Breithorn Capital Management LLC

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Breithorn Capital Management LLC
CRD #150910
SEC #801-70451
CIK #0001483060
AUM
Employees 5 (100% Investors, 0% Brokers)
Fees
Minimum
Phone212-487-4960
Address509 Madison Avenue
New York, NY 10022
Source [IAPD] [EDGAR] [Website]
Total AUM ($M)
2502001501005002008201320192025
Fees and Compensation — Form ADV Part 2A (3/21/2017) [Brochure]
Item 5: Fees and Compensation

Item 5.A.

Each Separate Account pays BCM a management fee of 1.00% per annum for accounts under $25
million, and the fee for accounts above $25 million is negotiable.

The Voyager Fund has two classes of shares, A-Class Shares and I-Class Shares, which pay
management fees of 1.60% and 1.00% per annum, respectively.

The Voyager Fund has an expense cap in place which can significantly reduce the management fees
received by BCM.

Item 5.B.

BCM’s custodian, on behalf of BCM, automatically deducts fees from each Separate Account pursuant
to its custodial agreement. Each Separate Account client provides authorization by signing a client
agreement with the custodian and the investment management agreement between BCM and the client.

As a sub-investment manager to the Voyager Fund, BCM is paid by EII Capital Management, Inc., the
Voyager Fund’s investment manager.

Item 5.C.

Separate Account clients whose assets are invested in money market funds where a management fee is
assessed as a client expense, may be paying an advisory fee to the investment manager as well as the
money market fund manager.

Item 5.D.

Fees are paid quarterly in arrears based on the net market value of each Advisory Client account at
quarter-end.

Item 5.E.

BCM is compensated solely for providing advisory services, and not for the sale of securities or other
investment products, and mutual funds.
Account Minimums and Types of Clients — Form ADV Part 2A (3/21/2017) [Brochure]
Item 7: Types of Clients

BCM provides discretionary investment advice to high-net worth individuals, trusts and institutional
clients. BCM also provides sub- advisory services to a UCITS fund (as defined in Item 4.B.) organized
under the laws of Dublin, Ireland.
Sector Form 13F Holdings Value ($M)
General Motors Co 6.7
Hennessy Capital Acquisition Corp 6.5
American International Group Inc 5.5
McKesson Corp 5.4
ING US Inc 5.2
Laboratory Corp of America Holdings 5.2
Fidelity National Financial Inc 5.1
Citigroup Inc 5.1
Owens Illinois Inc /DE/ 4.9
Perrigo Co Ltd 4.8
View All
Holdings by Sector ($M)
190152114763802011201320152018
AUM Breakdown Accounts AUM ($M)
By Client Type
(a) Individuals (other than high net worth individuals) 0 0.0
(b) Individuals (high net worth individuals) 0 0.0
(c) Banking or thrift institutions 0 0.0
(d) Investment companies 0 0.0
(e) Business development companies 0 0.0
(f) Pooled investment vehicles 0 0.0
(g) Pension and profit sharing plans 0 0.0
(h) Charitable organizations 0 0.0
(i) State or municipal government entities 0 0.0
(j) Other investment advisers 0 0.0
(k) Insurance companies 0 0.0
(l) Sovereign wealth funds and foreign official institutions 0 0.0
(m) Corporations or other businesses not listed above 0 0.0
(n) Other 0 0.0
Total 21 157.2
By Discretionary
Discretionary 21 157.2
Non-Discretionary 0 0.0
Total 21 157.2
By Non-United States Persons
Non-United States Persons 0.0
United States Persons 157.2
Total 21 157.2
EDGAR Form CIK 2011 - 2026
13F-HR [0001483060]
SC 13G [0001483060]
Form 13D/13G Filer Form 13D/13G Subject Filed
Breithorn Capital Management Breithorn Capital Management [2013-07-10]
Firm Profile (Form ADV)
Discretionary AUM$0.2B
ServesInstitutional, Retail
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