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Nantahala Capital Management

Filed: 16 Feb 21, 7:11am

The Securities and Exchange Commission has not necessarily reviewed the information in this filing and has not determined if it is accurate and complete.
The reader should not assume that the information is accurate and complete.

UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM 13F

FORM 13F INFORMATION TABLE

OMB APPROVAL
OMB Number:3235-0006
Expires:Oct 31, 2018
Estimated average burden
hours per response:23.8

COLUMN 1COLUMN 2COLUMN 3COLUMN 4COLUMN 5COLUMN 6COLUMN 7COLUMN 8
VALUESHRS ORSH/PUT/INVESTMENTOTHERVOTING AUTHORITY
NAME OF ISSUERTITLE OF CLASSCUSIP(x$1000)PRN AMTPRNCALLDISCRETIONMANAGERSOLESHAREDNONE
ACER THERAPEUTICS INCCOM00444P1082,593989,755SH SOLE 989,75500
ADICET BIO INCCOM0070021084,833344,011SH SOLE 344,01100
AEGLEA BIOTHERAPEUTICS INCCOM00773J10315,5381,974,302SH SOLE 1,974,30200
AKEBIA THERAPEUTICS INCCOM00972D10519,7137,040,487SH SOLE 7,040,48700
AKUMIN INCCOM01021F10917,4125,784,556SH SOLE 5,784,55600
ALTA EQUIPMENT GROUP INC*W EXP 02/14/20202128L114993187,500SH SOLE 187,50000
ALTA EQUIPMENT GROUP INCCOMMON STOCK02128L10625,6882,600,012SH SOLE 2,600,01200
AMC NETWORKS INCCL A00164V10392125,751SH SOLE 25,75100
APOLLO ENDOSURGERY INCCOM03767D1087,7832,289,263SH SOLE 2,289,26300
APTOSE BIOSCIENCES INCCOM NEW03835T20031,8547,272,673SH SOLE 7,272,67300
ARMSTRONG FLOORING INCCOM04238R1066,2171,627,441SH SOLE 1,627,44100
ARYA SCIENCES ACQUISITION COCOM CL AG3166W1067,595700,000SH SOLE 700,00000
AVENUE THERAPEUTICS INCCOM NEW05360L20518030,211SH SOLE 30,21100
AVIS BUDGET GROUPCOM05377410524,532657,700SHCallSOLE 657,70000
BANCORP INC DELCOM05969A10537,6192,755,982SH SOLE 2,755,98200
BCTG ACQUISITION CORPCOM05492W1032,288200,000SH SOLE 200,00000
BIODELIVERY SCIENCES INTL INCOM09060J10621,5195,123,671SH SOLE 5,123,67100
BRISTOL-MYERS SQUIBB CORIGHT 99/99/999911012215710,07814,602,975SH SOLE 14,602,97500
CARVANA COCL A1468691029213,843SH SOLE 3,84300
CARVANA COCL A14686910248,794203,700SHCallSOLE 203,70000
CATALYST BIOSCIENCES INCCOM NEW14888D20811,7701,865,334SH SOLE 1,865,33400
CERECOR INCCOM15671L10916,4566,233,316SH SOLE 6,233,31600
CEREVEL THERAPEUTICS HLDNG I*W EXP 06/09/20215678U1024,307283,332SH SOLE 283,33200
CEREVEL THERAPEUTICS HLDNG ICOM15678U12811,369685,704SH SOLE 685,70400
CHILDRENS PL INCCOM16890510712,649252,472SH SOLE 252,47200
CODEXIS INCCOM192005106109,1645,000,620SH SOLE 5,000,62000
CODEXIS INCCOM1920051066,549300,000SHCallSOLE 300,00000
CRH MED CORPCOM12626F10516,1196,892,005SH SOLE 6,892,00500
CUE BIOPHARMA INCCOM22978P10631,3602,506,772SH SOLE 2,506,77200
CURIOSITYSTREAM INC*W EXP 10/14/20223130Q1152,762200,000SH SOLE 200,00000
CURIS INCCOM NEW23126920013,3741,632,915SH SOLE 1,632,91500
CYREN LTDSHSM268951081,8941,839,263SH SOLE 1,839,26300
DARIOHEALTH CORPCOM NEW23725P2098,491594,222SH SOLE 594,22200
DHI GROUP INCCOM23331S10010,7404,837,713SH SOLE 4,837,71300
DOLBY LABORATORIES INCCOM CL A25659T10774,872770,845SH SOLE 770,84500
