Nantahala Capital Management, LLC Q3 2019

Nantahala Capital Management, LLC holdings Q3 2019
Name ValueChangeSharesChangeWeightingChange
ISHARES TR (PUT)russell 2000 etf$408,619
-8.98%
2,700,000
-6.48%
15.14%
9.53%
EXACT SCIENCES CORP (PUT)$124,186
-18.83%
1,374,200
6.02%
4.60%
-2.33%
SCIENTIFIC GAMES CORP (CALL)$121,906
2.67%
5,990,4000.00%4.52%
23.55%
INVESCO QQQ TR (PUT)unit ser 1New $103,846550,0003.85%
CARVANA CO (CALL)cl a$102,465
5.45%
1,552,5000.00%3.80%
26.89%
UNIQURE NV$77,493
-31.26%
1,968,838
36.49%
2.87%
-17.28%
UNIQURE NV (CALL)$77,342
-37.22%
1,965,000
24.64%
2.87%
-24.46%
FIAT CHRYSLER AUTOMOBILES N (CALL)$75,369
-6.29%
5,820,0000.00%2.79%
12.76%
CODEXIS INC$73,560
-25.58%
5,363,4840.00%2.73%
-10.45%
ARQULE INC$72,131
-36.98%
10,060,105
-3.23%
2.67%
-24.16%
TENET HEALTHCARE CORP (CALL)$69,213
32.47%
3,129,000
23.72%
2.56%
59.40%
SPDR SERIES TRUST (PUT)s&p biotech$68,625
-29.92%
900,000
-19.39%
2.54%
-15.67%
MARRIOTT VACTINS WORLDWID CO$68,203
5.23%
658,262
-2.10%
2.53%
26.62%
RH$64,182
-11.19%
375,707
-39.90%
2.38%
6.87%
META FINL GROUP INC$58,689
16.26%
1,799,7270.00%2.17%
39.90%
QAD INCcl a$57,758
18.07%
1,250,722
2.81%
2.14%
42.08%
DXP ENTERPRISES INC NEW$55,636
2.72%
1,602,433
12.09%
2.06%
23.60%
RH (CALL)$53,811
29.48%
315,000
-12.38%
1.99%
55.81%
TENET HEALTHCARE CORP$44,282
-13.29%
2,001,914
-19.01%
1.64%
4.34%
LUXFER HOLDINGS PLC$40,535
-36.46%
2,601,7490.00%1.50%
-23.54%
CAESARS ENTMT CORP (CALL)$38,839
-1.35%
3,331,0000.00%1.44%
18.70%
HCA HEALTHCARE INC (PUT)$38,534
-10.91%
320,0000.00%1.43%
7.20%
WORLD ACCEP CORP DEL$34,651
-65.80%
271,753
-55.99%
1.28%
-58.85%
PARTY CITY HOLDCO INC$34,408
8.50%
6,025,989
39.28%
1.28%
30.56%
WAYFAIR INCcl a$33,958
28.52%
302,870
67.36%
1.26%
54.65%
DOLBY LABORATORIES INC$33,722
16.86%
521,693
16.79%
1.25%
40.62%
GOLDEN ENTMT INC$32,557
-5.07%
2,449,7130.00%1.21%
14.23%
INTERNATIONAL MNY EXPRESS IN$30,929
-25.21%
2,251,010
-23.25%
1.15%
-10.00%
SCIENTIFIC GAMES CORP$29,246
22.99%
1,437,167
19.79%
1.08%
47.99%
BANCORP INC DEL$26,871
10.99%
2,714,2380.00%1.00%
33.55%
AKEBIA THERAPEUTICS INC$22,695
-19.01%
5,789,5610.00%0.84%
-2.54%
AEGLEA BIOTHERAPEUTICS INC$21,934
12.26%
2,852,2600.00%0.81%
35.09%
ON DECK CAP INC$21,452
-18.14%
6,384,602
1.11%
0.79%
-1.50%
