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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
WHF icon
51
WhiteHorse Finance
WHF
$146M
$2.31M 0.31%
198,322
-32,193
-14% -$404K
NRC icon
52
NRC Health Common Stock
NRC
$450M
$2.3M 0.31%
192,454
+200
+0.1% +$2.66K
SXCP
53
DELISTED
SunCoke Energy Partners, L.P.
SXCP
$2.07M 0.28%
187,375
+107,375
+134% +$1.53M
ICON
54
DELISTED
Iconix Brand Group, Inc.
ICON
$1.86M 0.25%
+13,730
New +$2.38M
CGNT
55
DELISTED
Cogentix Medical, Inc.
CGNT
$1.52M 0.21%
1,285,790
+479,843
+60% +$736K
EMMS
56
DELISTED
Emmis Communications Corp
EMMS
$1.38M 0.19%
296,672
+70,952
+31% +$326K
LINC icon
57
Lincoln Educational Services
LINC
$1.3B
$1.19M 0.16%
2,327,545
+55,401
+2% +$57K
SCLN
58
DELISTED
Sciclone Pharmaceuticals Inc
SCLN
$1.18M 0.16%
170,218
-893,302
-84% -$7.65M
ONIT
59
CALL
Onity Group
ONIT
$332M
$1.01M 0.14%
10,000
– –
SODA
60
CALL
DELISTED
SodaStream International Ltd
SODA
$894K 0.12%
65,000
– –
CAS
61
DELISTED
A M Castle & Co
CAS
$699K 0.09%
+314,968
New +$1.1M
UTI icon
62
Universal Technical Institute
UTI
$1.59B
$559K 0.08%
159,216
+41,100
+35% +$230K
DDE
63
DELISTED
Dover Downs Gaming & Entertain
DDE
$199K 0.03%
198,636
– –
JAZZ icon
64
PUT
Jazz Pharmaceuticals
JAZZ
$16.7B
– –
-40,000
Closed -$7.04M
SPY icon
65
PUT
State Street SPDR S&P 500 ETF Trust
SPY
$810B
– –
-75,000
Closed -$15.4M
TFSL icon
66
TFS Financial
TFSL
$4.93B
– –
-125,087
Closed -$2.1M
WRLD icon
67
CALL
World Acceptance Corp
WRLD
$873M
– –
-122,400
Closed -$7.53M
XBI icon
68
CALL
State Street SPDR S&P Biotech ETF
XBI
$10.3B
– –
-90,000
Closed -$7.57M
LL
69
CALL
DELISTED
LL Flooring Holdings, Inc.
LL
– –
-46,000
Closed -$953K
ZVO
70
CALL
DELISTED
Zovio Inc. Common Stock
ZVO
– –
-65,000
Closed -$621K
RLH
71
DELISTED
Red Lions Hotel Corporation
RLH
– –
-324,647
Closed -$2.49M
FCRE
72
DELISTED
FC Global Realty Incorporated Common Stock
FCRE
– –
-21,018
Closed -$143K
LVNTA
73
DELISTED
Liberty Interactive Corporation Series A Liberty Ventures
LVNTA
– –
-192,035
Closed -$7.54M
FULL
74
DELISTED
Full Circle Capital Corporation
FULL
– –
-149,055
Closed -$532K
ESI
75
CALL
DELISTED
ITT EDUCATIONAL SERVICES INC
ESI
– –
-100,000
Closed -$397K
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.