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Nantahala Capital Management

Filed: 15 Nov 21, 5:15pm

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
5 01 ACQUISITION CORPCOM CL A33836P1051,819185,213SH SOLE 185,21300
ACADIA PHARMACEUTICALS INCCOM0042251084,983300,000SHCallSOLE 300,00000
ACER THERAPEUTICS INCCOM00444P1082,340914,197SH SOLE 914,19700
ADICET BIO INCCOM0070021082,435310,540SH SOLE 310,54000
AEGLEA BIOTHERAPEUTICS INCCOM00773J10312,0601,516,955SH SOLE 1,516,95500
AKEBIA THERAPEUTICS INCCOM00972D10514,3374,978,195SH SOLE 4,978,19500
AKUMIN INCCOM01021F10915,6756,320,740SH SOLE 6,320,74000
ALTA EQUIPMENT GROUP INCCOMMON STOCK02128L10626,6381,940,082SH SOLE 1,940,08200
ANGION BIOMEDICA CORPCOM03476J1071,158118,521SH SOLE 118,52100
APOLLO ENDOSURGERY INCCOM03767D10822,7802,514,328SH SOLE 2,514,32800
APTOSE BIOSCIENCES INCCOM NEW03835T20016,0357,355,730SH SOLE 7,355,73000
ARYA SCIENCES ACQU CORP IVCL AG316591084,012399,248SH SOLE 399,24800
ARYA SCIENCES ACQUISITN CORPCLASS A ORD SHSG316581009,8801,000,000SH SOLE 1,000,00000
ATHENA TECHNOLOGY ACQUISI COCOM CLASS A04687A1094,959499,586SH SOLE 499,58600
AUTOLUS THERAPEUTICS PLCSPON ADS05280R10019,2362,936,791SH SOLE 2,936,79100
AVALO THERAPEUTICS INCCOM05338F10815,1566,952,401SH SOLE 6,952,40100
AVENUE THERAPEUTICS INCCOM NEW05360L2054530,211SH SOLE 30,21100
AVIS BUDGET GROUPCOM05377410564,081550,000SHPutSOLE 550,00000
B RILEY PRINCIPAL 150 MERGERUNIT 99/99/999905601V2023,754375,000SH SOLE 375,00000
B. RILEY FINANCIAL INCCOM05580M1085,53593,757SH SOLE 93,75700
BBQ HLDGS INCCOM05551A10915,0901,000,000SH SOLE 1,000,00000
CARIBOU BIOSCIENCES INCCOM1420381081,34756,418SH SOLE 56,41800
CARVANA COCL A14686910261,424203,700SHCallSOLE 203,70000
CATALYST BIOSCIENCES INCCOM NEW14888D2089,9962,432,212SH SOLE 2,432,21200
CODEXIS INCCOM19200510687,2073,749,241SH SOLE 3,749,24100
CUE BIOPHARMA INCCOM22978P10637,4612,571,082SH SOLE 2,571,08200
CURIS INCCOM NEW23126920019,2792,462,248SH SOLE 2,462,24800
CYREN LTDSHSM2689510895152,393SH SOLE 152,39300
DARIOHEALTH CORPCOM NEW23725P20914,5181,063,515SH SOLE 1,063,51500
DHI GROUP INCCOM23331S10016,0683,375,606SH SOLE 3,375,60600
DOVER MOTORSPORTS INCCOM2601741076,2582,586,043SH SOLE 2,586,04300
DXP ENTERPRISES INCCOM NEW23337740734,7691,175,806SH SOLE 1,175,80600
ELOXX PHARMACEUTICALS INCCOM29014R1031,9711,209,338SH SOLE 1,209,33800
ESTABLISHMENT LABS HLDGS INCCOMG31249108147,2432,057,039SH SOLE 2,057,03900
EXACT SCIENCES CORPCOM30063P10514,318150,000SHPutSOLE 150,00000
EXAGEN INCCOM30068X1032,878211,616SH SOLE 211,61600
FALCON MINERALS CORPCL A COM30607B10911,7262,494,913SH SOLE 2,494,91300
FALCON MINERALS CORP*W EXP 07/21/20230607B208127878,022SH SOLE 878,02200
FARADAY FUTRE INTLGT ELCTR ICOM3073591093,304350,000SH SOLE 350,00000
FINTECH ACQUISITION CORP VCOM CL A31810Q10710,043991,432SH SOLE 991,43200
FINTECH ACQUISITION CORP V*W EXP 12/31/20231810Q115697333,331SH SOLE 333,33100
