Hedge Fund Database

MANGROVE PARTNERS

MANGROVE PARTNERS IM, LLC Legal Name

Adviser information for MANGROVE PARTNERS last updated from Form ADV on March 28th, 2024. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.

Advisory Business

Type of Organization Limited Liability Company
Fiscal Year End DECEMBER
Legal Location Delaware, United States

Employees

Total Number of Employees 16
Investment Advisory/Research 8
Registered Broker-Dealer Representatives 0
Registered State Investment Advisers 0
Licensed Agents of an Insurance Company 0
No. of Firms/People that Solicit Clients 0

RAUM

Provides Management of Securities Portfolios Yes
Type Accounts RAUM
Discretionary 6 $2.4B
Non-Discretionary 0 $0
Total 6 $2.4B

Clients

Type Number RAUM
Individuals 0 $0
HNW Individuals 0 $0
Banking or thrift institutions 0 $0
Investment companies 0 $0
Business development companies 0 $0
Pooled investment vehicles 3 $2.4B
Pension and profit sharing plans 0 $0
Charitable organizations 0 $0
State or municipal gov entities 0 $0
Other investment advisers 0 $0
Insurance companies <5 $37.5M
Sovereign wealth funds and foreign official institutions 0 $0
Corporations or other businesses 0 $0
Other 0 $0
Type Number
No. of Non-RAUM Clients 0
No. of Non-U.S. Clients 67
No. of Financial Planning Clients 0

Services

Advisory Services Portfolio management for pooled investment vehicles
Compensation % of AUMPerformance-based fees
Other Business Activities Commodity pool operator or commodity trading advisor

Identifiers

SEC RIA File Number 801-78070
SEC ERA File Number 801-78070
SEC CIK Numbers 1535392
SEC CRD Numbers 162296
Legal Entity Identifier 549300EH76BEETRFKH71

Principal Office

2 SOUND VIEW DRIVE
3RD FLOOR
GREENWICH
CT
United States
Monday - Friday, 9AM-5PM
Tel: 212-897-9535, Fax: 212-897-9534

Websites

www.mangrovepartners.com

Chief Compliance Officer

WARD DIETRICH
CHIEF OPERATING OFFICER
2 SOUND VIEW DRIVE
3RD FLOOR
GREENWICH
CT
United States
Tel: 212-897-9537
Fax: 212-897-9534
(Full email address available in API data)

Industry Affiliates

MANGROVE CAPITAL Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisorSponsor, GP, manager of pooled investment vehicles

Private Funds

Name Type Assets $USD Min Investment $USD No. Owners
THE MANGROVE PARTNERS MASTER FUND, LTD. Hedge Fund $2,447.5M $1.0M 197

Control Persons

Name Type Entity Title Since Ownership
AUGUST, NATHANIEL, HALL Individual – PRESIDENT 04/2010 < 5%
DIETRICH, WARD, THOMAS Individual – CHIEF OPERATING OFFICER, CHIEF COMPLIANCE OFFICER 01/2012 < 5%
MANGROVE HOLDING, INC. Domestic Entity – SOLE MEMBER 03/2024 > 75%
MANGROVE RETIREMENT SAVINGS PLAN Domestic Entity MANGROVE HOLDING, INC. OWNER 03/2024 > 75%

No. Employees, Historic

2010020202021202220232024202517 on 3/30/202012 on 3/31/202111 on 3/31/202214 on 6/30/202214 on 3/30/202314 on 9/22/202314 on 11/14/202314 on 3/18/202416 on 3/28/2024

RAUM, Historic

3B2B02020202120222023202420252040977327 on 3/30/20201540608474 on 3/31/20211961372584 on 3/31/20221961372584 on 6/30/20222037638184 on 3/30/20232037638184 on 9/22/20232037638184 on 11/14/20232037638184 on 3/18/20242447494952 on 3/28/2024

