9AT: SAGE ROCK CAPITAL MANAGEMENT LP

other names

Adviser Profile

As of Date	03/28/2024
Adviser Type - Mid-sized advisory firm
Number of Employees	4 -33.33%
of those in investment advisory functions	2 -50.00%
Registration	SEC, Approved, 04/08/2019
Other registrations (1)	SEC, ERA - Withdrawn, 03/08/2019

AUM^*	86,521,463 -78.03%
of that, discretionary	86,521,463 -78.03%
Private Fund GAV^*	32,192,351 0.98%
Avg Account Size	21,630,366 -67.04%
SMA’s	No
Private Funds	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

Fund Type	Count	GAV
Fund TypeHedge Fund	Count1	GAV$32,192,351

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 IMPERIAL CAPITAL 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-	AUM393.7m	#Funds-
Adviser EQUITAS CAPITAL ADVISORS,LLC	Hedge Fund45.0m	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV45.0m	AUM217.1m	#Funds1
Adviser BEACONLIGHT CAPITAL, LLC	Hedge Fund247.7m	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV247.7m	AUM365.3m	#Funds1
Adviser BLACK SWIFT GROUP, LLC	Hedge Fund95.8m	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV95.8m	AUM467.6m	#Funds5
Adviser SPARK INVESTMENT MANAGEMENT LLC	Hedge Fund392.2m	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV392.2m	AUM392.2m	#Funds1
Adviser TOWER BAY ASSET MANAGEMENT LP	Hedge Fund194.4m	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV194.4m	AUM437.8m	#Funds1
Adviser PROSPECT CAPITAL ADVISORS, LLC	Hedge Fund413.0m	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV413.0m	AUM439.7m	#Funds2
Adviser CARL MARKS MANAGEMENT COMPANY, LLC	Hedge Fund338.7m	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV338.7m	AUM383.3m	#Funds3
Adviser SUN VALLEY GOLD LLC	Hedge Fund81.9m	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV81.9m	AUM99.9m	#Funds3
Adviser DG CAPITAL MANAGEMENT, LLC	Hedge Fund445.0m	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV445.0m	AUM479.4m	#Funds2

Stock Ticker	Stock Name	$ Position	% Position	$ Change	# Change
Stck Ticker17144M102	Stock NameCHURCHILL CAPITAL CORP VII	$ Position$2,746,350	% Position10.00%	$ Change1.00%	# Change0.00%
Stck Ticker89301B104	Stock NameZALATORIS ACQUISITION CORP	$ Position$2,216,000	% Position8.00%	$ Change2.00%	# Change0.00%
Stck TickerG12729110	Stock NameBOWEN ACQUISITION CORP	$ Position$1,793,500	% Position7.00%	$ Change1.00%	# Change0.00%
Stck TickerG7573M106	Stock NameRIGEL RESOURCE ACQ CORP	$ Position$1,701,766	% Position6.00%	$ Change1.00%	# Change0.00%
Stck TickerG75389125	Stock NameRF ACQUISITION CORP II	$ Position$1,609,600	% Position6.00%	$ Change	# Change
Stck TickerG5212E105	Stock NameJVSPAC ACQUISITION CORP	$ Position$1,524,000	% Position6.00%	$ Change1.00%	# Change0.00%
Stck TickerG5451A103	Stock NameLEGATO MERGER CORP III	$ Position$1,436,089	% Position5.00%	$ Change1.00%	# Change0.00%
Stck Ticker74841A105	Stock NameQUETTA ACQUISITION CORP	$ Position$1,292,715	% Position5.00%	$ Change2.00%	# Change0.00%
Stck TickerG2283U100	Stock NameCOLOMBIER ACQUISITION CORP I	$ Position$1,438,500	% Position5.00%	$ Change0.00%	# Change0.00%
Stck TickerG01341109	Stock NameAIMEI HEALTH TECHNOLOGY CO L	$ Position$1,449,000	% Position5.00%	$ Change1.00%	# Change0.00%

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.

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SAGE ROCK CAPITAL MANAGEMENT LP

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