GLOBAL EAGLE ENTMT INC$20,820
6.45%
28,835,8760.00%0.77%
28.10%
BIODELIVERY SCIENCES INTL IN$20,402
-4.31%
4,846,167
5.69%
0.76%
15.15%
CRH MEDICAL CORP$20,086
6.23%
6,534,155
3.98%
0.74%
27.83%
DHI GROUP INC$19,243
12.08%
4,998,075
3.93%
0.71%
34.87%
HERTZ GLOBAL HLDGS INC (CALL)$18,569
38.22%
1,341,700
59.40%
0.69%
66.33%
ALTABA INC$17,210
-71.92%
883,4640.00%0.64%
-66.21%
CURO GROUP HLDGS CORP$16,326
-9.36%
1,229,332
-24.58%
0.60%
9.08%
RADNET INC$16,224
4.13%
1,129,8140.00%0.60%
25.31%
ESTABLISHMENT LABS HLDGS INC$16,110
-7.57%
851,922
7.48%
0.60%
11.23%
JOINT CORP$15,798
-2.00%
848,881
-4.16%
0.59%
17.92%
EXELA TECHNOLOGIES INC$15,078
-46.12%
12,777,8870.00%0.56%
-35.16%
PAR TECHNOLOGY CORP$14,928
-11.81%
628,017
4.62%
0.55%
6.12%
MEDIFAST INCNew $12,581121,4070.47%
CUE BIOPHARMA INC$11,618
-6.23%
1,378,1980.00%0.43%
12.84%
FALCON MINERALS CORP$11,603
-31.55%
2,017,8940.00%0.43%
-17.63%
ARMSTRONG FLOORING INC$10,465
-50.91%
1,637,724
-24.33%
0.39%
-40.93%
HERTZ GLOBAL HLDGS INC$10,408
48.22%
751,995
70.91%
0.39%
78.36%
VIEMED HEALTHCARE INCNew $10,3411,498,1000.38%
RAFAEL HLDGS INC$10,173
-27.10%
485,3660.00%0.38%
-12.27%
SCULLY ROYALTY LTD$9,752
-12.67%
837,048
-0.31%
0.36%
5.09%
PLAYAGS INCNew $9,252900,0000.34%
SIGA TECHNOLOGIES INC$9,219
-9.86%
1,800,5140.00%0.34%
8.47%
FINTECH ACQUISITION CORP IIIunit 12/01/2023$9,000
-0.28%
842,7300.00%0.33%
20.00%
APTOSE BIOSCIENCES INC$8,898
-0.08%
4,267,530
25.07%
0.33%
20.24%
SELECT INTERIOR CONCEPTS INCcl a$8,475
11.32%
653,4610.00%0.31%
33.96%
AKEBIA THERAPEUTICS INC (CALL)$7,840
-19.01%
2,000,0000.00%0.29%
-2.54%
CHEMBIO DIAGNOSTICS INC$7,589
0.50%
1,239,9830.00%0.28%
20.94%
SEARS HOMETOWN & OUTLET STOR$7,491
47.34%
2,131,251
-0.23%
0.28%
77.30%
INTERNATIONAL GAME TECHNOLOG (CALL)$7,105
9.56%
500,0000.00%0.26%
31.84%
NEOS THERAPEUTICS INC$6,823
14.73%
4,610,0000.00%0.25%
38.06%
ELEVATE CREDIT INC$6,603
-6.51%
1,568,411
-8.51%
0.24%
12.50%
STRATA SKIN SCIENCES INC$6,130
-13.65%
2,851,0010.00%0.23%
3.91%
APOLLO ENDOSURGERY INC$5,957
1.24%
1,810,5620.00%0.22%
21.83%
PARTY CITY HOLDCO INC (CALL)New $5,7101,000,0000.21%
SUNESIS PHARMACEUTICALS INC$5,543
71.03%
7,700,146
72.69%
0.21%
105.80%
CATALYST BIOSCIENCES INC$5,219
-32.10%
1,062,843
1.92%
0.19%
-18.29%
