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| Nantahala Capital Management LLC
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|---|---|
| CRD # | 158081 |
| SEC # | 801-72481 |
| CIK # | 0001472322 |
| AUM | 3,114.1 M (2026-03-30) |
| Employees | 14 (43% Investors, 0% Brokers) |
| Phone | 203-909-6430 |
| Address | 130 Main St New Canaan, CT 06840 |
| Source | [IAPD] [EDGAR] [Website] |
| Total AUM ($B) |
|---|
| Sector | Form 13F Holdings | Value ($B) | |
|---|---|---|---|
| Peloton Interactive Inc | 0.1 | ||
| Herbalife Ltd | 0.1 | ||
| Hilton Grand Vacations Inc | 0.1 | ||
| Bancorp Inc | 0.1 | ||
| Upjohn Inc | 0.1 | ||
| Edwards Lifesciences Corp | 0.1 | ||
| Bioventus Inc | 0.1 | ||
| Establishment Labs Holdings Inc | 0.0 | ||
| Uniqure NV | 0.0 | ||
| Teva Pharmaceutical Industries Ltd | 0.0 | ||
| View All | |||
| Holdings by Sector ($B) |
|---|
| Type | Form D Funds | Date | Sold | AUM |
|---|---|---|---|---|
| HF | NCP ER LLC | 2025-03-31 | 2.5 M | |
| HF | NCP CB LP | 2022-02-03 | 89.8 M | |
| HF | NCP RFM LP | 2021-02-22 | 387.6 M | |
| HF | NCP QR LP | [2019-08-26] | 76.6 M | 69.1 M |
| Filed 2023-10-20 (D/A) · Exemption 506(b) · Remaining Indefinite · Duration More than one year · Net Assets Decline to Disclose | ||||
| HF | Nantahala Capital Partners SI LP | [2016-03-30] | 513.6 M | 81.0 M |
| Filed 2024-10-04 (D/A) · Exemption 506(b), 3(c), 3(c)(7) · Remaining Indefinite · Duration More than one year · Net Assets $50,000,001 - $100,000,000 | ||||
| HF | SMA2 | 2013-03-28 | 963.0 M | |
| HF | SMA3 | 2013-03-28 | 0.9 M | |
| HF | Nantahala Capital Partners CL LP | [2012-03-30] | 111.8 M | 44.2 M |
| Filed 2013-04-25 (D/A) · Exemption 506, 3(c), 3(c)(7) · Minimum $1,000,000 · Remaining Indefinite · Duration More than one year · Net Assets $25,000,001 - $50,000,000 | ||||
| HF | Nantahala Capital Partners II Limited Partnership | [2012-03-30] | 490.9 M | 53.1 M |
| Filed 2022-10-07 (D/A) · Exemption 506(b), 3(c), 3(c)(7) · Remaining Indefinite · Duration More than one year · Net Assets $5,000,001 - $25,000,000 | ||||
| HF | Nantahala Capital Partners Limited Partnership | [2012-03-30] | 38.5 M | 914.6 M |
| Filed 2025-09-29 (D/A) · Exemption 506(b), 3(c), 3(c)(7) · Remaining Indefinite · Duration More than one year · Net Assets $1 - $5,000,000 | ||||
| View All | ||||
| AUM Breakdown | Accounts | AUM ($B) |
|---|---|---|
| By Client Type | ||
| (a) Individuals (other than high net worth individuals) | 0 | 0.0 |
| (b) Individuals (high net worth individuals) | 0 | 0.0 |
| (c) Banking or thrift institutions | 0 | 0.0 |
| (d) Investment companies | 0 | 0.0 |
| (e) Business development companies | 0 | 0.0 |
| (f) Pooled investment vehicles | 10 | 3.1 |
| (g) Pension and profit sharing plans | 0 | 0.0 |
| (h) Charitable organizations | 1 | 0.0 |
| (i) State or municipal government entities | 0 | 0.0 |
| (j) Other investment advisers | 0 | 0.0 |
| (k) Insurance companies | 0 | 0.0 |
| (l) Sovereign wealth funds and foreign official institutions | 0 | 0.0 |
| (m) Corporations or other businesses not listed above | 0 | 0.0 |
| (n) Other | 0 | 0.0 |
| Total | 11 | 3.1 |
| By Discretionary | ||
| Discretionary | 11 | 3.1 |
| Non-Discretionary | 0 | 0.0 |
| Total | 11 | 3.1 |
| By Non-United States Persons | ||
| Non-United States Persons | 0.1 | |
| United States Persons | 3.0 | |