No. Clients, Historic

10502020202120222023202420258 on 3/30/20209 on 3/31/20218 on 3/31/20228 on 6/30/20227 on 3/30/20237 on 9/22/20237 on 11/14/20237 on 3/18/20246 on 3/28/2024

Holdings

From latest 13F, filed August 14th, 2024 for period ending June 30th, 2024
Name Class Value $USD # Shares Private Fund
A SPAC II ACQUISITION CORP *W EXP 10/15/202 7M 644K –
A SPAC II ACQUISITION CORP RIGHT 10/15/2026 137K 2M –
AERCAP HOLDINGS NV SHS 49M 524K –
AGRICULTURE & NAT SOL ACQ CO SHS CL A 2M 200K –
AI TRANSN ACQUISITION CORP RIGHT 09/01/2028 58K 340K –
AIMEI HEALTH TECHNOLOGY CO L RIGHT 11/17/2028 158K 750K –
AIMFINITY INVESTMENT CORP I *W EXP 99/99/999 6M 500K –
ALBERTSONS COS INC COMMON STOCK 42M 2M –
ALPHA STAR ACQUISITION CORP *W EXP 12/13/202 6M 500K –
ALPHA STAR ACQUISITION CORP RIGHT 05/30/2023 143K 2M –
AMEDISYS INC COM 24M 265K –
ANAPTYSBIO INC COM 17M 690K –
AROGO CAPITAL ACQUISITION CO CLASS A COM 2M 218K –
AROGO CAPITAL ACQUISITION CO *W EXP 03/23/202 10M 950K –
ATHENA TECHNOLOGY ACQ CORP I *W EXP 10/17/202 6M 490K –
ATMUS FILTRATION TECHNOLOGIE COM 36M 1M –
AURA FAT PROJS ACQUISITION C *W EXP 99/99/999 10M 900K –
AURORA INNOVATION INC CLASS A COM 8M 3M –
BAUSCH PLUS LOMB CORP COMMON SHARES 17M 1M –
BELLEVUE LIFE SCNCS AQSTN CO *W EXP 02/09/202 2M 204K –
BLEUACACIA LTD RIGHT 10/30/2026 51K 1M –
BLEUACACIA LTD *W EXP 10/30/202 5M 500K –
BLUE FOUNDRY BANCORP COM 2M 194K –
BOWEN ACQUISITION CORP RIGHT 99/99/9999 29K 268K –
CALAMOS GBL DYN INCOME FUND COM 8M 1M –
CANNA GLOBAL ACQUISITION COR *W EXP 99/99/999 9M 906K –
CATALENT INC COM 26M 462K –
CENTRAL GARDEN & PET CO CL A NON-VTG 10M 318K –
CENTRAL PLAINS BANCSHARES IN COM 2M 158K –
CETUS CAP ACQUISITION CORP RIGHT 03/31/2024 31K 108K –
CF ACQUISITION CORP VII CLASS A COM 3M 284K –
CHENGHE ACQUISITION II CO UNIT 05/30/2031 501K 50K –
CIA ENERGETICA DE MINAS GERA SP ADR N-V PFD 9M 5M –
CLIMATEROCK RIGHT 10/31/2028 198K 2M –
CLIMATEROCK *W EXP 99/99/999 7M 650K –
CLOUGH GLOBAL OPPORTUNITIES SH BEN INT 7M 1M –
CLOVER LEAF CAPITAL CORP RIGHT 05/31/2028 333K 2M –
CNH INDL N V SHS 6M 608K –
COMPASS DIGITAL ACQUISITN CO CLASS A ORD 292K 27K –
CSLM ACQUISITION CORP RIGHT 07/01/2023 195K 2M –
DISCOVER FINL SVCS COM 35M 269K –
DISTOKEN ACQUISITION CORP *W EXP 11/30/202 6M 525K –