FINTECH ACQUISITION CORP VIUNIT 06/24/202631811H20510,0001,000,000SH SOLE 1,000,00000
FORTRESS BIOTECH INCCOM34960Q10926,2138,140,794SH SOLE 8,140,79400
FTAC HERA ACQUISITION CORP*W EXP 02/28/202G3728Y111257249,997SH SOLE 249,99700
FTAC HERA ACQUISITION CORPCLASS A ORD SHSG3728Y1039,740999,991SH SOLE 999,99100
GALMED PHARMACEUTICALS LTDSHSM472381061,045374,730SH SOLE 374,73000
GOLDEN ENTMT INCCOM38101310144,242901,237SH SOLE 901,23700
GUARDFORCE AI CO LTDSHS NEWG4236L1122,111533,128SH SOLE 533,12800
GUARDFORCE AI CO LTD*W EXP 09/01/202G4236L120480600,000SH SOLE 600,00000
HARPOON THERAPEUTICS INCCOM41358P1063,306418,483SH SOLE 418,48300
HCA HEALTHCARE INCCOM40412C1018,64135,600SH SOLE 35,60000
HEALTHCOR CATALIO ACQU CORPCL A SHSG441251053,508354,296SH SOLE 354,29600
HERBALIFE NUTRITION LTDCOM SHSG4412G10111,782278,000SHCallSOLE 278,00000
HOOKIPA PHARMA INCCOM43906K1002,918495,388SH SOLE 495,38800
HTG MOLECULAR DIAGNOSTICS INCOM NEW40434H2031,982347,171SH SOLE 347,17100
IDW MEDIA HLDGS INCCL B44951N1063,5281,242,243SH SOLE 1,242,24300
IMAC HLDGS INCCOM44967K1043,5732,414,310SH SOLE 2,414,31000
IMAX CORPCOM45245E10934,1641,800,000SHCallSOLE 1,800,00000
IMAX CORPCOM45245E10953,4572,816,492SH SOLE 2,816,49200
IMMATICS N.VSHSN4444510934,4172,647,449SH SOLE 2,647,44900
IMMATICS N.V*W EXP 07/01/202N44445117958226,471SH SOLE 226,47100
IMV INCCOM44974L1033,7652,268,030SH SOLE 2,268,03000
IN8BIO INCCOM45674E1092,569375,000SH SOLE 375,00000
INSU ACQUISITION CORP III*W EXP 12/31/202457817112292333,332SH SOLE 333,33200
INSU ACQUISITION CORP IIICOM CL A4578171049,820999,996SH SOLE 999,99600
INTERNATIONAL MNY EXPRESS INCOM46005L10125,6121,533,660SH SOLE 1,533,66000
ISHARES TRRUSSELL 2000 ETF464287655481,2502,200,000SHPutSOLE 2,200,00000
ISHARES TR20 YR TR BD ETF46428743286,592600,000SHPutSOLE 600,00000
ISHARES TRRUSSELL 2000 ETF46428765521,78699,593SH SOLE 99,59300
KEROS THERAPEUTICS INCCOM49232710130,081760,383SH SOLE 760,38300
KINTARA THERAPEUTICS INCCOM49720K101582663,279SH SOLE 663,27900
KIRKLANDS INCCOM4974981052,545132,500SHPutSOLE 132,50000
LAVA THERAPEUTICS NVSHSN515171052,186369,290SH SOLE 369,29000
LINCOLN EDL SVCS CORPCOM5335351009,5981,434,674SH SOLE 1,434,67400
LUXFER HOLDINGS PLCSHSG5698W11641,4732,112,728SH SOLE 2,112,72800
MERCK & CO INCCOM58933Y10545,066600,000SHCallSOLE 600,00000
MERRIMACK PHARMACEUTICALS INCOM NEW5903282092,753569,971SH SOLE 569,97100
META FINL GROUP INCCOM59100U10860,4201,151,305SH SOLE 1,151,30500
METROMILE INCCOM5916971076,7461,900,177SH SOLE 1,900,17700
METROMILE INC*W EXP 02/09/202591697115475558,296SH SOLE 558,29600
MILLER HERMAN INCCOM60054410055,3141,468,766SH SOLE 1,468,76600
NAUTILUS BIOTECHNOLOGY INCCOM63909J1086,4121,044,267SH SOLE 1,044,26700
NEUROPACE INCCOM6412881052,245141,641SH SOLE 141,64100
PAR TECHNOLOGY CORPNOTE 2.875% 4/1698884AC79,8296,000,000PRN SOLE 6,000,00000
PARTY CITY HOLDCO INCCOM7021491057,1001,000,000SHCallSOLE 1,000,00000