INSURANCE ACQUISITION CORPunit 03/31/2024$5,210
0.68%
500,0000.00%0.19%
21.15%
LINCOLN EDL SVCS CORP$5,069
-9.95%
2,436,8050.00%0.19%
8.36%
ARYA SCIENCES ACQUISITION COunit 10/04/2023$4,964
2.52%
452,9440.00%0.18%
23.37%
NATURES SUNSHINE PRODUCTS IN$4,837
-12.23%
583,5100.00%0.18%
5.62%
RUMBLEON INCcl b$4,723
-35.50%
1,634,3500.00%0.18%
-22.38%
GALMED PHARMACEUTICALS LTD$4,203
-35.92%
879,2000.00%0.16%
-22.89%
TRAVELCENTERS OF AMERICA INCNew $4,158337,3900.15%
EMMIS COMMUNICATIONS CORP$3,917
5.49%
781,7830.00%0.15%
26.94%
MERRIMACK PHARMACEUTICALS IN$3,364
-14.14%
747,635
15.44%
0.12%
3.32%
DOVER MOTORSPORTS INC$3,357
-4.82%
1,695,5410.00%0.12%
14.53%
HTG MOLECULAR DIAGNOSTICS INNew $3,3235,000,0000.12%
ACER THERAPEUTICS INC$3,160
-18.22%
990,6550.00%0.12%
-1.59%
SCIPLAY CORPcl a$2,675
-21.97%
250,0000.00%0.10%
-6.10%
ZOVIO INC$2,135
-39.77%
1,083,906
9.45%
0.08%
-27.53%
CHEMOCENTRYX INC (CALL)New $2,034300,0000.08%
STREAMLINE HEALTH SOLUTIONS$1,909
-28.18%
1,760,2970.00%0.07%
-13.58%
DARIOHEALTH CORP$1,302
-42.59%
4,281,6520.00%0.05%
-30.92%
DECIPHERA PHARMACEUTICALS INNew $1,29838,2470.05%
CARVANA COcl a$1,223
-97.10%
18,529
-97.25%
0.05%
-96.51%
CHARDAN HEALTHCARE ACQUISITINew $1,197100,0000.04%
FALCON MINERALS CORP*w exp 07/21/202$942
12.95%
878,0220.00%0.03%
35.92%
MOTUS GI HLDGS INC$827
-34.68%
417,7080.00%0.03%
-21.39%
FORTRESS BIOTECH INCNew $475336,6210.02%
TILLYS INCcl aSold $0-858,103-0.20%
REPUBLIC BANCORP KYcl aSold $0-7,371-0.01%
HERTZ GLOBAL HLDGS INCright 07/12/2019Sold $0-440,000-0.03%
SELECT SECTOR SPDR TR (PUT)sbi healthcareSold $0-1,500,000-4.28%
CHARDAN HEALTHCARE ACQUISITIunit 12/13/2023Sold $0-100,000-0.03%
GTT COMMUNICATIONS INCSold $0-235,486-0.13%
VIVEVE MED INCSold $0-6,581,465-0.08%
ASCENT CAP GROUP INCSold $0-1,794,260-0.06%
SPECTRUM BRANDS HLDGS INC NESold $0-417,912-0.69%
TRAVELCENTERS AMER LLCSold $0-1,666,365-0.19%
PIERIS PHARMACEUTICALS INCSold $0-1,477,563-0.21%
SPDR S&P 500 ETF TR (PUT)tr unitSold $0-300,000-2.71%
Portfolio Information
QuarterQ3 2019
Total value$2,698,538,000
Holdings92
Managers
Wilmot B. Harkey
Daniel Mack
Quarters
2019-12-31
$3,246,157
2019-09-30
$2,698,538
2019-06-30
$3,247,235
2019-03-31
$3,206,145
2018-12-31
$3,250,219
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