9AT: STONEPINE CAPITAL MANAGEMENT, LLC

other names

Adviser Profile

As of Date	05/28/2024
Adviser Type - Large advisory firm
Number of Employees	6 20.00%
of those in investment advisory functions	4 33.33%
Registration	SEC, Approved, 08/01/2017
Other registrations (3)	SEC, ERA - Withdrawn, 06/29/2017 California, ERA - Withdrawn, 06/29/2017 California, Terminated, 04/03/2014

AUM^*	347,828,196 28.10%
of that, discretionary	347,828,196 28.10%
Private Fund GAV^*	347,828,196
Avg Account Size	347,828,196 28.10%
SMA’s	No
Private Funds	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

Fund Type	Count	GAV
Fund TypeHedge Fund	Count1	GAV$347,828,196

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 GORDIAN WEALTH ADVISORS, LLC	Hedge Fund14.2m	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV14.2m	AUM342.7m	#Funds2
Adviser KRUSEN CAPITAL MANAGEMENT, LLC	Hedge Fund60.6m	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV60.6m	AUM213.6m	#Funds1
Adviser PHARVISION ADVISERS, LLC	Hedge Fund80.0m	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV80.0m	AUM400.0m	#Funds1
Adviser BENGAL ASSET MANAGEMENT, LLC	Hedge Fund203.3m	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV203.3m	AUM203.3m	#Funds1
Adviser NORCAP INVESTMENT MANAGEMENT, L.P.	Hedge Fund204.4m	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV204.4m	AUM204.4m	#Funds5
Adviser SPRUCE POINT CAPITAL MANAGEMENT, LLC	Hedge Fund334.5m	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV334.5m	AUM334.5m	#Funds1
Adviser ACM	Hedge Fund2.6m	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV2.6m	AUM301.4m	#Funds1
Adviser KNUFF & COMPANY LLC	Hedge Fund8.0m	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV8.0m	AUM308.5m	#Funds1
Adviser HARVEST MANAGEMENT, L.L.C.	Hedge Fund74.6m	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV74.6m	AUM396.2m	#Funds2
Adviser LIVELLO CAPITAL MANAGEMENT LP	Hedge Fund218.6m	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV218.6m	AUM225.5m	#Funds2

Stock Ticker	Stock Name	$ Position	% Position	$ Change	# Change
Stck Ticker000899104	Stock NameADMA BIOLOGICS INC	$ Position$20,906,600	% Position19.00%	$ Change-8.00%	# Change-45.00%
Stck Ticker016259202	Stock NameALIMERA SCIENCES INC	$ Position$19,525,697	% Position18.00%	$ Change24.00%	# Change-13.00%
Stck Ticker30052C107	Stock NameEVOLUS INC	$ Position$17,985,079	% Position16.00%	$ Change-52.00%	# Change-38.00%
Stck Ticker36315X101	Stock NameGALAPAGOS NV-SPON ADR	$ Position$12,018,300	% Position11.00%	$ Change-5.00%	# Change23.00%
Stck Ticker761330109	Stock NameREVANCE THERAPEUTICS INC	$ Position$7,196,000	% Position7.00%	$ Change-26.00%	# Change42.00%
Stck Ticker98419J206	Stock NameXOMA CORP	$ Position$5,925,556	% Position5.00%	$ Change-3.00%	# Change-1.00%
Stck Ticker035255108	Stock NameANIKA THERAPEUTICS INC	$ Position$4,189,506	% Position4.00%	$ Change171.00%	# Change171.00%
Stck Ticker872381108	Stock NameTELA BIO INC	$ Position$2,940,532	% Position3.00%	$ Change-25.00%	# Change-9.00%
Stck Ticker68404V100	Stock NameOPTINOSE INC	$ Position$2,444,010	% Position2.00%	$ Change	# Change
Stck Ticker766559702	Stock NameRIGEL PHARMACEUTICALS INC	$ Position$2,507,100	% Position2.00%	$ 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.

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STONEPINE CAPITAL MANAGEMENT, LLC

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