# EDGAR Filing Document

**Accession Number:** 0001472322
**File Stem:** 0001104659-25-086409
**Filing Date:** 2025-9
**Character Count:** 56616
**Document Hash:** 36f04794da6d9dd2acb69b29d512ed00
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0001104659-25-086409.hdr.sgml**: 20250902

**ACCESSION NUMBER**: 0001104659-25-086409

**CONFORMED SUBMISSION TYPE**: N-PX

**PUBLIC DOCUMENT COUNT**: 2

**CONFORMED PERIOD OF REPORT**: 20250630

**FILED AS OF DATE**: 20250902

**EFFECTIVENESS DATE**: 20250902

**FILER**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** Nantahala Capital Management, LLC
- **CENTRAL INDEX KEY:** 0001472322

**ORGANIZATION NAME:**
- **EIN:** 201151760
- **STATE OF INCORPORATION:** MA
- **FISCAL YEAR END:** 1231

**FILING VALUES:**
- **FORM TYPE:** N-PX
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 028-14750
- **FILM NUMBER:** 251286147

**BUSINESS ADDRESS:**
- **STREET 1:** 130 MAIN ST.
- **STREET 2:** 2ND FLOOR
- **CITY:** NEW CANAAN
- **STATE:** CT
- **ZIP:** 06840
- **BUSINESS PHONE:** 203-404-1172

**MAIL ADDRESS:**
- **STREET 1:** 130 MAIN ST.
- **STREET 2:** 2ND FLOOR
- **CITY:** NEW CANAAN
- **STATE:** CT
- **ZIP:** 06840

## FORM N-PX
### ANNUAL REPORT OF PROXY VOTING RECORD

## N-PX: Filer Information

**Filer CIK:** 0001472322

**Date of Report:** 06/30/2025

**Are you a Registered Management Investment Company or an Institutional Manager?:** Institutional Manager

**Is this a LIVE or TEST Filing?:** LIVE

**Is this an electronic copy of an official filing submitted in paper format?:** [ ]

### Submission Contact Information
_Not provided in this filing._

### Notification Information
**Notify via Filing Website only?:** [ ]

## N-PX: Cover Page

**Name of reporting person:** Nantahala Capital Management, LLC

**Address:** 130 MAIN ST., NEW CANAAN, CT 06840

**Telephone number:** 203-308-4440

**Name of agent for service:** —

**Agent Address:** —, —, — —

**Reporting Period:** Report for the year ended 06/30/2025

**SEC File Number:** 028-14750

**CRD Number (if any):** —

**Other SEC File Number (if any):** —

**LEI (if any):** —

**Report Type (check only one):**

Institutional Manager.

- [x] Institutional Manager Voting Report

- [ ] Institutional Manager Notice Report

- [ ] Institutional Manager Combination Report

Registered Management Investment Company.

