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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
-2.79%
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
$3.17B
AUM Growth
-$346M
Cap. Flow
-$139M
Cap. Flow %
-4.39%
Top 10 Hldgs %
44.56%
Holding
148
New
26
Increased
24
Reduced
52
Closed
18

Top Buys

Rank Stock Value
1
IWM icon
iShares Russell 2000 ETF
IWM
+$22.1M
2
SMLR
Semler Scientific
SMLR
+$18.4M
3
TSHA icon
Taysha Gene Therapies
TSHA
+$15.5M
4
FTCV
FinTech Acquisition Corp. V Class A Common Stock
FTCV
+$10.5M
5
IMAX icon
IMAX
IMAX
+$10.4M

Top Sells

Rank Stock Value
1
VG
Vonage Holdings Corporation
VG
+$18.9M
2
LNW
Light & Wonder
LNW
+$15.3M
3
PWP icon
Perella Weinberg Partners
PWP
+$13.7M
4
FTCVU
FinTech Acquisition Corp. V Unit
FTCVU
+$13.1M
5
PAYO icon
Payoneer
PAYO
+$11.2M

Sector Composition

Rank Sector Weight
1 Healthcare 24.07%
2 Consumer Discretionary 8.35%
3 Technology 4.89%
4 Financials 4.19%
5 Communication Services 4.05%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
NPCE icon
101
Neuropace
NPCE
$499M
$2.25M 0.07%
141,641
-5,763
-4% -$121K
LVTX
102
DELISTED
LAVA Therapeutics
LVTX
$2.19M 0.07%
369,290
-11,937
-3% -$85.9K
GFAI icon
103
Guardforce AI
GFAI
$11M
$2.11M 0.07%
+13,328
New +$2.11M
TFFP
104
DELISTED
TFF Pharmaceuticals, Inc. Common Stock
TFFP
$2.09M 0.07%
10,843
-3,870
-26% -$821K
HTGM
105
DELISTED
HTG Molecular Diagnostics, Inc. Common Stock
HTGM
$1.98M 0.06%
28,931
-1,371
-5% -$98.1K
UNCY icon
106
Unicycive Therapeutics
UNCY
$137M
$1.98M 0.06%
+70,000
New +$2.01M
ELOX
107
DELISTED
Eloxx Pharmaceuticals, Inc. Common Stock
ELOX
$1.97M 0.06%
30,233
-26,424
-47% -$1.63M
FVAM
108
DELISTED
5:01 Acquisition Corp
FVAM
$1.82M 0.06%
185,213
-1,437
-0.8% -$14.1K
RGS icon
109
PUT
Regis Corp
RGS
$71.5M
$1.74M 0.05%
25,000
-2,500
-9% -$328K
LNW
110
DELISTED
Light & Wonder
LNW
$1.73M 0.05%
20,827
-216,801
-91% -$15.3M
CRBU icon
111
Caribou Biosciences
CRBU
$168M
$1.35M 0.04%
+56,418
New +$1.38M
TNGX icon
112
Tango Therapeutics
TNGX
$4.4B
$1.29M 0.04%
+100,000
New +$1.2M
PWPPW
113
DELISTED
Perella Weinberg Partners Warrant
PWPPW
$1.26M 0.04%
400,000
– –
ELTX icon
114
Elicio Therapeutics
ELTX
$80.6M
$1.16M 0.04%
11,852
-648
-5% -$70K
TACT icon
115
Transact Technologies
TACT
$58.5M
$1.06M 0.03%
+76,583
New +$1.09M
GLMD icon
116
Galmed Pharmaceuticals
GLMD
$4.71M
$1.04M 0.03%
2,082
-3,166
-60% -$1.66M
IMTXW
117
DELISTED
Immatics N.V. Warrants
IMTXW
$958K 0.03%
226,471
– –
FTCVW
118
DELISTED
FinTech Acquisition Corp. V Warrant
FTCVW
$697K 0.02%
+333,331
New +$814K
HURA
119
TuHURA Biosciences
HURA
$136M
$582K 0.02%
379
+80
+27% +$210K
GFAIW icon
120
Guardforce AI Warrant
GFAIW
$90K
$480K 0.02%
+600,000
New +$495K
MILEW
121
DELISTED
Metromile, Inc. Warrant
MILEW
$475K 0.02%
558,296
– –
IIIIW
122
DELISTED
INSU Acquisition Corp. III Warrant
IIIIW
$292K 0.01%
+333,332
New +$324K
HERAW
123
DELISTED
FTAC Hera Acquisition Corp. Warrant
HERAW
$257K 0.01%
+249,997
New +$295K
TLGT
124
DELISTED
Teligent, Inc
TLGT
$207K 0.01%
525,952
-1,893,035
-78% -$828K
QTEKW
125
DELISTED
QualTek Services Inc. Warrant
QTEKW
$128K ﹤0.01%
+99,749
New +$134K
2 3 4
5
6

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Nantahala Capital Management's Q3 2021 Portfolio in Review

As of Q3 2021, Nantahala Capital Management held 148 positions worth $3.17B, down 9.8% from $3.52B the previous quarter. Its ten largest holdings account for 45% of the portfolio.

Nantahala Capital Management withdrew a net $139M in Q3 2021, closing 18 positions and reducing 52 holdings. Its most notable exit was FinTech Acquisition Corp. V Unit, an estimated $13.1M position sold in full.

By sector, the portfolio is most concentrated in Healthcare at 24% of assets, up from 23% a quarter earlier, followed by Consumer Discretionary and Technology.

Against the trend, Nantahala Capital Management opened a new position in iShares Russell 2000 ETF worth $21.8M.

  • Nantahala Capital Management's largest Q3 2021 buy was iShares Russell 2000 ETF: 99,593 shares worth $21.8M.
  • Nantahala Capital Management added most to Taysha Gene Therapies in Q3 2021, an estimated $15.5M increase.
  • Nantahala Capital Management's biggest Q3 2021 reduction was Vonage Holdings Corporation, cutting an estimated $18.9M.
  • Nantahala Capital Management fully exited FinTech Acquisition Corp. V Unit in Q3 2021, selling an estimated $13.1M.
  • Nantahala Capital Management's ten largest holdings make up 45% of its $3.17B portfolio in Q3 2021.
  • Nantahala Capital Management opened 26 new positions and closed 18 in Q3 2021.
  • Nantahala Capital Management's portfolio value fell 9.8% quarter-over-quarter to $3.17B.

Based on Nantahala Capital Management's 13F filing for Q3 2021, filed 15 Nov 2021.