9AT: SAGE ROCK CAPITAL MANAGEMENT LP

Adviser Profile

As of Date	02/02/2025
Registration status	Terminated
ADV Location	NEW YORK, NY, United States
Contact Info	212 xxxxxxx
Websites

AUM^*	86,521,463 -78%
of that, discretionary	86,521,463 -78%
Number of Employees	4 -33%
of those in investment advisory functions	2 -50%
Private Fund GAV^*	0
Avg Account Size	21,630,366 -67%
SMA’s	No
Private Funds	0 1

Adviser Type

- Mid-sized advisory firm

Client Types

- Investment companies
- Pooled investment vehicles

Advisory Activities

- Portfolio management for investment companies
- Portfolio management for pooled investment vehicles

Compensation Arrangments

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

Adviser	Hedge Fund	Liquidity Fund	Private Equity Fund	Real Estate Fund	Securitized Asset Fund	Venture Capital Fund	Other Fund	Total Private Fund GAV	AUM	#Funds
Adviser PROSPECT CAPITAL ADVISORS, LLC	Hedge Fund302.4m	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV302.4m	AUM309.4m	#Funds2
Adviser WESTERN STANDARD, LLC	Hedge Fund366.2m	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV366.2m	AUM574.9m	#Funds2
Adviser STEAMBOAT CAPITAL PARTNERS, LLC	Hedge Fund585.2m	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV585.2m	AUM515.6m	#Funds4
Adviser BLACK SWIFT GROUP, LLC	Hedge Fund77.3m	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV77.3m	AUM694.1m	#Funds3
Adviser SOLSTEIN CAPITAL, LLC	Hedge Fund5.6m	Liquidity Fund40.0m	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV45.6m	AUM801.8m	#Funds2
Adviser SELDON CAPITAL LP	Hedge Fund401.8m	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV401.8m	AUM517.8m	#Funds3
Adviser RHINO INVESTMENT PARTNERS, INC.	Hedge Fund254.5m	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV254.5m	AUM566.2m	#Funds4
Adviser TOWER BAY ASSET MANAGEMENT LP	Hedge Fund213.7m	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV213.7m	AUM513.6m	#Funds4
Adviser NUMERAI	Hedge Fund1.0b	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV1.0b	AUM1.9b	#Funds10
Adviser CARL MARKS MANAGEMENT COMPANY, LLC	Hedge Fund296.5m	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV296.5m	AUM374.5m	#Funds4

Stock Ticker	Stock Name	$ Position	% Position	$ Change	# Change
Stck TickerG12729110	Stock NameBOWEN ACQUISITION CORP	$ Position$1,827,500	% Position8.00%	$ Change2.00%	# Change0.00%
Stck TickerG2283U100	Stock NameCOLOMBIER ACQUISITION CORP I	$ Position$1,744,200	% Position8.00%	$ Change21.00%	# Change21.00%
Stck TickerG7573M106	Stock NameRIGEL RESOURCE ACQ CORP	$ Position$1,727,300	% Position8.00%	$ Change2.00%	# Change0.00%
Stck TickerG75389109	Stock NameRF ACQUISITION CORP II	$ Position$1,626,912	% Position7.00%	$ Change	# Change
Stck TickerG5212E105	Stock NameJVSPAC ACQUISITION CORP	$ Position$1,551,000	% Position7.00%	$ Change2.00%	# Change0.00%
Stck TickerG5451A103	Stock NameLEGATO MERGER CORP III	$ Position$1,447,690	% Position7.00%	$ Change1.00%	# Change0.00%
Stck TickerG01341109	Stock NameAIMEI HEALTH TECHNOLOGY CO L	$ Position$1,467,200	% Position7.00%	$ Change1.00%	# Change0.00%
Stck Ticker74841A105	Stock NameQUETTA ACQUISITION CORP	$ Position$1,298,960	% Position6.00%	$ Change0.00%	# Change0.00%
Stck TickerG4023C101	Stock NameGOLDEN STAR ACQUISITION CORP	$ Position$1,092,000	% Position5.00%	$ Change1.00%	# Change0.00%
Stck TickerG3106N125	Stock NameEQV VENTURES ACQUISITION COR	$ Position$794,380	% Position4.00%	$ Change	# Change

Brochure Summary

Overview

Sage Rock Capital Management LP (“we” “us,” or “our”) is a Delaware limited partnership that was formed on June 5, 2013. We are principally owned by Atul Khanna (the “CIO”) and Raffiq Nathoo (together with the CIO, the “Managing Partners”). We provide discretionary investment advice to Sage Rock Capital Fund LP (the “Feeder Fund”) and Sage Rock Capital Master Fund LP, a master fund through which the Feeder Fund invests (together with the Feeder Fund, the “Funds”). We also serve as a sub-adviser to the following funds and accounts (collectively, the “Separately Managed Accounts”): (i) an open-end mutual fund that is registered as an investment company under the Investment Company Act of 1940, as amended (the “Mutual Fund”) and (ii) a unit trust created under the law of the Cayman Islands by the Declaration of Trust dated October 7, 2021, (the “Unit Trust Fund”). References throughout this document to “clients” refer to the Funds, the Separately Managed Accounts and any investment vehicles that we may advise in the future. Client accounts

will be managed in accordance with their own investment and trading objectives, as described in their offering documents, governing agreements and investment advisory agreements, as applicable (collectively, the “Governing Documents”). We do not permit investors in the Funds to impose limitations on the investment activities described in the Funds’ Governing Documents. Under certain circumstances, we may contract with a Separately Managed Account to adhere to limited risk and/or operating guidelines imposed by that client. We negotiate such arrangements on a case-by-case basis. (See Item 16 – Investment Discretion) Sage Rock Capital LLC (“Sage Rock GP”) serves as the general partner to the Funds. We do not participate in wrap fee programs. As of December 31, 2023, we managed $86,521,463 of regulatory assets under management on a discretionary basis. We do not manage any assets on a non-discretionary basis. As of January 2024, we ceased providing sub-advisory services to the Separately Managed Accounts discussed above.

SAGE ROCK CAPITAL MANAGEMENT LP

SAGE ROCK CAPITAL MANAGEMENT LP

TX3 SAGE ROCK

Adviser Profile

Details

Adviser Type

Client Types

Advisory Activities

Compensation Arrangments

Reported AUM

Private Funds

Employees

Similar advisers

Top Holdings

Brochure Summary

Overview

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SAGE ROCK CAPITAL MANAGEMENT LP SAGE ROCK CAPITAL MANAGEMENT LP TX3 SAGE ROCK

Adviser Profile

Details

Adviser Type

Client Types

Advisory Activities

Compensation Arrangments

Reported AUM

Private Funds

Employees

Similar advisers

Top Holdings

Brochure Summary

Overview

SAGE ROCK CAPITAL MANAGEMENT LP

SAGE ROCK CAPITAL MANAGEMENT LP

TX3 SAGE ROCK