- [ ] Fund Voting Report

- [ ] Fund Notice Report

**Do you wish to provide explanatory information pursuant to Special Instruction B.4?:**

- [x] No

- [ ] Yes

**Additional information:** —

## N-PX: Summary - Included Managers

**Number of Included Institutional Managers:** 0

**Included Institutional Managers:** —

## FORM N-PX PROXY VOTING RECORD

| NAME OF ISSUER                      | CUSIP     | MEETING DATE   | VOTE DESCRIPTION                                                                                                                                                                                                                                                                                                                                                                                | VOTE CATEGORY                |   SHARES VOTED |   SHARES ON LOAN | HOW VOTED   |   SHARES VOTED FOR OR AGAINST MANAGEMENT | FOR OR AGAINST MANAGEMENT   | OTHER INFO   |
|:---|:---|:---|:---|:---|---:|---:|:---|---:|:---|:---|
| Xtant Medical Holdings Inc          | 984209308 | 07/23/2024     | To approve, on an advisory basis, the compensation of the Company's executive officers named in the accompanying proxy statement.                                                                                                                                                                                                                                                               | SECTION 14A SAY-ON-PAY VOTES |        3580000 |                0 | For         |                                  3580000 | FOR                         |  |
| Avadel Pharmaceuticals PLC          | G29687103 | 07/30/2024     | To approve, on a non-binding advisory basis, the compensation of the named executive officers of the Company.                                                                                                                                                                                                                                                                                   | SECTION 14A SAY-ON-PAY VOTES |         165347 |                0 | For         |                                   165347 | FOR                         |  |
| Aileron Therapeutics, Inc.          | 00887A204 | 08/20/2024     | To approve, on a non-binding advisory basis, our named executive officer compensation.                                                                                                                                                                                                                                                                                                          | SECTION 14A SAY-ON-PAY VOTES |         382043 |                0 | For         |                                   382043 | FOR                         |  |
| Vistagen Therapeutics, Inc.         | 92840H400 | 08/26/2024     | To approve, on a non-binding advisory basis, the compensation paid to the Company's Named Executive Officers.                                                                                                                                                                                                                                                                                   | SECTION 14A SAY-ON-PAY VOTES |        1373113 |                0 | For         |                                  1373113 | FOR                         |  |
| America's Car-Mart Inc              | 03062T105 | 08/27/2024     | To approve an advisory resolution regarding the Company's compensation of its named executive officers.                                                                                                                                                                                                                                                                                         | SECTION 14A SAY-ON-PAY VOTES |         263109 |                0 | For         |                                   263109 | FOR                         |  |
| Reneo Pharmaceuticals, Inc.         | 68277Q105 | 09/26/2024     | To consider and vote upon a proposal to approve the 2024 Equity Incentive Plan of NewCo.                                                                                                                                                                                                                                                                                                        | SECTION 14A SAY-ON-PAY VOTES |         495726 |                0 | For         |                                   495726 | FOR                         |  |
| SPAR Group, Inc.                    | 784933103 | 10/25/2024     | To approve, on a non-binding, advisory basis, certain compensation that will or may become payable to our named executive officers in connection with the Merger, when approved by SGRP's Stockholders, as described in the Proxy Statement.                                                                                                                                                    | SECTION 14A SAY-ON-PAY VOTES |         662028 |                0 | For         |                                   662028 | FOR                         |  |
| Peloton Interactive, Inc            | 70614W100 | 12/03/2024     | Approval, on a non-binding advisory basis, of the compensation of our named executive officers as disclosed in the Proxy Statement.                                                                                                                                                                                                                                                             | SECTION 14A SAY-ON-PAY VOTES |        8793240 |                0 | For         |                                  8793240 | FOR                         |  |
| Benitec Biopharma Inc.              | 08205P209 | 12/04/2024     | Approval of the non-binding advisory vote on the compensation of the Company's named executive officers as disclosed in the attached proxy statement.                                                                                                                                                                                                                                           | SECTION 14A SAY-ON-PAY VOTES |         670382 |                0 | For         |                                   670382 | FOR                         |  |
| Rezoolute, Inc.                     | 76200L309 | 12/05/2024     | To approve, by a non-binding advisory vote, the compensation of the Company's named executive officers as disclosed in the Executive Compensation section of the Proxy Statement.                                                                                                                                                                                                               | SECTION 14A SAY-ON-PAY VOTES |        2189598 |                0 | For         |                                  2189598 | FOR                         |  |
| enVveno Medical Corp                | 29415J106 | 12/18/2024     | To approve on a non-binding, advisory basis the compensation of our named executive officers.                                                                                                                                                                                                                                                                                                   | SECTION 14A SAY-ON-PAY VOTES |         536568 |                0 | For         |                                   536568 | FOR                         |  |
