9AT: MALTESE CAPITAL MANAGEMENT, LLC

Adviser Profile

As of Date	03/30/2026
Registration	SEC, Approved, 11/17/2010
ADV Location	NEW YORK, NY, United States
Contact Info	212 xxxxxxx
Websites

AUM^*	695,726,000 -7%
of that, discretionary	695,726,000 -7%
Number of Employees	17
of those in investment advisory functions	9 -18%
Private Fund GAV^*	657,301,000 -15%
Avg Account Size	99,389,429 20%
SMA’s	No
Private Funds	7 1

Adviser Type

- Large advisory firm

Client Types

- Pooled investment vehicles
- Corporations or other businesses not listed above

Advisory Activities

- Portfolio management for pooled investment vehicles
- Portfolio management for businesses

Compensation Arrangments

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

	Count	GAV
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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 DIVISAR CAPITAL MANAGEMENT, LLC	Hedge Fund812.8m	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV812.8m	AUM812.8m	#Funds2
Adviser SIMCOE CAPITAL MANAGEMENT, LLC	Hedge Fund633.8m	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV633.8m	AUM633.8m	#Funds4
Adviser KCL CAPITAL, L.P.	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM948.6m	#Funds-
Adviser SANTA LUCIA ASSET MANAGEMENT PTE. LTD.	Hedge Fund123.2m	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV123.2m	AUM1.2b	#Funds1
Adviser ALTRAVUE CAPITAL, LLC	Hedge Fund871.0m	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV871.0m	AUM1.5b	#Funds2
Adviser RUDIUS MANAGEMENT, L.P.	Hedge Fund955.8m	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV955.8m	AUM955.8m	#Funds6
Adviser PARADIGM BIOCAPITAL ADVISORS LP	Hedge Fund4.1b	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV4.1b	AUM4.5b	#Funds6
Adviser PHILOSOPHY CAPITAL MANAGEMENT LLC	Hedge Fund1.5b	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV1.5b	AUM1.7b	#Funds4
Adviser BORNITE CAPITAL MANAGEMENT LP	Hedge Fund1.4b	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV1.4b	AUM1.4b	#Funds5
Adviser HERR INVESTMENT GROUP LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM747.6m	#Funds-

Stock Ticker	Stock Name	$ Position	% Position	$ Change	# Change
Stck Ticker84472E102	Stock NameSOUTHSTATE BK CORP	$ Position$8,246,645	% Position2.00%	$ Change6.00%	# Change-2.00%
Stck Ticker84472E102	Stock NameSOUTHSTATE BK CORP	$ Position$8,196,296	% Position1.00%	$ Change10.00%	# Change2.00%
Stck Ticker84472E102	Stock NameSOUTHSTATE BK CORP	$ Position$3,037,559	% Position1.00%	$ Change-8.00%	# Change-14.00%
Stck Ticker74727A104	Stock NameQCR HLDGS INC	$ Position$3,124,643	% Position1.00%	$ Change-21.00%	# Change-31.00%
Stck Ticker74727A104	Stock NameQCR HLDGS INC	$ Position$3,128,732	% Position1.00%	$ Change-27.00%	# Change-36.00%
Stck Ticker46625H100	Stock NameJPMORGAN CHASE & CO	$ Position$3,029,112	% Position1.00%	$ Change37.00%	# Change23.00%
Stck Ticker46625H100	Stock NameJPMORGAN CHASE & CO	$ Position$3,194,741	% Position1.00%	$ Change44.00%	# Change30.00%
Stck Ticker446150104	Stock NameHUNTINGTON BANCSHARES INC	$ Position$3,327,956	% Position1.00%	$ Change39.00%	# Change23.00%
Stck Ticker446150104	Stock NameHUNTINGTON BANCSHARES INC	$ Position$3,360,065	% Position1.00%	$ Change34.00%	# Change18.00%
Stck Ticker55261F104	Stock NameM & T BK CORP	$ Position$4,494,343	% Position1.00%	$ Change11.00%	# Change-4.00%

Brochure Summary

Overview

Maltese Capital Management, LLC (the “Adviser”) is an investment adviser with its principal place of business in New York, New York that commenced operations as an investment adviser in 1996 and has been registered with the Securities and Exchange Commission (the “SEC”) since November 17, 2010. The Adviser changed its name in early 2015 from Sandler O’Neill Asset Management, LLC, as previously disclosed in the Adviser’s amendment filing made as of January 1, 2015. Terry Maltese is the principal owner of the Adviser. The Adviser provides investment advisory services on a discretionary basis to client accounts that are private pooled investment vehicles, including Malta Hedge Fund, L.P., Malta Hedge Fund II, L.P., Malta Phoenix Partners, L.P., and Malta Phoenix Partners, L.P. Class B (each a “Domestic Fund”); and Malta Market Neutral Master Fund, Ltd., Malta Titan Fund, L.P., and Malta Offshore, Ltd. (each an “Offshore Fund”). Maltese Capital Holdings, LLC, an affiliate of the Adviser, serves as the general partner

to the Domestic Funds and Malta Titan Fund, L.P. The Domestic Funds and the Offshore Funds are collectively referred to as the “Funds.” The Adviser also provides investment advisory services on a discretionary basis to client accounts that are separately managed accounts (the “SMAs,” and together with the Funds, the “Clients”). The Adviser provides advice to Clients based on their specific investment objectives, strategies and investment restrictions. The Adviser does not tailor advisory services to the individual needs of investors in the Funds. Investors in the Funds may not impose restrictions on investing in certain securities or certain types of securities. Agreements governing SMAs are negotiated separately, and investment restrictions for the SMAs are included in the governing documents for the SMAs (the “SMA Agreements”). As of December 31, 2023, the Adviser had approximately $747 million regulatory assets under management, all of which are managed on a discretionary basis.

MALTESE CAPITAL MANAGEMENT, LLC

MALTESE CAPITAL MANAGEMENT, LLC

SANDLER O'NEILL ASSET MANAGEMENT, LLC

SANDLER O'NEIL ASSET MANAGEMENT, LLC

Adviser Profile

Details

Adviser Type

Client Types

Advisory Activities

Compensation Arrangments

Reported AUM

Private Funds

Employees

Private Funds Structure

Similar advisers

Top Holdings

Brochure Summary

Overview

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MALTESE CAPITAL MANAGEMENT, LLC MALTESE CAPITAL MANAGEMENT, LLC SANDLER O'NEILL ASSET MANAGEMENT, LLC SANDLER O'NEIL ASSET MANAGEMENT, LLC

Adviser Profile

Details

Adviser Type

Client Types

Advisory Activities

Compensation Arrangments

Reported AUM

Private Funds

Employees

Private Funds Structure

Similar advisers

Top Holdings

Brochure Summary

Overview

MALTESE CAPITAL MANAGEMENT, LLC

MALTESE CAPITAL MANAGEMENT, LLC

SANDLER O'NEILL ASSET MANAGEMENT, LLC

SANDLER O'NEIL ASSET MANAGEMENT, LLC