PAYA HOLDINGS INCCOM CL A70434P10316,1001,481,096SH SOLE 1,481,09600
PAYONEER GLOBAL INCCOM70451X1045,602655,169SH SOLE 655,16900
PELOTON INTERACTIVE INCCL A COM70614W10017,410200,000SHCallSOLE 200,00000
PERELLA WEINBERG PARTNERSCLASS A COM71367G1026,370480,784SH SOLE 480,78400
PERELLA WEINBERG PARTNERS*W EXP 12/31/20271367G1101,264400,000SH SOLE 400,00000
QAD INCCL A74727D30680,989926,756SH SOLE 926,75600
READING INTL INCCL A75540810117,5603,470,315SH SOLE 3,470,31500
RED VIOLET INCCOM75704L10425,8101,000,000SH SOLE 1,000,00000
REGIS CORP MINNCOM7589321075315,268SH SOLE 15,26800
REGIS CORP MINNCOM7589321071,740500,000SHPutSOLE 500,00000
RMR GROUP INCCL A74967R10620,965626,751SH SOLE 626,75100
ROTH CH ACQUISITION III CO*W EXP 02/26/20277867Q11012899,749SH SOLE 99,74900
RYMAN HOSPITALITY PPTYS INCCOM78377T10725,110300,000SHPutSOLE 300,00000
SCIENTIFIC GAMES CORPCOM80874P1091,73020,827SH SOLE 20,82700
SCIENTIFIC GAMES CORPCOM80874P109129,5311,559,300SHCallSOLE 1,559,30000
SCULLY ROYALTY LTDCOM SHSG7T96K1078,540752,434SH SOLE 752,43400
SEMLER SCIENTIFIC INCCOM81684M10418,182145,419SH SOLE 145,41900
SHIFT TECHNOLOGIES INCCL A82452T10731,0514,474,220SH SOLE 4,474,22000
SILVERBACK THERAPEUTICS INCCOM82835W10812,2421,226,631SH SOLE 1,226,63100
SOLENO THERAPEUTICS INCCOM NEW8342032009,0289,765,129SH SOLE 9,765,12900
SPDR SER TRS&P BIOTECH78464A87062,855500,000SHPutSOLE 500,00000
STRATA SKIN SCIENCES INCCOM NEW86272A2068,4194,575,812SH SOLE 4,575,81200
SYNDAX PHARMACEUTICALS INCCOM87164F10550,7782,657,159SH SOLE 2,657,15900
TANGO THERAPEUTICS INCCOM87583X1091,293100,000SH SOLE 100,00000
TAYSHA GENE THERAPIES INCCOM SHS87761910623,2621,249,309SH SOLE 1,249,30900
TELADOC HEALTH INCCOM87918A10512,681100,000SHPutSOLE 100,00000
TELIGENT INC NEWCOM NEW87960W203207525,952SH SOLE 525,95200
TENET HEALTHCARE CORPCOM NEW88033G40758,195875,900SHCallSOLE 875,90000
TFF PHARMACEUTICALS INCCOM87241J1042,093271,067SH SOLE 271,06700
TMC THE METALS COMPANY INCCOM87261Y1063,199700,000SH SOLE 700,00000
TRANSACT TECHNOLOGIES INCCOM8929181031,06576,583SH SOLE 76,58300
TRAVEL PLUS LEISURE COCOM89416410254,5301,000,000SHCallSOLE 1,000,00000
TRAVEL PLUS LEISURE COCOM89416410250,838932,294SH SOLE 932,29400
TRAVELCENTERS OF AMERICA INCCOM NEW89421B10963,3611,272,570SH SOLE 1,272,57000
UNICYCIVE THERAPEUTICS INCCOM90466Y1031,981700,000SH SOLE 700,00000
UNIQURE NVSHSN9006410156,3131,759,218SH SOLE 1,759,21800
UNIQURE NVSHSN9006410167,4102,105,900SHCallSOLE 2,105,90000
VIEMED HEALTHCARE INCCOM92663R1057,9541,433,201SH SOLE 1,433,20100
VIRGIN GALACTIC HOLDINGS INCCOM92766K10610,120400,000SHCallSOLE 400,00000
VONAGE HLDGS CORPCOM92886T20147,7522,962,298SH SOLE 2,962,29800
VONAGE HLDGS CORPCOM92886T20120,1501,250,000SHCallSOLE 1,250,00000
WAVE LIFE SCIENCES LTDSHSY953081054,871994,131SH SOLE 994,13100
WAYFAIR INCCL A94419L101206,375807,700SHCallSOLE 807,70000
ZOGENIX INCCOM NEW98978L2047,318481,782SH SOLE 481,78200
ZOVIO INCCOM98979V1027,1733,001,190SH SOLE 3,001,19000