| Brightcove Inc.                     | 10921T101 | 01/30/2025     | Approval of, on a non-binding, advisory basis, certain compensation that may be paid or become payable to Brightcove's named executive officers in connection with the transactions contemplated by the Merger Agreement.                                                                                                                                                                       | SECTION 14A SAY-ON-PAY VOTES |         357648 |                0 | For         |                                   357648 | FOR                         |  |
| PATHWARD FINANCIAL, INC.            | 59100U108 | 02/25/2025     | To ratify the appointment by the Board of Directors of the independent registered public accounting firm Crowe LLP as the independent auditors of Pathward Financial's financial statements for the fiscal year ending September 30, 2025.                                                                                                                                                      | SECTION 14A SAY-ON-PAY VOTES |         127555 |                0 | For         |                                   127555 | FOR                         |  |
| The RMR Group, Inc.                 | 74967R106 | 03/27/2025     | Advisory vote to approve executive compensation.                                                                                                                                                                                                                                                                                                                                                | SECTION 14A SAY-ON-PAY VOTES |         422785 |                0 | For         |                                   422785 | FOR                         |  |
| ACME UNITED CORPORATION             | 004816104 | 04/21/2025     | Approval, by non-binding advisory vote, of the compensation of the named executive officers of the Company as described in the Proxy Statement.                                                                                                                                                                                                                                                 | SECTION 14A SAY-ON-PAY VOTES |          12723 |                0 | For         |                                    12723 | FOR                         |  |
| Optinose, Inc.                      | 68404V209 | 05/16/2025     | To approve, by advisory (non-binding) vote, the compensation that may be paid or become payable to our named executive officers in connection with the consummation of the merger.                                                                                                                                                                                                              | SECTION 14A SAY-ON-PAY VOTES |         947997 |                0 | For         |                                   947997 | FOR                         |  |
| Opus Genetics, Inc                  | 67577R102 | 04/30/2025     | Approve, on an advisory basis, the compensation of the Company's named executive officers.                                                                                                                                                                                                                                                                                                      | SECTION 14A SAY-ON-PAY VOTES |        3157895 |                0 | For         |                                  3157895 | FOR                         |  |
| Amneal Pharmaceuticals, Inc.        | 03168L105 | 05/06/2025     | Advisory vote to approve executive compensation.                                                                                                                                                                                                                                                                                                                                                | SECTION 14A SAY-ON-PAY VOTES |        3474732 |                0 | For         |                                  3474732 | FOR                         |  |
| Assertio Holdings, Inc.             | 04546C205 | 05/07/2025     | To approve, on an advisory basis, the compensation of the Company's named executive officers.                                                                                                                                                                                                                                                                                                   | SECTION 14A SAY-ON-PAY VOTES |        8383768 |                0 | For         |                                  8383768 | FOR                         |  |
| The Children's Place, Inc.          | 168905107 | 05/07/2025     | To approve, by non-binding vote, executive compensation as described in the proxy statement.                                                                                                                                                                                                                                                                                                    | SECTION 14A SAY-ON-PAY VOTES |          29000 |                0 | For         |                                    29000 | FOR                         |  |
| Hilton Grand Vacations Inc.         | 43283X105 | 05/07/2025     | Approve by non-binding vote the compensation paid to the Company's named executive officers.                                                                                                                                                                                                                                                                                                    | SECTION 14A SAY-ON-PAY VOTES |         796618 |                0 | For         |                                   796618 | FOR                         |  |
| Fox Factory Holding Corp.           | 35138V102 | 05/09/2025     | To approve, on an advisory basis, the resolution approving the compensation of Fox Factory Holding Corp.'s named executive officers.                                                                                                                                                                                                                                                            | SECTION 14A SAY-ON-PAY VOTES |         423876 |                0 | For         |                                   423876 | FOR                         |  |
| ALTISOURCE PORTFOLIO SOLUTIONS S.A. | L0175J104 | 05/13/2025     | Proposal to approve, on a non-binding advisory basis, the compensation of our Named Executive Officers as disclosed in the proxy statement                                                                                                                                                                                                                                                      | SECTION 14A SAY-ON-PAY VOTES |        2477312 |                0 | For         |                                  2477312 | FOR                         |  |
| NOODLES  COMPANY                    | 65540B105 | 05/14/2025     | Advisory (non-binding) vote on the compensation of our named executive officers.                                                                                                                                                                                                                                                                                                                | SECTION 14A SAY-ON-PAY VOTES |        4317848 |                0 | For         |                                  4317848 | FOR                         |  |
