NANTAHALA CAPITAL MANAGEMENT, LLC

HTTP://WWW.NANTAHALAPARTNERS.COM/ NEW CANAAN, CT Investment Advisor Hedge Fund How do I update this listing?

Also known as:

  • PLC SYSTEMS INC

Nantahala Capital Management is based out of New Canaan. Nantahala Capital Management is a large advisory firm with 8 clients and discretionary assets under management (AUM) of $2,169,186,148 (Form ADV from 2019-06-12). Their last reported 13F filing for Q2 2019 included $3,247,235,000 in managed 13F securities and a top 10 holdings concentration of 46.44%. Nantahala Capital Management's largest holding is iShares Russell 2000 ETF with shares held of 2,887,000. Nantahala Capital Management has met the qualifications for inclusion in our WhaleScore system. Whalewisdom has at least 32 13F filings, 17 13D filings, 221 13G filings, and 3 Form 4 filings

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06/30/2019

13F Sector Allocation Over Time

06/30/2019

13F Activity

  • Market Value $3.247 Billion
  • Prior Market Value $3.206 Billion
  • New Purchases11 stocks
  • Additional Purchases45 stocks
  • Sold out of9 stocks
  • Reduced holdings in14 stocks
  • Top 10 Holdings % 46.44 %
  • Turnover % [1]:21.51%
  • Turnover Alt % [2]: 17.76 %
  • Time Held Top20:7.05 quarters
  • Time Held Top10:6.40 quarters
  • Time Held All:7.67 quarters

[1]: Turnover is calculated by taking the # of new holdings (initial purchases) + the # of positions sold out of (not just reduced) divided by the total # of holdings for the quarter.

[2]: Alt Turnover is calculated by taking either the total MV of new purchases or the MV of securities sold, whichever is less, divided by the total MV of the fund.

Portfolio Performance

Top 20 equal-weighted holdings. Performance numbers calculated through 2019-08-14

Performance for Q2 2019: -13.08%
Performance Last 4 Quarters: -27.04%
Performance Metrics
Stdev (5-yrs): Subscription required BETA (5-yrs): Subscription required ALPHA (3-yrs): Subscription required
Max Drawdown (all-years): Subscription required Annualized Perf (3-yrs): Subscription required Batting Avg vs S&P. (3-yrs): Subscription required
Sortino (3-yrs): Subscription required Stutzer (3-yrs): Subscription required Treynor (3-yrs): Subscription required
Sterling (3-yrs): Subscription required Calmar (3-yrs): Subscription required Information Ratio (3-yrs): Subscription required
Tracking Error (3 yrs): Subscription required Stdev Down (3-yrs): Subscription required Winning Months %: Subscription required
Losing Months %: Subscription required Best 12 Months: Subscription required Worst 12 Months: Subscription required
Efficiency Ratio (3-yrs): Subscription required Sharpe: Subscription required Stdev Sectors: Subscription required
Skewness (3-yrs): Subscription required Kurtosis (3-yrs): Subscription required Upside Potential (3-yrs): Subscription required

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13F Filings Available:
  • 2019-06-30 - 13F-HR (Subscription required)
  • 2019-03-31 - 13F-HR (Subscription required)
  • 2018-12-31 - 13F-HR (Subscription required)
  • 2018-09-30 - 13F-HR (Subscription required)
  • 2018-06-30 - 13F-HR (Subscription required)
  • 2018-03-31 - 13F-HR (Subscription required)
  • 2017-12-31 - 13F-HR (Subscription required)
  • 2017-09-30 - 13F-HR (Subscription required)
  • 2017-06-30 - 13F-HR (Subscription required)
  • 2017-03-31 - 13F-HR (Subscription required)
  • 2016-12-31 - 13F-HR (Subscription required)
  • 2016-09-30 - 13F-HR (Subscription required)
  • 2016-06-30 - 13F-HR (Subscription required)
  • 2016-03-31 - 13F-HR (Subscription required)
  • 2015-12-31 - 13F-HR (Subscription required)
  • 2015-09-30 - 13F-HR (Subscription required)
  • 2015-06-30 - 13F-HR (Subscription required)
  • 2015-03-31 - 13F-HR/A (Subscription required)
  • 2015-03-31 - 13F-HR (Subscription required)
  • 2014-12-31 - 13F-HR (Subscription required)
  • 2014-09-30 - 13F-HR (Subscription required)
  • 2014-06-30 - 13F-HR (Subscription required)
  • 2014-03-31 - 13F-HR (Subscription required)
  • 2013-12-31 - 13F-HR (Subscription required)
  • 2013-09-30 - 13F-HR (Subscription required)
  • 2013-06-30 - 13F-HR (Subscription required)
  • 2013-03-31 - 13F-HR (Subscription required)
  • 2012-12-31 - 13F-HR (Subscription required)
  • 2012-09-30 - 13F-HR (Subscription required)
  • 2012-06-30 - 13F-HR (Subscription required)
  • 2012-03-31 - 13F-HR (Subscription required)
  • 2011-12-31 - 13F-HR (Subscription required)

