Nantahala Capital Management, LLC

13D and 13G Filings

Investors who own more than 5% of a class must file a Schedule 13D or 13G. Every filing since 12/18/2024, newest first.

Issuer	Symbol	CUSIP	% of Class	Shares	Form	Filed
Assertio Holdings, Inc. 13G/A Amendment 1 ASRT · 04546C205	ASRT	04546C205	9.4%	8,948,336	13G/A Amendment 1	11/14/2024 Event 9/30/2024
Nantahala Capital Management, LLC			9.4%	8,948,336
Wilmot B. Harkey			9.4%	8,948,336
Daniel Mack			9.4%	8,948,336
Optinose, Inc. 13G OPTN · 68404V100	OPTN	68404V100	10.0%	15,140,948	13G	11/14/2024 Event 9/30/2024
Nantahala Capital Management, LLC			10.0%	15,140,948
Wilmot B. Harkey			10.0%	15,140,948
Daniel Mack			10.0%	15,140,948
The One Group Hospitality, Inc. 13G STKS · 88338K103	STKS	88338K103	5.4%	1,684,073	13G	11/14/2024 Event 9/30/2024
Nantahala Capital Management, LLC			5.4%	1,684,073
Wilmot B. Harkey			5.4%	1,684,073
Daniel Mack			5.4%	1,684,073
Noodles & Company 13G/A Amendment 1 NDLS · 65540B105	NDLS	65540B105	9.9%	4,508,329	13G/A Amendment 1	11/14/2024 Event 9/30/2024
Nantahala Capital Management, LLC			9.9%	4,508,329
Wilmot B. Harkey			9.9%	4,508,329
Daniel Mack			9.9%	4,508,329
NeuroOne Medical Technologies Corporation 13G/A Amendment 1 NMTC · 64130M209	NMTC	64130M209	2.6%	798,762	13G/A Amendment 1	11/14/2024 Event 9/30/2024
Nantahala Capital Management, LLC			2.6%	798,762
Wilmot B. Harkey			2.6%	798,762
Daniel Mack			2.6%	798,762
Lyra Therapeutics, Inc. 13G/A Amendment 2 LYRA · 55234L105	LYRA	55234L105	1.1%	702,106	13G/A Amendment 2	11/14/2024 Event 9/30/2024
Nantahala Capital Management, LLC			1.1%	702,106
Wilmot B. Harkey			1.1%	702,106
Daniel Mack			1.1%	702,106
Luxfer Holdings PLC 13G/A Amendment 8 LXFR · G5698W116	LXFR	G5698W116	1.5%	413,950	13G/A Amendment 8	11/14/2024 Event 9/30/2024
Nantahala Capital Management, LLC			1.5%	413,950
Wilmot B. Harkey			1.5%	413,950
Daniel Mack			1.5%	413,950
Kiora Pharmaceuticals, Inc. 13G KPRX · 49721T507	KPRX	49721T507	10.0%	306,262	13G	11/14/2024 Event 9/30/2024
Nantahala Capital Management, LLC			10.0%	306,262
Wilmot B. Harkey			10.0%	306,262
Daniel Mack			10.0%	306,262
InspireMD, Inc. 13G/A Amendment 1 NSPR · 45779A846	NSPR	45779A846	10.0%	2,607,884	13G/A Amendment 1	11/14/2024 Event 9/30/2024
Nantahala Capital Management, LLC			10.0%	2,607,884
Wilmot B. Harkey			10.0%	2,607,884
Daniel Mack			10.0%	2,607,884
IMAX Corporation 13G IMAX · 45245E109	IMAX	45245E109	5.3%	2,778,774	13G	11/14/2024 Event 9/30/2024
Nantahala Capital Management, LLC			5.3%	2,778,774
Wilmot B. Harkey			5.3%	2,778,774
Daniel Mack			5.3%	2,778,774
Gaia, Inc 13G/A Amendment 1 GAIA · 36269P104	GAIA	36269P104	5.1%	915,029	13G/A Amendment 1	11/14/2024 Event 9/30/2024
Nantahala Capital Management, LLC			5.1%	915,029
Wilmot B. Harkey			5.1%	915,029
Daniel Mack			5.1%	915,029