| SYNDAX PHARMACEUTICALS, INC         | 87164F105 | 05/14/2025     | To approve, on an advisory basis, the compensation of the Company's named executive officers, as disclosed in the 2025 proxy statement.                                                                                                                                                                                                                                                         | SECTION 14A SAY-ON-PAY VOTES |         524497 |                0 | For         |                                   524497 | FOR                         |  |
| NN, Inc.                            | 629337106 | 05/15/2025     | Advisory (non-binding) vote to approve the compensation of the named executive officers of NN, Inc.                                                                                                                                                                                                                                                                                             | SECTION 14A SAY-ON-PAY VOTES |        1361275 |                0 | For         |                                  1361275 | FOR                         |  |
| OWENS  MINOR, INC.                  | 690732102 | 05/15/2025     | Advisory vote to approve the compensation of the Company's named executive officers.                                                                                                                                                                                                                                                                                                            | SECTION 14A SAY-ON-PAY VOTES |          34711 |                0 | For         |                                    34711 | FOR                         |  |
| DHI GROUP, INC.                     | 23331S100 | 05/16/2025     | Advisory vote with respect to the compensation of our named executive officers                                                                                                                                                                                                                                                                                                                  | SECTION 14A SAY-ON-PAY VOTES |        2374019 |                0 | For         |                                  2374019 | FOR                         |  |
| ABEONA THERAPEUTICS INC.            | 00289Y206 | 05/19/2025     | To approve, on an advisory basis, the compensation of the Company's named executive officers.                                                                                                                                                                                                                                                                                                   | SECTION 14A SAY-ON-PAY VOTES |        3173877 |                0 | For         |                                  3173877 | FOR                         |  |
| THE ONE GROUP HOSPITALITY INC.      | 88338K103 | 05/20/2025     | Proposal to approve, by an advisory vote, the compensation of our named executive officers.                                                                                                                                                                                                                                                                                                     | SECTION 14A SAY-ON-PAY VOTES |        2105386 |                0 | For         |                                  2105386 | FOR                         |  |
| EVOKE PHARMA, INC.                  | 30049G302 | 05/21/2025     | To consider and vote upon, on an advisory basis, the compensation of our named executive officers as disclosed in this proxy statement pursuant to the compensation disclosure rules of the Securities and Exchange Commission.                                                                                                                                                                 | SECTION 14A SAY-ON-PAY VOTES |         145549 |                0 | For         |                                   145549 | FOR                         |  |
| ABEONA THERAPEUTICS INC.            | 00289Y206 | 05/19/2025     | To approve, on an advisory basis, the compensation of the Company's named executive officers.                                                                                                                                                                                                                                                                                                   | SECTION 14A SAY-ON-PAY VOTES |        3173877 |                0 | For         |                                  3173877 | FOR                         |  |
| AYTU BIOPHARMA, INC.                | 054754858 | 05/21/2025     | The advisory vote on executive compensation.                                                                                                                                                                                                                                                                                                                                                    | SECTION 14A SAY-ON-PAY VOTES |        1064119 |                0 | For         |                                  1064119 | FOR                         |  |
| VERASTEM, INC.                      | 92337C203 | 05/22/2025     | To approve an advisory vote on the compensation of the named executive officers.                                                                                                                                                                                                                                                                                                                | SECTION 14A SAY-ON-PAY VOTES |        2011174 |                0 | For         |                                  2011174 | FOR                         |  |
| NEKTAR THERAPEUTICS                 | 640268108 | 05/23/2025     | To approve a non-binding advisory resolution regarding our executive compensation (a "say-on-pay" vote).                                                                                                                                                                                                                                                                                        | SECTION 14A SAY-ON-PAY VOTES |        9781613 |                0 | For         |                                  9781613 | FOR                         |  |
| ESTABLISHMENT LABS HOLDINGS INC.    | G31249108 | 05/23/2025     | To approve, on an advisory basis, the compensation of our named executive officers.                                                                                                                                                                                                                                                                                                             | SECTION 14A SAY-ON-PAY VOTES |        1202657 |                0 | For         |                                  1202657 | FOR                         |  |