| Total | 11 | 3.1 |
| Form D Directors | Role | # Filings | # Firms | 2011 - 2026 |
|---|---|---|---|---|
| Ronan Guilfoyle | Director | 358 | 108 | |
| Kevin Philip | Director | 10 | 4 | |
| James Keane | Director | 10 | 4 | |
| Wilmot Harkey | Director, Executive Officer, Promoter | 10 | 2 | |
| Daniel Mack | Director, Executive Officer, Promoter | 8 | 2 | |
| Nantahala Capital Management LLC | Executive Officer, Promoter | 7 | 2 | |
| Nantahala Capital Management | Promoter | 6 | 2 | |
| Nantahala Capital GP LLC | Executive Officer | 1 | 1 | |
| QR GP LLC | Executive Officer | 1 | 1 |
| EDGAR Form | CIK | 2011 - 2026 |
|---|---|---|
| 13F-HR | [0001472322] | |
| 3 | [0001472322] | |
| 4 | [0001472322] | |
| SC 13D | [0001472322] | |
| SC 13G | [0001472322] |
| Firm Profile (Form ADV) | |
|---|---|
| Discretionary AUM | $0.6B |
| Serves | Institutional |
| Fund Types | Hedge Fund |
| LEI | 549300G0AL5VAD4D2J54 |
| Insider Transaction (Form 3/4/5) | Date | Action | Shares | Price | Value ($) |
|---|---|---|---|---|---|
|
Talphera Inc TLPH
Pre-Funded Warrants · derivative
|
2026-03-13 | Grant | 4,266,211 | $0.59 | 2,517,064 |
|
Evoke Pharma Inc EVOK
Prefunded Warrants · derivative
|
2025-12-17 | Other | 433,962 | $11.00 | 4,773,582 |
|
Evoke Pharma Inc EVOK
Series A Common Stock Purchase Warrants · derivative
|
2025-12-17 | Other | 117,019 | $4.71 | 551,159 |
|
Evoke Pharma Inc EVOK
Common Stock
|
2025-12-17 | Other | 148,153 | $11.00 | 1,629,683 |
|
Evoke Pharma Inc EVOK
Amended Series C Common Stock Purchase Warrants · derivative
|
2025-12-17 | Other | 250,627 | $10.99 | 2,754,391 |
|
Evoke Pharma Inc EVOK
Amended Series A Common Stock Purchase Warrants · derivative
|
2025-12-17 | Other | 158,531 | $10.99 | 1,742,256 |
|
Evoke Pharma Inc EVOK
Series C Common Stock Purchase Warrants · derivative
|
2025-12-17 | Other | 117,019 | $4.71 | 551,159 |
|
Aytu Biopharma Inc AYTU
Prefunded Warrants · derivative
|
2025-06-06 | Buy | 4,000,000 | $1.50 | 6,000,000 |
|
Talphera Inc TLPH
Pre-Funded Warrants · derivative
|
2025-03-31 | Grant | 4,266,211 | $0.59 | 2,517,064 |
|
Evoke Pharma Inc EVOK
Common Stock
|
2025-01-28 | Sell | 41 | $4.39 | 180 |
|
Aytu Biopharma Inc AYTU
Exchange Warrants · derivative
|
2024-06-14 | Option exercise | 815,217 | $0.00 | |
|
Aytu Biopharma Inc AYTU
Tranche B Warrant · derivative
|
2024-06-14 | Option exercise | 815,217 | $0.00 | |
|
Talphera Inc TLPH
2024 Pre-Funded Warrants · derivative
|
2024-03-19 | Other | 324,675 | ||
|
Talphera Inc TLPH
Common Stock
|
2024-03-15 | Option exercise | 755,000 | $5.00 | 3,775,000 |
|
Talphera Inc TLPH
Put Option (obligation to buy) · derivative
|
2024-03-15 | Option exercise | 755,000 | $0.00 | |
|
Talphera Inc TLPH
2023 Series B Warrants · derivative
|
2024-01-22 | Disposed to issuer | 2,205,883 | ||
|
Talphera Inc TLPH
2023 Series B Warrants · derivative
|
2024-01-22 | Grant | 2,205,883 | ||
|
Talphera Inc TLPH
2023 Series A Warrants · derivative
|
2024-01-22 | Grant | 2,205,883 | ||
|
Talphera Inc TLPH
2023 Series A Warrants · derivative
|
2024-01-22 | Disposed to issuer | 2,205,883 | ||
|
Talphera Inc TLPH
2024 Pre-Funded Warrants · derivative
|
2024-01-22 | Grant | 6,168,832 | $0.77 | 4,750,001 |
| showing 20 of 33 most recent transactions | |||||
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✚
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