DUET ACQUISITION CORP *W EXP 07/19/202 8M 750K –
EATON VANCE TAX-MANAGED GLOB COM 2M 221K –
ECD AUTOMOTIVE DESIGN INC COM 91K 75K –
ECD AUTOMOTIVE DESIGN INC *W EXP 12/12/202 1M 989K –
EMBRACE CHANGE ACQUISITN COR RIGHT 10/25/2026 224K 2M –
EMBRACE CHANGE ACQUISITN COR *W EXP 10/25/202 7M 625K –
EMBRAER S.A. SPONSORED ADS 33M 1M –
ENOVA INTL INC COM 35M 565K –
ESH ACQUISITION CORP RIGHT 99/99/9999 38K 350K –
ESH ACQUISITION CORP COM 5M 450K –
EVE MOBILITY ACQUISITION COR CL A ORD SHS 1M 95K –
EVENTBRITE INC NOTE 0.750% 9/1 14M – –
FINTECH ECOSYSTEM DEVE RIGHT 04/01/2026 165K 1M –
FLAHERTY & CRUMRINE DYNAMIC SHS 9M 460K –
FLAHERTY & CRUMRINE PFD SECS COM 10M 661K –
FOCUS IMPACT BH3 ACQUISITION CLASS A COM 577K 54K –
FTAC EMERALD ACQUISITION COR CLASS A COM 2M 219K –
GLOBAL BLOCKCHAIN ACQUI CORP *W EXP 99/99/999 6M 500K –
GLOBAL BLOCKCHAIN ACQUI CORP RIGHT 05/09/2027 90K 1M –
GLOBAL LIGHTS ACQUISITION CO RIGHT 11/14/2024 215K 1M –
GLOBAL STAR ACQUISITION INC *W EXP 07/15/202 10M 897K –
GLOBAL STAR ACQUISITION INC RIGHT 06/21/2024 237K 2M –
GLOBALINK INVT INC RIGHT 12/06/2026 302K 2M –
GLOBALINK INVT INC *W EXP 12/03/202 11M 950K –
GOLDEN STAR ACQUISITION CORP RIGHT 03/30/2025 358K 982K –
GORES HOLDINGS IX INC CLASS A COM 2M 221K –
HANCOCK JOHN PREM DIVID FD COM SH BEN INT 8M 681K –
HENNESSY CAPITAL INVST CORP CLASS A COM 2M 208K –
HINGHAM INSTN SVGS MASS COM 2M 10K –
HUDSON ACQUISITION I CORP RIGHT 99/99/9999 228K 982K –
IAC INC COM NEW 16M 339K –
IB ACQUISITION CORP COM SHS 4M 450K –
INTERNATIONAL GAME TECHNOLOG SHS USD 27M 1M –
INTERNATIONAL MEDIA ACQUISIT *W EXP 99/99/999 10M 900K –
IRON HORSE ACQUISITIONS CORP *W EXP 99/99/999 791K 79K –
IRON HORSE ACQUISITIONS CORP RIGHT 99/99/9999 109K 413K –
IRON HORSE ACQUISITIONS CORP COM 3M 339K –
ISHARES BITCOIN TR SHS 15M 434K –
ISHARES TR CORE S&P SCP ETF 24M 223K –
JACKSON FINANCIAL INC COM CL A 51M 692K –
JOYY INC ADS REPSTG COM A 31M 1M –
JVSPAC ACQUISITION CORP RIGHT 11/26/2026 180K 600K –
LANTHEUS HLDGS INC COM 15M 187K –
LARIMAR THERAPEUTICS INC COM 6M 856K –
LAUREATE EDUCATION INC COMMON STOCK 30M 2M –
LIBERTY BROADBAND CORP COM SER C 17M 315K –
LIBERTY MEDIA CORP DEL COM LBTY LIV S C 22M 587K –
LIONHEART HOLDINGS UNIT 99/99/9999 999K 100K –
MARS ACQUISITION CORP RIGHT 02/09/2028 149K 623K –