| THE BANCORP, INC.                   | 05969A105 | 05/28/2025     | Advisory (non-binding) approval of the 2024 compensation of The Bancorp, Inc.'s named executive officers.                                                                                                                                                                                                                                                                                       | SECTION 14A SAY-ON-PAY VOTES |         501289 |                0 | For         |                                   501289 | FOR                         |  |
| EDESA BIOTECH INC                   | 27966L306 | 05/28/2025     | Advisory Vote on Executive Compensation: Approve, on an advisory basis, our executive compensation ("Say on Pay").                                                                                                                                                                                                                                                                              | SECTION 14A SAY-ON-PAY VOTES |         624980 |                0 | For         |                                   624980 | FOR                         |  |
| INDUSTRIAL LOGISTICS PROPERTY TRUST | 456237106 | 05/28/2025     | Advisory vote to approve executive compensation.                                                                                                                                                                                                                                                                                                                                                | SECTION 14A SAY-ON-PAY VOTES |        2403542 |                0 | For         |                                  2403542 | FOR                         |  |
| TELA BIO, INC.                      | 872381108 | 05/28/2025     | To approve, on a non-binding, advisory basis, the compensation of the Company's named executive officers.                                                                                                                                                                                                                                                                                       | SECTION 14A SAY-ON-PAY VOTES |        5033636 |                0 | For         |                                  5033636 | FOR                         |  |
| RAPT THERAPEUTICS, INC.             | 75382E109 | 05/29/2025     | To approve, on an advisory basis, the compensation of RAPT Therapeutics, Inc.'s named executive officers.                                                                                                                                                                                                                                                                                       | SECTION 14A SAY-ON-PAY VOTES |        4970975 |                0 | For         |                                  4970975 | FOR                         |  |
| TRANSACT TECHNOLOGIES INCORPORATED  | 892918103 | 05/29/2025     | Approval, on a non-binding, advisory basis, of the compensation of our named executive officers.                                                                                                                                                                                                                                                                                                | SECTION 14A SAY-ON-PAY VOTES |          15046 |                0 | For         |                                    15046 | FOR                         |  |
| ALTA EQUIPMENT GROUP INC.           | 02128L106 | 05/30/2025     | To approve, in a non-binding advisory vote, the compensation paid to our named executive officers.                                                                                                                                                                                                                                                                                              | SECTION 14A SAY-ON-PAY VOTES |         985682 |                0 | For         |                                   985682 | FOR                         |  |
| DYNE THERAPEUTICS, INC.             | 26818M108 | 05/30/2025     | To vote, on an advisory basis, to approve the compensation of our named executive officers.                                                                                                                                                                                                                                                                                                     | SECTION 14A SAY-ON-PAY VOTES |         345062 |                0 | For         |                                   345062 | FOR                         |  |
| KODIAK SCIENCES INC.                | 50015M109 | 06/02/2025     | Approve, on an advisory basis, the compensation of Kodiak's named executive officers, as disclosed in the proxy statement.                                                                                                                                                                                                                                                                      | SECTION 14A SAY-ON-PAY VOTES |         445264 |                0 | For         |                                   445264 | FOR                         |  |
| TITAN MACHINERY INC.                | 88830R101 | 06/02/2025     | To conduct an advisory vote on a non-binding resolution to approve the compensation of our named executive officers.                                                                                                                                                                                                                                                                            | SECTION 14A SAY-ON-PAY VOTES |        1257670 |                0 | For         |                                  1257670 | FOR                         |  |
| SCPHARMACEUTICALS INC.              | 810648105 | 06/03/2025     | To approve, on an advisory (non-binding) basis, the compensation of the Company's named executive officers.                                                                                                                                                                                                                                                                                     | SECTION 14A SAY-ON-PAY VOTES |         995438 |                0 | For         |                                   995438 | FOR                         |  |
| VIEMED HEALTHCARE, INC.             | 92663R105 | 06/05/2025     | Advisory Vote on Executive Compensation To consider and, if thought appropriate, to pass an ordinary resolution (the text of which is disclosed in Section 10(v) of the Management Information and Proxy Circular) to ratify, confirm, and approve, in a non-binding advisory vote, the Say-on-Pay Resolution, as more particularly described in the Management Information and Proxy Circular. | SECTION 14A SAY-ON-PAY VOTES |         897194 |                0 | For         |                                   897194 | FOR                         |  |
| COGENT BIOSCIENCES, INC.            | 19240Q201 | 06/04/2025     | Approval, on a non-binding, advisory basis, of the compensation of the Company's named executive officers.                                                                                                                                                                                                                                                                                      | SECTION 14A SAY-ON-PAY VOTES |        1497387 |                0 | For         |                                  1497387 | FOR                         |  |