View Last Form Adv Compilation Report on Record

NANTAHALA CAPITAL MANAGEMENT, LLC
Classified as Hedge Fund
130 MAIN ST. 2ND FLOOR
NEW CANAAN CT    06840
Country: United States

Business Phone: 203-909-6430
Fax: 267-295-6119
Professional Investment Advisor Data
SEC Registration as : Large Advisory Firm
Form of Organization: Limited Liability Company
Organized in: MA
Number of employees: 13
Other Business Activities: commodity pool operator or commodity trading advisor
Advisor Fees/Compensation: Percentage of assets under management,Performance-based fees,GENERAL PARTNER/MANAGER PROFIT ALLOCATION BASED ON PERFORMANCE
Amount of client funds and securities: 415,564,000
Total Number of Clients: 8
Amount of client funds and securities by related persons: 1,292,900,000
Total Number of clients from related persons: 1
Disclosures:
Data above was derived from SEC filings.

Active Schedule 13D and 13G events

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Form 4 - Recent Insider Transactions

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NANTAHALA CAPITAL MANAGEMENT, LLC

ownership team - last updated 2019-06-12
Name Title Start Date Direct/Indirect % Ownership
HARKEY, WILMOT, B. MANAGING MEMBER 05/01/2004 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
NANTAHALA CAPITAL MANAGEMENT, LLC MANAGING MEMBER direct 2004-05-01
MACK, DANIEL, J. MANAGING MEMBER 07/01/2007 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
NANTAHALA CAPITAL MANAGEMENT, LLC MANAGING MEMBER direct 2007-07-01
REHM, PAUL CHIEF OPERATING OFFICER / CHIEF COMPLIANCE OFFICER 01/01/2011 Direct less than 5%
Fund Name Position direct/indirect start date end date
NANTAHALA CAPITAL MANAGEMENT, LLC CHIEF COMPLIANCE OFFICER direct 2011-01-01
NANTAHALA CAPITAL MANAGEMENT, LLC CHIEF OPERATING OFFICER / CHIEF COMPLIANCE OFFICER direct 2011-01-01
Buba, Jonathan, Zanetos MEMBER 11/01/2016 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
NANTAHALA CAPITAL MANAGEMENT, LLC MEMBER direct 2016-11-01
ZHONG, QIANQIAN CHIEF FINANCIAL OFFICER 04/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
NANTAHALA CAPITAL MANAGEMENT, LLC CHIEF FINANCIAL OFFICER direct 2018-04-01

Private Funds

Name Country Fund Identification Number Fund Type Gross Asset Value Minimum Investment Other
SMA2 United States 805-3365580777 Hedge Fund 309,477,765 0
SMA3 United States 805-3475818620 Hedge Fund 101,946,893 0 Fund of Funds
NANTAHALA CAPITAL PARTNERS SI, LP United States 805-2081889443 Hedge Fund 1,292,897,709 0
NANTAHALA CAPITAL PARTNERS LIMITED PARTNERSHIP United States 805-5647034106 Hedge Fund 143,243,066 1,000,000 Master Fund
NANTAHALA CAPITAL PARTNERS II LIMITED PARTNERSHIP United States 805-8564854594 Hedge Fund 256,653,421 1,000,000 Master Fund

NANTAHALA CAPITAL MANAGEMENT, LLC

ownership team - last updated 2019-03-31
Name Title Start Date Direct/Indirect % Ownership
HARKEY, WILMOT, B. MANAGING MEMBER 05/01/2004 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
NANTAHALA CAPITAL MANAGEMENT, LLC MANAGING MEMBER direct 2004-05-01
MACK, DANIEL, J. MANAGING MEMBER 07/01/2007 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
NANTAHALA CAPITAL MANAGEMENT, LLC MANAGING MEMBER direct 2007-07-01
REHM, PAUL CHIEF OPERATING OFFICER / CHIEF COMPLIANCE OFFICER 01/01/2011 Direct less than 5%
Fund Name Position direct/indirect start date end date
NANTAHALA CAPITAL MANAGEMENT, LLC CHIEF COMPLIANCE OFFICER direct 2011-01-01
NANTAHALA CAPITAL MANAGEMENT, LLC CHIEF OPERATING OFFICER / CHIEF COMPLIANCE OFFICER direct 2011-01-01
Buba, Jonathan, Zanetos MEMBER 11/01/2016 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
NANTAHALA CAPITAL MANAGEMENT, LLC MEMBER direct 2016-11-01
ZHONG, QIANQIAN CHIEF FINANCIAL OFFICER 04/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
NANTAHALA CAPITAL MANAGEMENT, LLC CHIEF FINANCIAL OFFICER direct 2018-04-01