DOVER MOTORSPORTS INCCOM2601741074,3021,895,337SH SOLE 1,895,33700
DXP ENTERPRISES INCCOM NEW23337740734,0821,533,170SH SOLE 1,533,17000
EHEALTH INCCOM28238P10921,164299,734SH SOLE 299,73400
ESTABLISHMENT LABS HLDGS INCCOMG3124910876,8652,042,099SH SOLE 2,042,09900
EVERI HLDGS INCCOM30034T10318,8341,363,786SH SOLE 1,363,78600
EXACT SCIENCES CORPCOM30063P10519,874150,000SHPutSOLE 150,00000
EXELA TECHNOLOGIES INCCOM30162V1026,29915,168,086SH SOLE 15,168,08600
FALCON MINERALS CORP*W EXP 07/21/20230607B208375878,022SH SOLE 878,02200
FALCON MINERALS CORPCL A COM30607B10911,1443,537,707SH SOLE 3,537,70700
FINTECH ACQUISITION CORP IVUNIT 12/31/202531810N30214,3161,200,000SH SOLE 1,200,00000
FINTECH ACQUISITION CORP VUNIT 99/99/999931810Q30510,6701,000,000SH SOLE 1,000,00000
FIRSTCASH INCCOM33767D10527,119387,189SH SOLE 387,18900
FORTRESS BIOTECH INCCOM34960Q10927,5188,680,909SH SOLE 8,680,90900
FTAC OLYMPUS ACQUISITION CORUNIT 08/24/2025G3728811810,8701,000,000SH SOLE 1,000,00000
GALMED PHARMACEUTICALS LTDSHSM472381065,9931,926,899SH SOLE 1,926,89900
GOLDEN ENTMT INCCOM38101310140,4002,031,172SH SOLE 2,031,17200
HCA HEALTHCARE INCCOM40412C1018,44051,317SH SOLE 51,31700
HCA HEALTHCARE INCCOM40412C10124,669150,000SHPutSOLE 150,00000
HTG MOLECULAR DIAGNOSTICS INCOM NEW40434H2031,742363,622SH SOLE 363,62200
IMAX CORPCOM45245E10929,1611,618,281SH SOLE 1,618,28100
IMMATICS N.VSHSN4444510927,1312,514,489SH SOLE 2,514,48900
IMMATICS N.V*W EXP 01/01/202N444451171,499226,471SH SOLE 226,47100
INSU ACQUISITION CORP II*W EXP 09/01/2024578211148,082524,964SH SOLE 524,96400
INSU ACQUISITION CORP IICOM CL A45782110626,4051,698,075SH SOLE 1,698,07500
INSU ACQUISITION CORP IIIUNIT 12/31/202645781730210,5701,000,000SH SOLE 1,000,00000
INTERNATIONAL MNY EXPRESS INCOM46005L10133,1212,134,092SH SOLE 2,134,09200
ISHARES TRRUSSELL 2000 ETF464287655196,0601,000,000SHPutSOLE 1,000,00000
ISHARES TRRUSSELL 2000 ETF46428765598,030500,000SHPutSOLE 500,00000
ISHARES TRRUSSELL 2000 ETF46428765588,227450,000SHPutSOLE 450,00000
ISHARES TRRUSSELL 2000 ETF464287655117,636600,000SHPutSOLE 600,00000
ISHARES TRRUSSELL 2000 ETF46428765598,030500,000SHPutSOLE 500,00000
JOINT CORPCOM47973J10218,203693,172SH SOLE 693,17200
KEROS THERAPEUTICS INCCOM49232710137,705534,514SH SOLE 534,51400
KINTARA THERAPEUTICS INCCOM49720K101349272,969SH SOLE 272,96900
LINCOLN EDL SVCS CORPCOM53353510010,1081,555,022SH SOLE 1,555,02200
LUXFER HOLDINGS PLCSHSG5698W11638,4932,344,245SH SOLE 2,344,24500
MARRIOTT VACTINS WORLDWID COCOM57164Y10752,828384,987SH SOLE 384,98700
MEDIACO HLDG INCCL A58450D104270103,680SH SOLE 103,68000
MERRIMACK PHARMACEUTICALS INCOM NEW5903282095,180751,843SH SOLE 751,84300
META FINL GROUP INCCOM59100U10856,3261,540,646SH SOLE 1,540,64600
MOTUS GI HLDGS INCCOM62014P108394415,501SH SOLE 415,50100
NANTKWEST INCCOM63016Q10270352,771SH SOLE 52,77100
NATURES SUNSHINE PRODS INCCOM6390271018,976600,409SH SOLE 600,40900
PAR TECHNOLOGY CORPCOM69888410312,703202,312SH SOLE 202,31200
PARTY CITY HOLDCO INCCOM7021491055,088834,002SH SOLE 834,00200