| GYRE THERAPEUTICS, INC.             | 403783103 | 06/04/2025     | To approve, on a non-binding, advisory basis, the compensation of the Company's named executive officers.                                                                                                                                                                                                                                                                                       | SECTION 14A SAY-ON-PAY VOTES |            242 |                0 | For         |                                      242 | FOR                         |  |
| KEROS THERAPEUTICS, INC.            | 492327101 | 06/04/2025     | To approve, on an advisory basis, the compensation of the Company's named executive officers as disclosed in the accompanying Proxy Statement.                                                                                                                                                                                                                                                  | SECTION 14A SAY-ON-PAY VOTES |        1357370 |                0 | For         |                                  1357370 | FOR                         |  |
| KIORA PHARMACEUTICALS, INC.         | 49721T507 | 06/04/2025     | To approve, on a non-binding advisory basis, the compensation of our named executive officers as disclosed in the proxy statement.                                                                                                                                                                                                                                                              | SECTION 14A SAY-ON-PAY VOTES |         211110 |                0 | For         |                                   211110 | FOR                         |  |
| RUMBLEON, INC.                      | 781386305 | 06/04/2025     | To approve, by non-binding vote, named executive officer compensation.                                                                                                                                                                                                                                                                                                                          | SECTION 14A SAY-ON-PAY VOTES |        2882378 |                0 | For         |                                  2882378 | FOR                         |  |
| AMYLYX PHARMACEUTICALS, INC.        | 03237H101 | 06/05/2025     | To approve, on a non-binding, advisory basis, the compensation of our named executive officers.                                                                                                                                                                                                                                                                                                 | SECTION 14A SAY-ON-PAY VOTES |        2934405 |                0 | For         |                                  2934405 | FOR                         |  |
| APREA THERAPEUTICS, INC.            | 03836J201 | 06/05/2025     | To approve, by non-binding advisory vote, the frequency of future votes on the compensation of our named executive officers.                                                                                                                                                                                                                                                                    | SECTION 14A SAY-ON-PAY VOTES |         205760 |                0 | For         |                                   205760 | FOR                         |  |
| EVENTBRITE, INC.                    | 29975E109 | 06/05/2025     | A proposal to approve, on a non-binding advisory basis, the compensation of our named executive officers.                                                                                                                                                                                                                                                                                       | SECTION 14A SAY-ON-PAY VOTES |        6074709 |                0 | For         |                                  6074709 | FOR                         |  |
| EVOLUS, INC.                        | 30052C107 | 06/05/2025     | Approval of, on an advisory basis, the compensation of Evolus' named executive officers.                                                                                                                                                                                                                                                                                                        | SECTION 14A SAY-ON-PAY VOTES |        3616491 |                0 | For         |                                  3616491 | FOR                         |  |
| KOSMOS ENERGY LTD.                  | 500688106 | 06/05/2025     | To provide a non-binding, advisory vote to approve named executive officer compensation.                                                                                                                                                                                                                                                                                                        | SECTION 14A SAY-ON-PAY VOTES |        1521526 |                0 | For         |                                  1521526 | FOR                         |  |
| SAVARA INC.                         | 805111101 | 06/05/2025     | To approve, on an advisory basis, the compensation of our named executives.                                                                                                                                                                                                                                                                                                                     | SECTION 14A SAY-ON-PAY VOTES |        6932263 |                0 | For         |                                  6932263 | FOR                         |  |
| TANGO THERAPEUTICS, INC.            | 87583X109 | 06/05/2025     | To approve, on a non-binding, advisory basis, the compensation of our named executive officers.                                                                                                                                                                                                                                                                                                 | SECTION 14A SAY-ON-PAY VOTES |        2747097 |                0 | For         |                                  2747097 | FOR                         |  |
| COMPASS PATHWAYS PLC                | 20451W101 | 06/12/2025     | To approve, on a non-binding, advisory basis, the compensation of the Company's named executive officers for the year ended December 31, 2024.                                                                                                                                                                                                                                                  | SECTION 14A SAY-ON-PAY VOTES |        2737386 |                0 | For         |                                  2737386 | FOR                         |  |
| IMAX CORPORATION                    | 45245E109 | 06/11/2025     | Advisory Vote on Named Executive Officer Compensation Approval, on an advisory basis, of the compensation of the Company's Named Executive Officers as set forth in the accompanying Proxy Circular and Proxy Statement.                                                                                                                                                                        | SECTION 14A SAY-ON-PAY VOTES |         262343 |                0 | For         |                                   262343 | FOR                         |  |