Private Funds

Name Country Fund Identification Number Fund Type Gross Asset Value Minimum Investment Other
NANTAHALA CAPITAL PARTNERS LIMITED PARTNERSHIP United States 805-5647034106 Hedge Fund 143,243,066 1,000,000 Master Fund
NANTAHALA CAPITAL PARTNERS II LIMITED PARTNERSHIP United States 805-8564854594 Hedge Fund 256,653,421 1,000,000 Master Fund
SMA2 United States 805-3365580777 Hedge Fund 309,477,765 0
SMA3 United States 805-3475818620 Hedge Fund 101,946,893 0 Fund of Funds
NANTAHALA CAPITAL PARTNERS SI, LP United States 805-2081889443 Hedge Fund 1,292,897,709 0

NANTAHALA CAPITAL MANAGEMENT, LLC

ownership team - last updated 2018-04-13
Name Title Start Date Direct/Indirect % Ownership
HARKEY, WILMOT, B. MANAGING MEMBER 05/01/2004 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
NANTAHALA CAPITAL MANAGEMENT, LLC MANAGING MEMBER direct 2004-05-01
MACK, DANIEL, J. MANAGING MEMBER 07/01/2007 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
NANTAHALA CAPITAL MANAGEMENT, LLC MANAGING MEMBER direct 2007-07-01
REHM, PAUL CHIEF OPERATING OFFICER / CHIEF COMPLIANCE OFFICER 01/01/2011 Direct less than 5%
Fund Name Position direct/indirect start date end date
NANTAHALA CAPITAL MANAGEMENT, LLC CHIEF COMPLIANCE OFFICER direct 2011-01-01
NANTAHALA CAPITAL MANAGEMENT, LLC CHIEF OPERATING OFFICER / CHIEF COMPLIANCE OFFICER direct 2011-01-01
Buba, Jonathan, Zanetos MEMBER 11/01/2016 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
NANTAHALA CAPITAL MANAGEMENT, LLC MEMBER direct 2016-11-01
ZHONG, QIANQIAN CHIEF FINANCIAL OFFICER 04/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
NANTAHALA CAPITAL MANAGEMENT, LLC CHIEF FINANCIAL OFFICER direct 2018-04-01
BLOOM FAMILY LLC MEMBER 01/01/2017 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
NANTAHALA CAPITAL MANAGEMENT, LLC MEMBER direct 2017-01-01
BLOOM, STEVEN, HARRIS MANAGER BLOOM FAMILY LLC 09/01/2012 Indirect 50 - 75%
Fund Name Position direct/indirect start date end date
SABAMORE HILL CAPITAL MANAGEMENT L.P. MANAGER direct 1999-09-01
SABAMORE HILL CAPITAL MANAGEMENT L.P. MANAGER indirect 1999-09-01
NANTAHALA CAPITAL MANAGEMENT, LLC MEMBER direct 2008-10-01
TALLWOODS PARTNERS, LLC MEMBER direct 2013-08-01
TALLWOODS PARTNERS, LLC MEMBER indirect 2013-09-01
TALLWOODS PARTNERS, LLC MANAGING DIRECTOR direct 2013-09-01
Bloom, Susan, Rosen MANAGER BLOOM FAMILY LLC 09/01/2012 Indirect Other
Fund Name Position direct/indirect start date end date
NANTAHALA CAPITAL MANAGEMENT, LLC MANAGER indirect 2012-09-01

Private Funds

Name Country Fund Identification Number Fund Type Gross Asset Value Minimum Investment Other
NANTAHALA CAPITAL PARTNERS LIMITED PARTNERSHIP United States 805-5647034106 Hedge Fund 103,655,200 1,000,000 Master Fund
NANTAHALA CAPITAL PARTNERS II LIMITED PARTNERSHIP United States 805-8564854594 Hedge Fund 110,986,076 1,000,000 Master Fund
SMA2 United States 805-3365580777 Hedge Fund 258,058,272 0
SMA3 United States 805-3475818620 Hedge Fund 116,235,116 0 Fund of Funds
NANTAHALA CAPITAL PARTNERS SI, LP United States 805-2081889443 Hedge Fund 1,017,485,054 0

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