9AT: SAGE ROCK CAPITAL MANAGEMENT LP

SAGE ROCK CAPITAL MANAGEMENT LP

other names

SAGE ROCK CAPITAL MANAGEMENT LP
TX3 SAGE ROCK

Adviser Profile

Registration status

Terminated

As of Date	02/02/2025
ADV Location	NEW YORK, NY, United States
Adviser Type - Mid-sized advisory firm
Number of Employees	4 -33%
of those in investment advisory functions	2 -50%

AUM^*	86,521,463 -78%
of that, discretionary	86,521,463 -78%
Private Fund GAV^*	0 -100%
Avg Account Size	21,630,366 -67%
SMA’s	No
Private Funds	0 1
Contact Info	212 xxxxxxx
Websites

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

Reported AUM

677M 580M 484M 387M 290M 193M 97M

2019 2020 2021 2022 2023

Discretionary

Non-discretionary

Private Funds

GAV Count

Employees

Top Holdings

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.