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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
+1.01%
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
$1.17B
AUM Growth
+$137M
Cap. Flow
+$273M
Cap. Flow %
23.33%
Top 10 Hldgs %
50.6%
Holding
152
New
28
Increased
32
Reduced
40
Closed
19

Top Buys

Rank Stock Value
1
ASRT
Assertio
ASRT
+$18.2M
2
CRMT icon
America's Car Mart
CRMT
+$13M
3
PTON icon
Peloton Interactive
PTON
+$12.7M
4
ZVRA icon
Zevra Therapeutics
ZVRA
+$11.5M
5
NDLS icon
Noodles & Co
NDLS
+$7.52M

Top Sells

Rank Stock Value
1
TBBK icon
The Bancorp
TBBK
+$14M
2
AUTL
Autolus Therapeutics
AUTL
+$10.2M
3
CASH icon
Pathward Financial
CASH
+$8.42M
4
MAX icon
MediaAlpha
MAX
+$8.11M
5
IWM icon
iShares Russell 2000 ETF
IWM
+$6.53M

Sector Composition

Rank Sector Weight
1 Healthcare 36.11%
2 Consumer Discretionary 9.31%
3 Financials 6.27%
4 Communication Services 5.51%
5 Technology 3.72%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
GAIA icon
126
Gaia
GAIA
$31.6M
$63K 0.01%
23,144
– –
CUE icon
127
Cue Biopharma
CUE
$118M
$61.5K 0.01%
892
– –
GFAIW icon
128
Guardforce AI Warrant
GFAIW
$60K
$54K ﹤0.01%
154,205
– –
GYRE icon
129
Gyre Therapeutics
GYRE
$705M
$32.7K ﹤0.01%
4,520
– –
NOGN
130
DELISTED
Nogin, Inc. Common Stock
NOGN
$30K ﹤0.01%
56,425
– –
NOGNW
131
DELISTED
Nogin, Inc. Warrant
NOGNW
$13.3K ﹤0.01%
330,000
– –
TCBPW
132
DELISTED
TC BioPharm (Holdings) plc Warrants
TCBPW
$5.18K ﹤0.01%
235,294
– –
AUTL
133
Autolus Therapeutics
AUTL
$625M
– –
-4,272,203
Closed -$10.2M
AVTX icon
134
Avalo Therapeutics
AVTX
$1.04B
– –
-2,318
Closed -$198K
CVNA icon
135
CALL
Carvana
CVNA
$79.1B
– –
-750,000
Closed -$3.89M
CVNA icon
136
Carvana
CVNA
$79.1B
– –
-125,000
Closed -$648K
DHC
137
Diversified Healthcare Trust
DHC
$1.97B
– –
-395,613
Closed -$890K
FULC icon
138
Fulcrum Therapeutics
FULC
$282M
– –
-21,370
Closed -$70.5K
GPCR icon
139
Structure Therapeutics
GPCR
$3.72B
– –
-50,000
Closed -$2.08M
IWM icon
140
CALL
iShares Russell 2000 ETF
IWM
$81.8B
– –
-50,000
Closed -$9.36M
SCYX icon
141
SCYNEXIS
SCYX
$48.5M
– –
-37,500
Closed -$885K
SYRE icon
142
Spyre Therapeutics
SYRE
$9.04B
– –
-164,048
Closed -$1.85M
TNL icon
143
Travel + Leisure Co
TNL
$4.53B
– –
-23,016
Closed -$928K
TSHA icon
144
Taysha Gene Therapies
TSHA
$1.9B
– –
-1,251,139
Closed -$827K
UTHR icon
145
United Therapeutics
UTHR
$22B
– –
-15,700
Closed -$3.47M
BACK
146
DELISTED
IMAC Holdings, Inc. Common Stock
BACK
– –
-1,797
Closed -$5.93K
CBAY
147
DELISTED
Cymabay Therapeutics
CBAY
– –
-553,307
Closed -$6.06M
EBET
148
DELISTED
EBET, INC. Common Stock
EBET
– –
-35,514
Closed -$126K
BGRY
149
DELISTED
Berkshire Grey, Inc. Class A Common Stock
BGRY
– –
-500,000
Closed -$705K
EAR
150
DELISTED
Eargo, Inc. Common Stock
EAR
– –
-54,002
Closed -$266K
3 4 5
6
7

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Nantahala Capital Management's Q3 2023 Portfolio in Review

As of Q3 2023, Nantahala Capital Management held 152 positions worth $1.17B, up 13% from $1.03B the previous quarter. Its ten largest holdings account for 51% of the portfolio.

Nantahala Capital Management deployed $273M of net new capital in Q3 2023, opening 28 new positions and adding to 32 existing holdings. Its largest new stake was Assertio: 311,333 shares worth $12M.

By sector, the portfolio is most concentrated in Healthcare at 36% of assets, down from 41% a quarter earlier, followed by Consumer Discretionary and Financials.

On the sell side, the largest reduction was The Bancorp, an estimated $14M trimmed.

  • Nantahala Capital Management's largest Q3 2023 buy was Assertio: 311,333 shares worth $12M.
  • Nantahala Capital Management added most to America's Car Mart in Q3 2023, an estimated $13M increase.
  • Nantahala Capital Management's biggest Q3 2023 reduction was The Bancorp, cutting an estimated $14M.
  • Nantahala Capital Management fully exited Autolus Therapeutics in Q3 2023, selling an estimated $10.2M.
  • Nantahala Capital Management's ten largest holdings make up 51% of its $1.17B portfolio in Q3 2023.
  • Nantahala Capital Management opened 28 new positions and closed 19 in Q3 2023.
  • Nantahala Capital Management's portfolio value rose 13% quarter-over-quarter to $1.17B.

Based on Nantahala Capital Management's 13F filing for Q3 2023, filed 14 Nov 2023.