| AKEBIA THERAPEUTICS, INC.           | 00972D105 | 06/10/2025     | Approval, on an advisory basis, of the compensation of the Company's named executive officers, as described in the Company's Proxy Statement.                                                                                                                                                                                                                                                   | SECTION 14A SAY-ON-PAY VOTES |        2000000 |                0 | For         |                                  2000000 | FOR                         |  |
| CAESARS ENTERTAINMENT, INC.         | 12769G100 | 06/10/2025     | COMPANY PROPOSAL: ADVISORY VOTE TO APPROVE NAMED EXECUTIVE OFFICER COMPENSATION.                                                                                                                                                                                                                                                                                                                | SECTION 14A SAY-ON-PAY VOTES |          98879 |                0 | For         |                                    98879 | FOR                         |  |
| CODEXIS, INC.                       | 192005106 | 06/10/2025     | To approve, on a non-binding, advisory basis, the compensation of our named executive officers.                                                                                                                                                                                                                                                                                                 | SECTION 14A SAY-ON-PAY VOTES |        2537028 |                0 | For         |                                  2537028 | FOR                         |  |
| EXAGEN INC                          | 30068X103 | 06/10/2025     | To approve by an advisory vote the compensation of our named executive officers, as disclosed in the proxy statement.                                                                                                                                                                                                                                                                           | SECTION 14A SAY-ON-PAY VOTES |          61186 |                0 | For         |                                    61186 | FOR                         |  |
| OLAPLEX HOLDINGS, INC.              | 679369108 | 06/10/2025     | Approval, by a non-binding advisory vote, of the compensation of the Company's named executive officers during the fiscal year ended December 31, 2024.                                                                                                                                                                                                                                         | SECTION 14A SAY-ON-PAY VOTES |         650000 |                0 | For         |                                   650000 | FOR                         |  |
| PALVELLA THERAPEUTICS, INC          | 697947109 | 06/10/2025     | Approval, on an advisory basis, of the compensation of the Company's named executive officers.                                                                                                                                                                                                                                                                                                  | SECTION 14A SAY-ON-PAY VOTES |         250062 |                0 | For         |                                   250062 | FOR                         |  |
| PAYONEER GLOBAL INC.                | 70451X104 | 06/10/2025     | Non-binding advisory vote to approve named executive officer compensation.                                                                                                                                                                                                                                                                                                                      | SECTION 14A SAY-ON-PAY VOTES |          52535 |                0 | For         |                                    52535 | FOR                         |  |
| RED VIOLET, INC.                    | 75704L104 | 06/10/2025     | To hold a non-binding advisory vote to approve our named executive officers' compensation.                                                                                                                                                                                                                                                                                                      | SECTION 14A SAY-ON-PAY VOTES |         299385 |                0 | For         |                                   299385 | FOR                         |  |
| SERVICE PROPERTIES TRUST            | 81761L102 | 06/13/2025     | Advisory vote to approve executive compensation.                                                                                                                                                                                                                                                                                                                                                | SECTION 14A SAY-ON-PAY VOTES |        6928613 |                0 | For         |                                  6928613 | FOR                         |  |
| UNIQURE N.V.                        | N90064101 | 06/11/2025     | Approval, on an advisory basis, of the compensation of the named executive officers of the Company.                                                                                                                                                                                                                                                                                             | SECTION 14A SAY-ON-PAY VOTES |        2520571 |                0 | For         |                                  2520571 | FOR                         |  |
| ASTRIA THERAPEUTICS, INC.           | 04635X102 | 06/11/2025     | The approval, by non-binding advisory vote, of our executive compensation.                                                                                                                                                                                                                                                                                                                      | SECTION 14A SAY-ON-PAY VOTES |         643318 |                0 | For         |                                   643318 | FOR                         |  |
| DISC MEDICINE, INC.                 | 254604101 | 06/11/2025     | To approve, on a non-binding, advisory basis, the compensation paid to the Company's named executive officers.                                                                                                                                                                                                                                                                                  | SECTION 14A SAY-ON-PAY VOTES |         253038 |                0 | For         |                                   253038 | FOR                         |  |
| GOGO INC.                           | 38046C109 | 06/12/2025     | Non-binding advisory vote approving 2024 executive compensation.                                                                                                                                                                                                                                                                                                                                | SECTION 14A SAY-ON-PAY VOTES |        1321364 |                0 | For         |                                  1321364 | FOR                         |  |
