9AT: MALTESE CAPITAL MANAGEMENT, LLC

other names

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

Adviser Profile

As of Date	03/31/2025
Adviser Type - Large advisory firm
Number of Employees	17 -10.53%
of those in investment advisory functions	9 -25.00%
Registration	SEC, Approved, 11/17/2010

AUM^*	831,061,000 -10.23%
of that, discretionary	831,061,000 -10.23%
Private Fund GAV^*	770,490,000 4.26%
Avg Account Size	83,106,100 -28.18%
SMA’s	No
Private Funds	9
Contact Info	212 xxxxxxx
Websites

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

Fund Type	Count	GAV
Fund TypeHedge Fund	Count9	GAV$770,490,000

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 SIMCOE CAPITAL MANAGEMENT, LLC	Hedge Fund868.7m	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV868.7m	AUM868.7m	#Funds4
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 BORNITE CAPITAL MANAGEMENT LP	Hedge Fund1.1b	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV1.1b	AUM1.1b	#Funds5
Adviser TIPTREE ADVISORS, LLC	Hedge Fund773.0m	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV773.0m	AUM2.0b	#Funds4
Adviser RUDIUS MANAGEMENT, L.P.	Hedge Fund921.5m	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV921.5m	AUM921.5m	#Funds6
Adviser MERK INVESTMENTS LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM3.1b	#Funds-
Adviser PARADIGM BIOCAPITAL ADVISORS LP	Hedge Fund2.6b	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV2.6b	AUM3.1b	#Funds3
Adviser PHILOSOPHY CAPITAL MANAGEMENT LLC	Hedge Fund1.3b	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV1.3b	AUM1.6b	#Funds4
Adviser MFP INVESTORS LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM487.0m	#Funds-
Adviser GRANVILLE CAPITAL, INC.	Hedge Fund670.8m	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV670.8m	AUM1.1b	#Funds7

Stock Ticker	Stock Name	$ Position	% Position	$ Change	# Change
Stck Ticker440407104	Stock NameHORIZON BANCORP INC	$ Position$3,800,921	% Position1.00%	$ Change13.00%	# Change11.00%
Stck Ticker43785V102	Stock NameHOMESTREET INC	$ Position$4,415,451	% Position1.00%	$ Change18.00%	# Change6.00%
Stck Ticker43785V102	Stock NameHOMESTREET INC	$ Position$5,882,493	% Position1.00%	$ Change14.00%	# Change3.00%
Stck Ticker320517105	Stock NameFIRST HORIZON CORPORATION	$ Position$3,921,025	% Position1.00%	$ Change3.00%	# Change-5.00%
Stck Ticker31946M103	Stock NameFIRST CTZNS BANCSHARES INC N	$ Position$4,812,916	% Position1.00%	$ Change-8.00%	# Change-13.00%
Stck Ticker31946M103	Stock NameFIRST CTZNS BANCSHARES INC N	$ Position$5,497,681	% Position1.00%	$ Change0.00%	# Change-5.00%
Stck Ticker31946M103	Stock NameFIRST CTZNS BANCSHARES INC N	$ Position$3,895,332	% Position1.00%	$ Change-1.00%	# Change-6.00%
Stck Ticker29460X109	Stock NameEQUITY BANCSHARES INC	$ Position$4,097,544	% Position1.00%	$ Change4.00%	# Change0.00%
Stck Ticker14040H105	Stock NameCAPITAL ONE FINL CORP	$ Position$3,690,322	% Position1.00%	$ Change340.00%	# Change271.00%
Stck Ticker172967424	Stock NameCITIGROUP INC	$ Position$8,249,320	% Position1.00%	$ Change3.00%	# Change-14.00%

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.

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MALTESE CAPITAL MANAGEMENT, LLC

Adviser Profile

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