9AT: STONEPINE CAPITAL MANAGEMENT, LLC

STONEPINE CAPITAL MANAGEMENT, LLC

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STONEPINE CAPITAL MANAGEMENT, LLC

Adviser Profile

Registration status

Registration Changed to STONEPINE CAPITAL MANAGEMENT, LLC

As of Date	03/20/2025
ADV Location	BEND, OR, United States
Adviser Type - Large advisory firm
Number of Employees	6 20%
of those in investment advisory functions	4 33%

AUM^*	347,828,196 28%
of that, discretionary	347,828,196 28%
Private Fund GAV^*	0
Avg Account Size	347,828,196 28%
SMA’s	No
Private Funds	0 1
Contact Info	541 xxxxxxx
Websites

Client Types

- Pooled investment vehicles

Advisory Activities

- Portfolio management for pooled investment vehicles

Compensation Arrangments

- A percentage of assets under your management
- Performance-based fees

Reported AUM

272M 233M 194M 155M 116M 78M 39M

2017 2018 2019 2020 2021 2022 2023

Discretionary

Non-discretionary

Private Funds

GAV Count

Employees

Top Holdings

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Stck Ticker23954D109	Stock NameDAY ONE BIOPHARMACEUTICALS I	$ Position$4,564,043	% Position4.00%	$ Change56.00%	# Change44.00%
Stck Ticker29251M106	Stock NameENANTA PHARMACEUTICALS INC	$ Position$3,650,850	% Position3.00%	$ Change-20.00%	# Change-50.00%
Stck Ticker004225108	Stock NameACADIA PHARMACEUTICALS INC	$ Position$3,724,769	% Position3.00%	$ Change-23.00%	# Change-22.00%
Stck Ticker68218J103	Stock NameOMNIAB INC	$ Position$3,428,571	% Position3.00%	$ Change	# Change

Brochure Summary

Overview

Stonepine is a Delaware limited liability company that has been in business since 2006. Jon M. Plexico and Timothy P. Lynch are Stonepine’s members, managers and are two of the portfolio managers of the Funds (defined below). As of December 31, 2023, Stonepine had total discretionary assets under management of approximately $336,517,620. Stonepine only manages assets on a discretionary basis. Stonepine serves as the investment adviser to Stonepine Capital, L.P., a private investment fund (“Stonepine Capital”) and its affiliate Stonepine GP, LLC serves as the general partner to Stonepine Capital. Stonepine may form additional private investment funds in the future, and it may form one or more “special purpose” funds (the “SPVs”) to invest in opportunities that it believes are attractive but are (a) outside

of Stonepine Capital’s investment strategy, or (b) are appropriate for Stonepine Capital, but too large to allocate solely to that fund, or (c) in Stonepine’s judgment not appropriate at that time for Stonepine Capital. Stonepine does not currently advise any SPVs. Stonepine Capital, any additional private investment fund that Stonepine may form in the future and any SPVs are referred to collectively as the “Funds” and individually as a “Fund”. Stonepine invests on the Funds’ behalf principally, but not solely, in equity and equity-related securities in healthcare companies that are traded publicly in U.S. markets, but is authorized to enter into any type of investment transaction that it deems appropriate under the terms of each Fund’s governing documents. Stonepine does not participate in wrap fee programs.