp 01/19/202New $317249,9990.02%
REPUBLIC BANCORP KYcl a$287
9.13%
7,3710.00%0.01%
-32.55%
STERLING CONSTRUCTION CO INCSold $0-257,604-0.27%
CITI TRENDS INCSold $0-293,206-0.49%
EZCORP INCcl a non vtgSold $0-386,494-0.24%
CARDCONNECT CORPSold $0-675,926-0.81%
MFC BANCORP LTDSold $0-337,978-0.05%
FINTECH ACQUISITION CORP IIunit 99/99/9999Sold $0-499,998-0.41%
FB FINL CORPSold $0-50,000-0.14%
FALCONSTOR SOFTWARE INCSold $0-2,841,368-0.06%
Portfolio Information
QuarterQ3 2017
Total value$2,039,333,000
Holdings66
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