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NCM

Nantahala Capital Management Portfolio holdings

AUM $2.72B
1-Year Est. Return 121.58%
This Fund
S&P 500
This Quarter Est. Return
-9%
1 Year Est. Return
+121.58%
3 Year Est. Return
+308.64%
5 Year Est. Return
+308.9%
10 Year Est. Return
+2,888.73%
AUM
$737M
AUM Growth
+$55.1M
Cap. Flow
+$144M
Cap. Flow %
19.48%
Top 10 Hldgs %
49.65%
Holding
80
New
9
Increased
44
Reduced
5
Closed
13

Top Buys

Rank Stock Value
1
DLB icon
Dolby
DLB
+$21.4M
2
FCFS icon
FirstCash
FCFS
+$20M
3
NWSA icon
News Corp Class A
NWSA
+$12.9M
4
LNW
Light & Wonder
LNW
+$12.8M
5
EMG
Emergent Capital, Inc.
EMG
+$11M

Top Sells

Rank Stock Value
1
IFT
IMPERIAL HLDGS INC COM STK (FL)
IFT
+$11.2M
2
SCLN
Sciclone Pharmaceuticals Inc
SCLN
+$7.65M
3
LVNTA
Liberty Interactive Corporation Series A Liberty Ventures
LVNTA
+$7.54M
4
RLH
Red Lions Hotel Corporation
RLH
+$2.49M
5
TFSL icon
TFS Financial
TFSL
+$2.1M

Sector Composition

Rank Sector Weight
1 Consumer Discretionary 20.68%
2 Financials 9.79%
3 Industrials 6.29%
4 Healthcare 5.23%
5 Technology 3.84%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
KSPN
26
DELISTED
Kaspien Holdings Inc. Common Stock
KSPN
$8.38M 1.14%
111,148
+4,036
+4% +$295K
FLNA
27
Filana Therapeutics
FLNA
$48.1M
$8.3M 1.13%
648,244
+3,158
+0.5% +$39.9K
ARQL
28
DELISTED
Arqule Inc
ARQL
$8.01M 1.09%
4,285,020
+1,950,699
+84% +$3.37M
ESI
29
DELISTED
ITT EDUCATIONAL SERVICES INC
ESI
$7.93M 1.08%
2,312,943
+737,424
+47% +$2.73M
F icon
30
PUT
Ford
F
$55.7B
$7.6M 1.03%
+560,000
New +$8M
FALC
31
DELISTED
FalconStor Software Inc
FALC
$7.5M 1.02%
3,771,043
+8,800
+0.2% +$14.8K
CROX icon
32
CALL
Crocs
CROX
$6.55B
$7.46M 1.01%
576,900
+100,000
+21% +$1.45M
SIR
33
DELISTED
SELECT INCOME REIT
SIR
$7.42M 1.01%
+887,710
New +$7.7M
RBCAA icon
34
Republic Bancorp
RBCAA
$1.95B
$6.71M 0.91%
273,537
+41,000
+18% +$1.03M
RLGT icon
35
Radiant Logistics
RLGT
$395M
$6.35M 0.86%
1,422,803
+379,615
+36% +$2.33M
LXFR icon
36
Luxfer Holdings
LXFR
$458M
$6.23M 0.85%
+577,239
New +$7.12M
GDEN
37
DELISTED
Golden Entertainment
GDEN
$6.22M 0.84%
688,117
+118,973
+21% +$1.07M
EPM icon
38
Evolution Petroleum
EPM
$131M
$5.99M 0.81%
1,042,785
+157,607
+18% +$873K
QADB
39
DELISTED
QAD Inc. Class B
QADB
$5.39M 0.73%
251,237
+51,141
+26% +$1.08M
USAK
40
DELISTED
USA Truck Inc
USAK
$5.23M 0.71%
303,727
+40,700
+15% +$812K
GM icon
41
PUT
General Motors
GM
$76.8B
$5.1M 0.69%
+170,000
New +$5.21M
SXC icon
42
SunCoke Energy
SXC
$797M
$4.99M 0.68%
641,767
+144,225
+29% +$1.61M
BCOV
43
DELISTED
Brightcove, Inc.
BCOV
$4.89M 0.66%
994,064
+198,082
+25% +$1.12M
CVO
44
DELISTED
Cenevo, Inc.
CVO
$4.11M 0.56%
273,327
+73,075
+36% +$1.03M
ALT icon
45
Altimmune
ALT
$599M
$3.81M 0.52%
9,553
+1,180
+14% +$559K
YHOO
46
DELISTED
Yahoo Inc
YHOO
$3.47M 0.47%
+120,000
New +$4.16M
INCY icon
47
CALL
Incyte
INCY
$24.4B
$3.42M 0.46%
31,000
+6,000
+24% +$673K
URI icon
48
CALL
United Rentals
URI
$72.4B
$3.25M 0.44%
54,200
– –
DVD
49
DELISTED
Dover Motorsports
DVD
$2.96M 0.4%
1,286,331
+219,855
+21% +$504K
CCN
50
DELISTED
CardConnect Corp.
CCN
$2.55M 0.35%
250,000
– –
1
2
3 4

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Nantahala Capital Management's Q3 2015 Portfolio in Review

As of Q3 2015, Nantahala Capital Management held 80 positions worth $737M, up 8.1% from $682M the previous quarter. Its ten largest holdings account for 50% of the portfolio.

Nantahala Capital Management deployed $144M of net new capital in Q3 2015, opening 9 new positions and adding to 44 existing holdings. Its largest new stake was Emergent Capital, Inc.: 2,061,824 shares worth $10.9M.

By sector, the portfolio is most concentrated in Consumer Discretionary at 21% of assets, down from 23% a quarter earlier, followed by Financials and Industrials.

On the sell side, the largest reduction was Sciclone Pharmaceuticals Inc, an estimated $7.65M trimmed.

  • Nantahala Capital Management's largest Q3 2015 buy was Emergent Capital, Inc.: 2,061,824 shares worth $10.9M.
  • Nantahala Capital Management added most to Dolby in Q3 2015, an estimated $21.4M increase.
  • Nantahala Capital Management's biggest Q3 2015 reduction was Sciclone Pharmaceuticals Inc, cutting an estimated $7.65M.
  • Nantahala Capital Management fully exited IMPERIAL HLDGS INC COM STK (FL) in Q3 2015, selling an estimated $11.2M.
  • Nantahala Capital Management's ten largest holdings make up 50% of its $737M portfolio in Q3 2015.
  • Nantahala Capital Management opened 9 new positions and closed 13 in Q3 2015.
  • Nantahala Capital Management's portfolio value rose 8.1% quarter-over-quarter to $737M.

Based on Nantahala Capital Management's 13F filing for Q3 2015, filed 13 Nov 2015.