PAYA HOLDINGS INC*W EXP 10/16/20270434P1115,252538,510SH SOLE 538,51000
PAYA HOLDINGS INCCOM CL A70434P10314,8111,100,000SH SOLE 1,100,00000
PORCH GROUP INCCOM7332451048,156600,000SH SOLE 600,00000
QAD INCCL A74727D30678,1001,236,146SH SOLE 1,236,14600
RAFAEL HLDGS INCCOM CL B75062E1069,080389,370SH SOLE 389,37000
READING INTL INCCL A7554081019,9591,983,928SH SOLE 1,983,92800
RMR GROUP INCCL A74967R1069,539246,994SH SOLE 246,99400
SCIENTIFIC GAMES CORPCOM80874P1099,844237,260SH SOLE 237,26000
SCIENTIFIC GAMES CORPCOM80874P109103,7252,500,000SHCallSOLE 2,500,00000
SCIENTIFIC GAMES CORPCOM80874P1096,995168,600SHCallSOLE 168,60000
SCIENTIFIC GAMES CORPCOM80874P10927,383660,000SHCallSOLE 660,00000
SCIENTIFIC GAMES CORPCOM80874P10941,4901,000,000SHCallSOLE 1,000,00000
SCIPLAY CORPORATIONCL A8090871097,065510,122SH SOLE 510,12200
SCULLY ROYALTY LTDCOM SHSG7T96K1073,728753,159SH SOLE 753,15900
SELECT INTERIOR CONCEPTS INCCL A81612030713,5991,901,943SH SOLE 1,901,94300
SHIFT TECHNOLOGIES INC*W EXP 10/13/20282452T1151,266249,999SH SOLE 249,99900
SHIFT TECHNOLOGIES INCCL A82452T10731,3303,788,396SH SOLE 3,788,39600
SIGA TECHNOLOGIES INCCOM8269171062,334321,031SH SOLE 321,03100
SILVERBACK THERAPEUTICS INCCOM82835W10854,3841,206,471SH SOLE 1,206,47100
SOLENO THERAPEUTICS INCCOM NEW83420320015,1927,871,356SH SOLE 7,871,35600
STRATA SKIN SCIENCES INCCOM NEW86272A2067,0264,683,908SH SOLE 4,683,90800
STREAMLINE HEALTH SOLUTIONSCOM86323X1064,2962,753,599SH SOLE 2,753,59900
SYNDAX PHARMACEUTICALS INCCOM87164F10539,9981,798,453SH SOLE 1,798,45300
TAYSHA GENE THERAPIES INCCOM SHS8776191062,08578,576SH SOLE 78,57600
TENET HEALTHCARE CORPCOM NEW88033G40722,547564,659SH SOLE 564,65900
TENET HEALTHCARE CORPCOM NEW88033G4072,76369,200SHCallSOLE 69,20000
TENET HEALTHCARE CORPCOM NEW88033G40743,5841,091,500SHCallSOLE 1,091,50000
TENET HEALTHCARE CORPCOM NEW88033G4071,37434,400SHCallSOLE 34,40000
TFF PHARMACEUTICALS INCCOM87241J10425,2531,763,476SH SOLE 1,763,47600
TRAVELCENTERS OF AMERICA INCCOM NEW89421B10942,0871,291,003SH SOLE 1,291,00300
UNIQURE NVSHSN9006410159,1281,636,539SH SOLE 1,636,53900
UNIQURE NVSHSN9006410111,291312,500SHCallSOLE 312,50000
UNIQURE NVSHSN900641011,80750,000SHCallSOLE 50,00000
UNIQURE NVSHSN9006410127,098750,000SHCallSOLE 750,00000
UPLAND SOFTWARE INCCOM91544A10922,995501,100SH SOLE 501,10000
VIEMED HEALTHCARE INCCOM92663R10515,2321,951,480SH SOLE 1,951,48000
VONAGE HLDGS CORPCOM92886T20169,2795,380,865SH SOLE 5,380,86500
VONAGE HLDGS CORPCOM92886T2016,438500,000SHCallSOLE 500,00000
WAVE LIFE SCIENCES LTDSHSY9530810526,4223,357,305SH SOLE 3,357,30500
WAYFAIR INCCL A94419L101112,070496,300SHCallSOLE 496,30000
WAYFAIR INCCL A94419L101114,644507,700SHCallSOLE 507,70000
WAYFAIR INCCL A94419L10167,743300,000SHCallSOLE 300,00000
WYNDHAM DESTINATIONS INCCOM98310W10850,1261,117,394SH SOLE 1,117,39400
YATRA ONLINE INCORD SHSG9833810910,2595,315,350SH SOLE 5,315,35000
ZOGENIX INCCOM NEW98978L20410,232511,857SH SOLE 511,85700
ZOVIO INCCOM98979V10213,4682,841,286SH SOLE 2,841,28600