| SPAR GROUP, INC.                    | 784933103 | 06/12/2025     | To approve, on an advisory basis, the compensation of the Named Executive Officers, as disclosed in this Proxy Statement (i.e., "Say on Pay").                                                                                                                                                                                                                                                  | SECTION 14A SAY-ON-PAY VOTES |         660688 |                0 | For         |                                   660688 | FOR                         |  |
| SOLID BIOSCIENCES INC.              | 83422E204 | 06/12/2025     | The approval of an advisory vote on executive compensation.                                                                                                                                                                                                                                                                                                                                     | SECTION 14A SAY-ON-PAY VOTES |        1803336 |                0 | For         |                                  1803336 | FOR                         |  |
| XENCOR, INC.                        | 98401F105 | 06/12/2025     | To approve, on an advisory (non-binding) basis, the compensation of the Company's named executive officers, as disclosed in the accompanying Proxy Statement.                                                                                                                                                                                                                                   | SECTION 14A SAY-ON-PAY VOTES |         426494 |                0 | For         |                                   426494 | FOR                         |  |
| STRUCTURE THERAPEUTICS, INC.        | 86366E106 | 06/23/2025     | TO APPROVE, ON AN ADVISORY BASIS, THE COMPENSATION OF THE COMPANY'S NAMED EXECUTIVE OFFICERS, AS DISCLOSED IN THE PROXY STATEMENT.                                                                                                                                                                                                                                                              | SECTION 14A SAY-ON-PAY VOTES |         168553 |                0 | For         |                                   168553 | FOR                         |  |
| AVALO THERAPEUTICS INC              | 05338F306 | 06/17/2025     | To approve, on a nonbinding advisory basis, a "Say-on-Pay" resolution regarding the compensensation of our named executive officers.                                                                                                                                                                                                                                                            | SECTION 14A SAY-ON-PAY VOTES |         995000 |                0 | For         |                                   995000 | FOR                         |  |
| FORTRESS BIOTECH, INC.              | 34960Q307 | 06/17/2025     | The approval, on an advisory basis, of the compensation of the Company's named executive officers.                                                                                                                                                                                                                                                                                              | SECTION 14A SAY-ON-PAY VOTES |           8966 |                0 | For         |                                     8966 | FOR                         |  |
| EHEALTH, INC.                       | 28238P109 | 06/18/2025     | Approval, on an advisory basis, of the compensation of the Named Executive Officers of eHealth, Inc.                                                                                                                                                                                                                                                                                            | SECTION 14A SAY-ON-PAY VOTES |        1311356 |                0 | For         |                                  1311356 | FOR                         |  |
| EYEPOINT PHARMACEUTICALS, INC.      | 30233G209 | 06/18/2025     | To approve, on an advisory basis, the compensation paid to the Company's named executive officers as disclosed in the accompanying proxy statement.                                                                                                                                                                                                                                             | SECTION 14A SAY-ON-PAY VOTES |         593091 |                0 | For         |                                   593091 | FOR                         |  |
| ROCKET PHARMACEUTICALS, INC.        | 77313F106 | 06/18/2025     | Consider and act upon a non-binding, advisory vote on the compensation of our named executive officers.                                                                                                                                                                                                                                                                                         | SECTION 14A SAY-ON-PAY VOTES |         629749 |                0 | For         |                                   629749 | FOR                         |  |
| SILENCE THERAPEUTICS PLC            | 82686Q101 | 06/26/2025     | To approve, on an advisory basis, the compensation of our named executive officers, as disclosed in the proxy statement.                                                                                                                                                                                                                                                                        | SECTION 14A SAY-ON-PAY VOTES |         975774 |                0 | For         |                                   975774 | FOR                         |  |
| FULCRUM THERAPEUTICS INC            | 359616109 | 06/26/2025     | A non-binding advisory vote on executive compensation.                                                                                                                                                                                                                                                                                                                                          | SECTION 14A SAY-ON-PAY VOTES |        4306473 |                0 | For         |                                  4306473 | FOR                         |  |
| RH                                  | 74967X103 | 06/26/2025     | Advisory vote to approve named executive officer compensation.                                                                                                                                                                                                                                                                                                                                  | SECTION 14A SAY-ON-PAY VOTES |           3144 |                0 | For         |                                     3144 | FOR                         |  |

## N-PX: Signature Block

**Reporting Person:** Nantahala Capital Management, LLC

**By (Signature):** WILMOT HARKEY

**By (Printed Signature):** WILMOT HARKEY

**By (Title):** MANAGER

**Date:** 09/02/2025