MASTERBRAND INC COMMON STOCK 39M 3M –
MELAR ACQUISITION CORP. I UNIT 06/10/2029 2M 150K –
MEREO BIOPHARMA GROUP PLC SPON ADS 32M 9M –
METAL SKY STAR ACQUISITION C *W EXP 03/31/202 11M 951K –
MONTEREY CAP ACQUISITION COR *W EXP 01/01/202 14M 1M –
NB BANCORP INC COM 2M 115K –
NCR VOYIX CORPORATION COM 7M 599K –
NEW PROVIDENCE ACQSITN CORP *W EXP 11/09/202 1M 97K –
NORTHEAST CMNTY BANCORP INC COM 2M 101K –
NORTHVIEW ACQUISITION CORP RIGHT 99/99/9999 153K 2M –
OAK WOODS ACQUISITION CORP RIGHT 03/23/2028 91K 365K –
OAK WOODS ACQUISITION CORP *W EXP 99/99/999 2M 179K –
ONEMEDNET CORP *W EXP 11/07/202 184K 187K –
OPENDOOR TECHNOLOGIES INC COM 214K 116K –
PEARL HOLDINGS ACQUISITN COR CLASS A ORD SHS 3M 249K –
PONCE FINANCIAL GROUP INC COMMON STOCK 2M 174K –
PROTAGONIST THERAPEUTICS INC COM 15M 439K –
QOMOLANGMA ACQUISITION CORP *W EXP 09/29/202 6M 500K –
QUETTA ACQUISITION CORP COM 3M 323K –
QUETTA ACQUISITION CORP RIGHT 11/30/2024 42K 34K –
RF ACQUISITION CORP *W EXP 05/01/202 10M 950K –
RF ACQUISITION CORP RIGHT 05/01/2028 194K 2M –
RIO TINTO PLC SPONSORED ADR 16M 249K –
RIVERNORTH DOUBLELINE STRATE COM 2M 213K –
RIVERNORTH OPPORTUNITIES FD COM 6M 516K –
SILENCE THERAPEUTICS PLC ADS 7M 385K –
SILVERBOX CORP III COM CL A 5M 450K –
SR BANCORP INC COM 2M 167K –
SRIVARU HOLDING LIMITED *W EXP 12/08/202 53K 299K –
SS&C TECHNOLOGIES HLDGS INC COM 25M 392K –
TECHNOLOGY & TELECOM ACQ COR *W EXP 04/15/202 6M 483K –
TEMPUR SEALY INTL INC COM 15M 319K –
TENX KEANE ACQUISITION RIGHT 06/30/2028 484K 2M –
TEVA PHARMACEUTICAL INDS LTD SPONSORED ADS 45M 3M –
THUNDER PWR HLDGS INC COM 305K 185K –
TMT ACQUISITION CORP RIGHT 03/27/2028 151K 442K –
TOWER SEMICONDUCTOR LTD SHS NEW 32M 813K –
TURNING PT BRANDS INC NOTE 2.500% 7/1 1M – –
TURNING PT BRANDS INC COM 3M 99K –
UBS GROUP AG SHS 19M 660K –
UNITED STATES STL CORP NEW COM 41M 1M –
UR-ENERGY INC COM 8M 6M –
VALARIS LTD CL A 31M 420K –
VIRTUS TOTAL RETURN FD INC COM 8M 1M –
VISION SENSING ACQUISITION C *W EXP 99/99/999 1M 99K –
WESTERN NEW ENG BANCORP INC COM 1M 214K –
WILLIAM PENN BANCORPORATION COM 1M 126K –
WINVEST ACQUISITION CORP RIGHT 99/99/9999 111K 1M –
WORTHINGTON STL INC COM SHS 34M 1M –
YOTTA ACQUISITION CORPORATIO *W EXP 03/15/202 10M 904K –
ZOOZ PWR LTD *W EXP 04/02/202 807K 363K –