9AT: LLOYD HARBOR CAPITAL MANAGEMENT, LLC

other names

LLOYD HARBOR CAPITAL MANAGEMENT, LLC

Adviser Profile

As of Date	03/31/2025
ADV Location	COLD SPRING HARBOR, NY, United States
Adviser Type - Large advisory firm
Number of Employees	7
of those in investment advisory functions	7 17%
Registration	SEC, Approved, 07/27/2022
Other registrations (1)	SEC, ERA - Withdrawn, 06/27/2022
Former registrations	LLOYD HARBOR CAPITAL MANAGEMENT, LLC

AUM^*	309,630,174 -31%
of that, discretionary	309,630,174 -31%
Private Fund GAV^*	309,630,173 -31%
Avg Account Size	103,210,058 -31%
SMA’s	No
Private Funds	5 3
Contact Info	631 xxxxxxx
Websites

Client Types

- Pooled investment vehicles

Advisory Activities

- Portfolio management for individuals and/or small businesses
- Portfolio management for pooled investment vehicles
- Portfolio management for businesses

Compensation Arrangments

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

Fund Type	Count	GAV
Fund TypeHedge Fund	Count3	GAV$309,630,173
Fund TypeOther Private Fund	Count2	GAV$

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 TAIKA CAPITAL	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM144.4m	#Funds-
Adviser MERCATOR PARTNERS	Hedge Fund279.1m	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV279.1m	AUM279.1m	#Funds4
Adviser KWK MANAGEMENT LLC	Hedge Fund252.2m	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV252.2m	AUM238.6m	#Funds3
Adviser SCHULTZE ASSET MANAGEMENT, LP	Hedge Fund44.7m	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV44.7m	AUM65.0m	#Funds3
Adviser MARKETFIELD ASSET MANAGEMENT LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM154.0m	#Funds-
Adviser GREENLEA LANE CAPITAL MANAGEMENT LLC	Hedge Fund438.3m	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV438.3m	AUM479.1m	#Funds2
Adviser SQUARE CIRCLE IA LP	Hedge Fund511.3m	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV511.3m	AUM511.3m	#Funds2
Adviser PRIME MERIDIAN CAPITAL MANAGEMENT, LLC	Hedge Fund101.2m	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV101.2m	AUM186.5m	#Funds4
Adviser KORR ACQUISITIONS	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM107.8m	#Funds-
Adviser ROBERTSON OPPORTUNITY CAPITAL, LLC	Hedge Fund324.2m	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV324.2m	AUM313.2m	#Funds2

Stock Ticker	Stock Name	$ Position	% Position	$ Change	# Change
Stck Ticker37954Y871	Stock NameGLOBAL X FDS (PUT)	$ Position$40,519,500	% Position16.00%	$ Change	# Change
Stck Ticker65340P106	Stock NameNEXGEN ENERGY LTD	$ Position$31,215,962	% Position12.00%	$ Change79.00%	# Change39.00%
Stck Ticker85208P303	Stock NameSPROTT FDS TR	$ Position$29,610,700	% Position12.00%	$ Change326.00%	# Change238.00%
Stck Ticker91688R108	Stock NameUR-ENERGY INC	$ Position$23,359,500	% Position9.00%	$ Change2676.00%	# Change1528.00%
Stck Ticker13321L108	Stock NameCAMECO CORP	$ Position$18,236,279	% Position7.00%	$ Change-47.00%	# Change-53.00%
Stck Ticker47759T100	Stock NameJINKOSOLAR HLDG CO LTD	$ Position$16,265,354	% Position6.00%	$ Change34.00%	# Change18.00%
Stck Ticker23703Q203	Stock NameDAQO NEW ENERGY CORP	$ Position$13,153,672	% Position5.00%	$ Change113.00%	# Change15.00%
Stck Ticker248356107	Stock NameDENISON MINES CORP	$ Position$11,826,820	% Position5.00%	$ Change-3.00%	# Change-36.00%
Stck TickerG9460G101	Stock NameVALARIS LTD	$ Position$13,655,600	% Position5.00%	$ Change	# Change
Stck TickerH8817H100	Stock NameTRANSOCEAN LTD	$ Position$9,032,400	% Position4.00%	$ Change72.00%	# Change43.00%

Brochure Summary

Overview

Lloyd Harbor Capital Management, LLC is organized as a Delaware limited liability company with a principal place of business in Cold Spring Harbor, New York. Lloyd Harbor’s principal owner is Timothy J. Rotolo through his various subsidiaries. Lloyd Harbor provides discretionary investment advice to the following private pooled investment funds: (i) Sachem Cove Special Opportunities Fund, LP (the "Sachem Cove Fund") and (ii) LHC Special Opportunities Fund I LP (the “LHC Fund” and, together with the Sachem Cove Fund, the “Funds”) The securities of which are offered through a private placement memorandum to accredited investors, as defined under the Securities Act of 1933, as amended (the “Securities Act”), and qualified purchasers, as defined under the Investment Company Act of 1940, as amended (the “Investment Company Act”). The Funds are exempt from registration under the Investment Company Act, and their securities are not registered under the Securities Act. Lloyd Harbor does not tailor its advisory services to the individual needs of the underlying investors or limited partners in its Funds (the “Investors”) and does not accept Investor-imposed investment restrictions for the Funds. Lloyd Harbor has discretion to manage the investment program of each Fund in its judgement, subject to the investment guidelines

and restrictions set forth in the applicable private offering memorandum and investment management agreement between the relevant Fund and Lloyd Harbor. The Funds may enter into side letters and other agreements and arrangements with certain investors in the Funds, which may provide terms and conditions that are more advantageous than those set forth in the applicable private offering memorandum. Additionally, we provide discretionary investment advice to certain separately managed accounts (the “SMAs” and together with the Funds, the “Clients”). SMAs may offer tailored investment objectives to specific financial instruments and/or be subject to different terms and fees than those of the Funds. Such investment objectives and terms will be negotiated with each SMA client and described in each SMA client’s IMA. Our investment decisions and advice with respect to the Fund is subject to the Fund’s investment objectives and guidelines, as set forth in its respective private offering memorandum and/or other offering documents (collectively, “Offering Documents”). We do not currently participate in any Wrap Fee Programs. Currently, we have $450,897,340 in regulatory assets under management on a discretionary basis as of December 31, 2023. We do not have any non-discretionary regulatory assets.

LLOYD HARBOR CAPITAL MANAGEMENT, LLC

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