Aprea Therapeutics, Inc. 13G APRE · 03836J201	APRE	03836J201	7.3%	411,520	13G	11/14/2024 Event 9/30/2024
Nantahala Capital Management, LLC			7.3%	411,520
Wilmot B. Harkey			7.3%	411,520
Daniel Mack			7.3%	411,520
Fulcrum Therapeutics, Inc. 13G FULC · 359616109	FULC	359616109	7.7%	4,777,912	13G	11/14/2024 Event 9/30/2024
Nantahala Capital Management, LLC			7.7%	4,777,912
Wilmot B. Harkey			7.7%	4,777,912
Daniel Mack			7.7%	4,777,912
Evolus, Inc. 13G/A Amendment 1 EOLS · 30052C107	EOLS	30052C107	4.5%	2,824,849	13G/A Amendment 1	11/14/2024 Event 9/30/2024
Nantahala Capital Management, LLC			4.5%	2,824,849
Wilmot B. Harkey			4.5%	2,824,849
Daniel Mack			4.5%	2,824,849
Establishment Labs Holdings Inc. 13G/A Amendment 4 ESTA · G31249108	ESTA	G31249108	8.5%	2,359,141	13G/A Amendment 4	11/14/2024 Event 9/30/2024
Nantahala Capital Management, LLC			8.4%	2,359,141
Wilmot B. Harkey			8.4%	2,359,141
Daniel Mack			8.5%	2,359,141
enVVeno Medical Corporation 13G/A Amendment 1 NVNO · 29415J106	NVNO	29415J106	7.1%	1,285,857	13G/A Amendment 1	11/14/2024 Event 9/30/2024
Nantahala Capital Management, LLC			7.1%	1,285,857
Wilmot B. Harkey			7.1%	1,285,857
Daniel Mack			7.1%	1,285,857
Elutia Inc. 13G/A Amendment 1 ELUT · 05479K106	ELUT	05479K106	10.0%	2,983,568	13G/A Amendment 1	11/14/2024 Event 9/30/2024
Nantahala Capital Management, LLC			10.0%	2,983,568
Wilmot B. Harkey			10.0%	2,983,568
Daniel Mack			10.0%	2,983,568
Ehealth, Inc. 13G EHTH · 28238P109	EHTH	28238P109	6.5%	1,911,821	13G	11/14/2024 Event 9/30/2024
Nantahala Capital Management, LLC			6.5%	1,911,821
Wilmot B. Harkey			6.5%	1,911,821
Daniel Mack			6.5%	1,911,821
DHI Group, Inc. 13G/A Amendment 6 DHX · 23331S100	DHX	23331S100	4.9%	2,376,606	13G/A Amendment 6	11/14/2024 Event 9/30/2024
Nantahala Capital Management, LLC			4.9%	2,376,606
Wilmot B. Harkey			4.9%	2,376,606
Daniel Mack			4.9%	2,376,606
DarioHealth Corp. 13G/A Amendment 6 DRIO · 23725P209	DRIO	23725P209	10.0%	3,054,932	13G/A Amendment 6	11/14/2024 Event 9/30/2024
Nantahala Capital Management, LLC			10.0%	3,054,932
Wilmot B. Harkey			10.0%	3,054,932
Daniel Mack			10.0%	3,054,932
Conns, Inc. 13G CONNQ · 208242107	CONNQ	208242107	9.1%	2,264,578	13G	11/14/2024 Event 9/30/2024
Nantahala Capital Management, LLC			9.1%	2,264,578
Wilmot B. Harkey			9.1%	2,264,578
Daniel Mack			9.1%	2,264,578
Abeona Therapeutics Inc. 13G/A Amendment 2 ABEO · 00289Y206	ABEO	00289Y206	10.0%	4,426,382	13G/A Amendment 2	11/14/2024 Event 9/30/2024
Nantahala Capital Management, LLC			10.0%	4,426,382
Wilmot B. Harkey			10.0%	4,426,382
Daniel Mack			10.0%	4,426,382
BiomX Inc. 13G PHGE · 09090D301	PHGE	09090D301	10.0%	1,794,141	13G	11/13/2024 Event 9/30/2024
Nantahala Capital Management, LLC			10.0%	1,794,141
Wilmot B. Harkey			10.0%	1,794,141
Daniel Mack			10.0%	1,794,141