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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
IWM icon
1
PUT
iShares Russell 2000 ETF
IWM
$79.8B
$194M 16.61%
1,100,000
+400,000
+57% +$75.1M
ESTA icon
2
Establishment Labs
ESTA
$2.72B
$92.6M 7.91%
1,887,617
+44,383
+2% +$2.65M
XBI icon
3
PUT
State Street SPDR S&P Biotech ETF
XBI
$9.95B
$69.4M 5.93%
+950,000
New +$75.9M
CASH icon
4
Pathward Financial
CASH
$1.86B
$56.9M 4.86%
1,234,526
-169,181
-12% -$8.42M
IMAX icon
5
IMAX
IMAX
$2.62B
$50.4M 4.3%
2,606,884
-337,993
-11% -$6.23M
ESTA icon
6
CALL
Establishment Labs
ESTA
$2.72B
$28.4M 2.43%
+579,000
New +$34.6M
LXFR icon
7
Luxfer Holdings
LXFR
$456M
$27.7M 2.36%
2,121,162
-102,277
-5% -$1.29M
RDVT icon
8
Red Violet
RDVT
$979M
$25.3M 2.16%
1,261,896
-5,718
-0.5% -$118K
KRE icon
9
PUT
State Street SPDR S&P Regional Banking ETF
KRE
$4.5B
$25.1M 2.14%
+600,000
New +$26.8M
IMTX icon
10
Immatics
IMTX
$1.18B
$22.2M 1.9%
1,920,636
-364,259
-16% -$4.35M
CRMT icon
11
America's Car Mart
CRMT
$26.6M
$21M 1.8%
230,953
+124,775
+118% +$13M
HGV icon
12
Hilton Grand Vacations
HGV
$3.59B
$20.5M 1.75%
504,242
+63,363
+14% +$2.79M
QURE icon
13
uniQure
QURE
$3.03B
$20.3M 1.73%
3,023,799
+174,815
+6% +$1.57M
BVS icon
14
Bioventus
BVS
$892M
$19.9M 1.7%
6,018,532
+400,906
+7% +$1.41M
PTON icon
15
Peloton Interactive
PTON
$2.77B
$18M 1.53%
3,554,606
+1,792,295
+102% +$12.7M
LYRA
16
DELISTED
LYRA THERAPEUTICS INC
LYRA
$15.8M 1.35%
81,004
+1,853
+2% +$331K
VMD icon
17
Viemed Healthcare
VMD
$447M
$13.7M 1.17%
2,032,170
+303,675
+18% +$2.49M
ASRT
18
DELISTED
Assertio
ASRT
$12M 1.02%
+311,333
New +$18.2M
NPCE icon
19
Neuropace
NPCE
$439M
$11.9M 1.01%
1,219,915
+795,065
+187% +$4.66M
SLNO
20
DELISTED
Soleno Therapeutics
SLNO
$11.6M 0.99%
392,404
-257,437
-40% -$1.56M
GDEN
21
DELISTED
Golden Entertainment
GDEN
$11.3M 0.97%
332,056
-7
-0% -$269
ZVRA icon
22
Zevra Therapeutics
ZVRA
$562M
$11.1M 0.95%
+2,308,216
New +$11.5M
RMR icon
23
The RMR Group
RMR
$325M
$10.6M 0.9%
432,033
-267,297
-38% -$6.44M
RH icon
24
CALL
RH
RH
$3.13B
$10.6M 0.9%
40,000
– –
KROS icon
25
Keros Therapeutics
KROS
$199M
$10.5M 0.9%
328,781
-168,380
-34% -$6.29M
1
2 3 4 5

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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.