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Institutional Investment Manager
Nantahala Capital Management, LLC
Nantahala Capital Management, LLC (CIK: 0001472322) incorporated in Massachusetts, located at 130 Main St., New Canaan, CT. Institutional holdings reported to the SEC.

Institutional Holdings (2016Q4)
Original 13F HR (0001144204-17-008613) filed in 2017.02.14
#
Name
Shares
Value ($)
%
Options
Notes
1 REPUBLIC BANCORP KY 7,371 291 0.03%
2 MFC BANCORP LTD 337,978 659 0.07%
3 OCWEN FINL CORP 186,000 1,003 0.10% Call
4 FB FINL CORP COM 50,000 1,298 0.13%
5 DOVER DOWNS GAMING & ENTMT I 1,276,311 1,315 0.14%
6 CARDCONNECT CORP 447,363 1,423 0.15%
7 FALCONSTOR SOFTWARE INC 3,235,818 1,456 0.15%
8 SPARK THERAPEUTICS INCORPORATED 30,000 1,497 0.16% Call
9 STREAMLINE HEALTH SOLUTIONS COM 1,470,063 1,838 0.19%
10 PAIN THERAPEUTICS INC 3,429,353 1,955 0.20%
11 UNIVERSAL TECHNICAL INST INC 686,546 1,998 0.21%
12 STERLING CONSTRUCTION CO INC 257,604 2,179 0.23%
13 UNIQURE NV 400,000 2,240 0.23%
14 EMMIS COMMUNICATIONS-CLASS A 674,122 2,285 0.24%
15 EMERGENT CAP INC 2,010,970 2,433 0.25%
16 R H 100,000 3,070 0.32% Call
17 MARRIOTT VACATIONS WORLDWIDE C COM 40,000 3,394 0.35%
18 CHEMOCENTRYX INC 467,455 3,459 0.36%
19 DOVER MOTORSPORTS INC 1,725,789 3,969 0.41%
20 EZCORP INC CL A NON VTG 386,494 4,116 0.43%
21 LINCOLN EDL SVCS CORP 2,373,899 4,558 0.47%
22 SEARS HLDGS CORP 500,000 4,645 0.48% Call
23 DEVRY EDUCATION 150,000 4,680 0.49% Put
24 ARIAD PHARMACEUTICALS ORD (NMS) 400,000 4,976 0.52% Put
25 EZCORP INC 5,500,000 5,361 0.56% PRN
26 TRANS WORLD ENTMT CORP 1,784,034 5,820 0.60%
27 RADIANT LOGISTICS INC 1,544,154 6,022 0.63%
28 ARIAD PHARMACEUTICALS ORD (NMS) 500,000 6,220 0.65% Put
29 COGENTIX MED INC 3,132,384 6,296 0.65%
30 EVOLUTION PETE CORP 688,282 6,883 0.71%
31 FIAT CHRYSLER AUTOMOBILES N 800,000 7,296 0.76% Call
32 CORECIVIC INC 300,000 7,338 0.76% Put
33 FERRARI N V 129,064 7,504 0.78%
34 IMPERIAL HLDGS INC 8.5 PERCENT 2/19 9,970,000 7,561 0.78% PRN
35 ON DECK CAP INC 1,757,126 8,135 0.84%
36 SPDR SER TR 150,000 8,336 0.87% Put
37 FIAT CHRYSLER AUTOMOBILES N 995,800 9,082 0.94% Call
38 R H 300,000 9,210 0.96% Call
39 R H 300,000 9,210 0.96% Call
40 LIGHT & WONDER INC COM 700,000 9,800 1.02% Call
41 PHARMATHENE INC COM 3,202,045 10,407 1.08%
42 ELDORADO RESORTS INC COM 628,893 10,660 1.11%
43 R H 364,376 11,186 1.16%
44 ArQule Inc 9,333,541 11,760 1.22%
45 Cardconnect Corp 938,808 11,923 1.24%
46 OWENS RLTY MTG INC 654,968 12,130 1.26%
47 GOLDEN ENTMT INC COM 1,013,860 12,278 1.27%
48 LIGHT & WONDER INC COM 898,200 12,575 1.31% Call
49 CITI TRENDS INC COM 808,349 15,229 1.58%
50 LIGHT & WONDER INC COM 1,186,689 16,614 1.72%
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