9AT: BOOTHBAY FUND MANAGEMENT

other names

BOOTHBAY FUND MANAGEMENT
LEVEL 3 CAPITAL MANAGEMENT, LLC - RELYING ADVISER
LEVEL 3 CAPITAL GP, LLC - RELYING ADVISER
BOOTHBAY HYBRID GP, LLC - RELYING ADVISER
BOOTHBAY FUND MANAGEMENT, LLC

Adviser Profile

As of Date	03/27/2026
Registration	SEC, Approved, 07/02/2014
Other registrations (1)	SEC, ERA - Withdrawn, 06/26/2014
ADV Location	NEW YORK, NY, United States
Contact Info	212 xxxxxxx
Websites

AUM^*	17,985,924,508 52%
of that, discretionary	17,985,924,508 52%
Private Fund GAV^*	17,815,283,560 24%
Avg Account Size	1,635,084,046 -3%
SMA’s	No
Private Funds	11 6

Adviser Type

- Large advisory firm

Number of Employees 57 104%

of those in investment advisory functions 18 80%

Client Types

- Pooled investment vehicles

Advisory Activities

- Portfolio management for pooled investment vehicles
- Selection of other advisers

Compensation Arrangments

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

SEC Fund Type	Count	GAV
Fund TypeHedge Fund	Count11	GAV$17,815,283,560

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 LMR PARTNERS LLC	Hedge Fund374.1b	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV374.1b	AUM140.1b	#Funds9
Adviser T. ROWE PRICE AUSTRALIA LIMITED	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM16.7b	#Funds-
Adviser WALLEYE CAPITAL LLC	Hedge Fund53.3b	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV53.3b	AUM52.1b	#Funds16
Adviser AGL CREDIT MANAGEMENT LLC	Hedge Fund1.4b	Liquidity Fund-	Private Equity Fund95.1m	Real Estate Fund-	Securitized Asset Fund23.5b	Venture Capital Fund-	Other Fund-	Total Private Fund GAV25.0b	AUM25.8b	#Funds54
Adviser TWINBEECH CAPITAL LP	Hedge Fund2.5b	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV2.5b	AUM2.5b	#Funds3
Adviser GAMCO ASSET MANAGEMENT INC.	Hedge Fund331.0m	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV331.0m	AUM11.7b	#Funds1
Adviser K2/D&S MANAGEMENT CO., L.L.C.	Hedge Fund3.5b	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV3.5b	AUM6.5b	#Funds49
Adviser ALLEN INVESTMENT MANAGEMENT, LLC	Hedge Fund570.1k	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV570.1k	AUM16.9b	#Funds1
Adviser GENERATION INVESTMENT MANAGEMENT US LLP	Hedge Fund7.9b	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV7.9b	AUM10.5b	#Funds4
Adviser ARISTEIA CAPITAL, LLC	Hedge Fund10.6b	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV10.6b	AUM13.7b	#Funds5

Stock Ticker	Stock Name	$ Position	% Position	$ Change	# Change
Stck Ticker78462F103	Stock NameSPDR S&P 500 ETF TR (PUT)	$ Position$861,742,304	% Position13.00%	$ Change17.00%	# Change14.00%
Stck Ticker46090E103	Stock NameINVESCO QQQ TR (PUT)	$ Position$215,929,965	% Position3.00%	$ Change511.00%	# Change497.00%
Stck Ticker78462F103	Stock NameSPDR S&P 500 ETF TR (CALL)	$ Position$102,288,000	% Position2.00%	$ Change-15.00%	# Change-17.00%
Stck Ticker67066G104	Stock NameNVIDIA CORPORATION (PUT)	$ Position$120,963,900	% Position2.00%	$ Change3.00%	# Change3.00%
Stck Ticker29444U700	Stock NameEQUINIX INC	$ Position$43,062,789	% Position1.00%	$ Change18.00%	# Change20.00%
Stck Ticker78410G104	Stock NameSBA COMMUNICATIONS CORP NEW	$ Position$35,161,899	% Position1.00%	$ Change41.00%	# Change41.00%
Stck Ticker88160R101	Stock NameTESLA INC (CALL)	$ Position$44,477,308	% Position1.00%	$ Change54.00%	# Change53.00%
Stck Ticker88160R101	Stock NameTESLA INC (PUT)	$ Position$72,494,864	% Position1.00%	$ Change49.00%	# Change47.00%
Stck Ticker67066G104	Stock NameNVIDIA CORPORATION	$ Position$50,087,000	% Position1.00%	$ Change-28.00%	# Change-28.00%
Stck Ticker78463V107	Stock NameSPDR GOLD TR (PUT)	$ Position$34,875,280	% Position1.00%	$ Change513.00%	# Change450.00%

Brochure Summary

Overview

ADVISORY BUSINESS A. General Description of Advisory Firm Boothbay Fund Management, LLC is a Delaware limited liability company that commenced operations in April 2012. Boothbay offers investment advisory services to pooled investment vehicles that have been privately placed and that have not been registered under the Investment Company Act of 1940, as amended (the “Investment Company Act”) (each, a “Fund” and collectively, the “Funds”). Ari Glass, the founder of the Firm who oversees all of the Firm’s activities (the “Principal”), is the principal owner of Boothbay. The Funds were formed to pool the capital contributions of various investors (each an “Investor” and together the “Investors”). Boothbay performs investment advisory services generally by allocating the Funds’ capital to a number of separate managers (such managers collectively referred to as “Portfolio Managers”), some of which involve “first-loss” arrangements. Portfolio Managers may be individuals or entities that are independent of Boothbay, or they may be employees or other personnel of Boothbay or one of its affiliates.

Additionally, Boothbay or its affiliates may have an economic interest in certain Portfolio Managers. Each Portfolio Manager actively manages the assets allocated to it by Boothbay in accordance with a written investment management agreement (with respect to a Portfolio Manager that is an individual or entity that is independent of Boothbay) or an employment agreement (with respect to a Portfolio Manager who is an employee of Boothbay or one of its affiliates) (each, a “Portfolio Manager Agreement”), and Boothbay provides top-level oversight of the Portfolio Managers. Portfolio Manager Agreements generally contain provisions and trading restrictions specific to the relevant Portfolio Manager. Boothbay’s oversight is generally focused on monitoring Portfolio Manager compliance with any applicable investment guidelines and parameters. Information about the Funds can be found in each respective set of offering documents. B. Assets Under Management As of December 31, 2023, Boothbay had regulatory assets under management in the Funds of $11,853,384,323, all of which were managed on a discretionary basis.

BOOTHBAY FUND MANAGEMENT

Adviser Profile

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