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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
+3.46%
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
$1.55B
AUM Growth
-$449M
Cap. Flow
-$417M
Cap. Flow %
-27.01%
Top 10 Hldgs %
47.59%
Holding
143
New
19
Increased
20
Reduced
61
Closed
22

Top Buys

Rank Stock Value
1
CASH icon
Pathward Financial
CASH
+$12.3M
2
IWM icon
iShares Russell 2000 ETF
IWM
+$9.39M
3
COST icon
Costco
COST
+$7.88M
4
IDYA icon
IDEAYA Biosciences
IDYA
+$3.29M
5
CDXS icon
Codexis
CDXS
+$3.09M

Top Sells

Rank Stock Value
1
SNDX icon
Syndax Pharmaceuticals
SNDX
+$28.9M
2
LNW
Light & Wonder
LNW
+$20.6M
3
SMLR
Semler Scientific
SMLR
+$10.3M
4
BBQ
BBQ Holdings, Inc. Common Stock
BBQ
+$9.88M
5
IIII
INSU Acquisition Corp. III Class A Common Stock
IIII
+$9.65M

Sector Composition

Rank Sector Weight
1 Healthcare 28.65%
2 Consumer Discretionary 12.74%
3 Industrials 6.25%
4 Communication Services 4.08%
5 Financials 4.06%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
IDN icon
101
Intellicheck
IDN
$76.1M
$314K 0.02%
+124,594
New +$321K
CDXS icon
102
CALL
Codexis
CDXS
$159M
$303K 0.02%
50,000
– –
ZVO
103
DELISTED
Zovio Inc. Common Stock
ZVO
$281K 0.02%
1,961,635
+306,300
+19% +$151K
TACT icon
104
Transact Technologies
TACT
$59.6M
$240K 0.02%
65,738
-4,253
-6% -$18.5K
CUE icon
105
Cue Biopharma
CUE
$119M
$208K 0.01%
3,110
-239
-7% -$20.6K
AUTL
106
CALL
Autolus Therapeutics
AUTL
$620M
$150K 0.01%
+70,300
New +$208K
SFT
107
DELISTED
Shift Technologies, Inc. Class A Common Stock
SFT
$140K 0.01%
20,000
-246,293
-92% -$2.36M
CYRN
108
DELISTED
CYREN Ltd.
CYRN
$139K 0.01%
+141,615
New +$230K
RFL icon
109
Rafael Holdings
RFL
$100M
$131K 0.01%
73,695
+53,988
+274% +$114K
WEJO
110
DELISTED
Wejo Group Limited Common Shares
WEJO
$129K 0.01%
118,175
-14,553
-11% -$19K
STRDW
111
DELISTED
Sitio Royalties Corp. Warrant
STRDW
$99K 0.01%
582,350
– –
HURA
112
TuHURA Biosciences
HURA
$147M
$64K ﹤0.01%
340
+274
+415% +$87.6K
TCBPW
113
DELISTED
TC BioPharm (Holdings) plc Warrants
TCBPW
$29K ﹤0.01%
235,294
– –
QTEKW
114
DELISTED
QualTek Services Inc. Warrant
QTEKW
$26K ﹤0.01%
96,244
– –
IIIIW
115
DELISTED
INSU Acquisition Corp. III Warrant
IIIIW
$23K ﹤0.01%
333,332
– –
GFAIW icon
116
Guardforce AI Warrant
GFAIW
$60K
$22K ﹤0.01%
154,205
– –
HERAW
117
DELISTED
FTAC Hera Acquisition Corp. Warrant
HERAW
$19K ﹤0.01%
222,949
– –
FTCVW
118
DELISTED
FinTech Acquisition Corp. V Warrant
FTCVW
$13K ﹤0.01%
333,331
– –
FTVIW
119
DELISTED
FinTech Acquisition Corp. VI Warrants
FTVIW
$10K ﹤0.01%
240,600
– –
AMPH icon
120
PUT
Amphastar Pharmaceuticals
AMPH
$868M
– –
-1,000,000
Closed -$34.8M
CVSA
121
PUT
Covista Inc
CVSA
$4.31B
– –
-900,000
Closed -$32.4M
CGTX icon
122
Cognition Therapeutics
CGTX
$96M
– –
-192,752
Closed -$407K
GOGO icon
123
PUT
Gogo Inc
GOGO
$390M
– –
-500,000
Closed -$8.1M
INAB icon
124
IN8bio
INAB
$10M
– –
-4,960
Closed -$359K
INMD icon
125
InMode
INMD
$871M
– –
-158,154
Closed -$3.54M
2 3 4
5
6

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Nantahala Capital Management's Q3 2022 Portfolio in Review

As of Q3 2022, Nantahala Capital Management held 143 positions worth $1.55B, down 23% from $1.99B the previous quarter. Its ten largest holdings account for 48% of the portfolio.

Nantahala Capital Management withdrew a net $417M in Q3 2022, closing 22 positions and reducing 61 holdings. Its most notable exit was BBQ Holdings, Inc. Common Stock, an estimated $9.88M position sold in full.

By sector, the portfolio is most concentrated in Healthcare at 29% of assets, up from 24% a quarter earlier, followed by Consumer Discretionary and Industrials.

Against the trend, Nantahala Capital Management opened a new position in IDEAYA Biosciences worth $3.78M.

  • Nantahala Capital Management's largest Q3 2022 buy was IDEAYA Biosciences: 253,480 shares worth $3.78M.
  • Nantahala Capital Management added most to Pathward Financial in Q3 2022, an estimated $12.3M increase.
  • Nantahala Capital Management's biggest Q3 2022 reduction was Syndax Pharmaceuticals, cutting an estimated $28.9M.
  • Nantahala Capital Management fully exited BBQ Holdings, Inc. Common Stock in Q3 2022, selling an estimated $9.88M.
  • Nantahala Capital Management's ten largest holdings make up 48% of its $1.55B portfolio in Q3 2022.
  • Nantahala Capital Management opened 19 new positions and closed 22 in Q3 2022.
  • Nantahala Capital Management's portfolio value fell 23% quarter-over-quarter to $1.55B.

Based on Nantahala Capital Management's 13F filing for Q3 2022, filed 10 Nov 2022.