9AT: LEGION PARTNERS ASSET MANAGEMENT, LLC

other names

LEGION PARTNERS ASSET MANAGEMENT, LLC

Adviser Profile

As of Date	10/16/2025
ADV Location	LOS ANGELES, CA, United States
Adviser Type - Large advisory firm
Number of Employees	4 -20%
of those in investment advisory functions	3 -25%
Registration	SEC, Approved, 06/04/2012

AUM^*	218,764,000 -51%
of that, discretionary	218,764,000 -51%
Private Fund GAV^*	218,764,000 -4%
Avg Account Size	43,752,800 -41%
SMA’s	No
Private Funds	8 2
Contact Info	424 xxxxxxx
Websites

Client Types

- Pooled investment vehicles

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	Count8	GAV$218,764,000

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 DIASTOLE WEALTH MANAGEMENT	Hedge Fund26.5m	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV26.5m	AUM378.0m	#Funds2
Adviser TRINITY LEGACY PARTNERS, LLC	Hedge Fund13.9m	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV13.9m	AUM460.4m	#Funds1
Adviser HARBINGER CAPITAL PARTNERS LLC	Hedge Fund336.4m	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV336.4m	AUM134.2m	#Funds27
Adviser MONTERONE PARTNERS LLP	Hedge Fund19.9m	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV19.9m	AUM229.1m	#Funds3
Adviser ATLANTIC INVESTMENT MANAGEMENT, INC	Hedge Fund311.4m	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV311.4m	AUM352.3m	#Funds12
Adviser SAPERE WEALTH MANAGEMENT, LLC	Hedge Fund82.2m	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV82.2m	AUM346.2m	#Funds6
Adviser DIKER MANAGEMENT LLC	Hedge Fund75.6m	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV75.6m	AUM371.8m	#Funds1
Adviser TENCORE PARTNERS, LP	Hedge Fund356.8m	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV356.8m	AUM355.9m	#Funds5
Adviser WELCH CAPITAL PARTNERS LLC	Hedge Fund239.2m	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV239.2m	AUM480.9m	#Funds1
Adviser ARRINGTON CAPITAL INVESTMENT MANAGEMENT, LLC	Hedge Fund628.9m	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV628.9m	AUM628.9m	#Funds8

Stock Ticker	Stock Name	$ Position	% Position	$ Change	# Change
Stck Ticker00751Y106	Stock NameADVANCE AUTO PARTS INC	$ Position$49,166,050	% Position27.00%	$ Change32.00%	# Change0.00%
Stck Ticker18453H106	Stock NameCLEAR CHANNEL OUTDOOR HLDGS	$ Position$41,231,792	% Position22.00%	$ Change35.00%	# Change0.00%
Stck Ticker25401T603	Stock NameDIGITALBRIDGE GROUP INC	$ Position$36,308,060	% Position20.00%	$ Change2.00%	# Change-10.00%
Stck Ticker514766104	Stock NameLIFECORE BIOMEDICAL INC	$ Position$32,839,017	% Position18.00%	$ Change-9.00%	# Change1.00%
Stck Ticker338307101	Stock NameFIVE9 INC	$ Position$14,318,777	% Position8.00%	$ Change-9.00%	# Change0.00%
Stck Ticker629337106	Stock NameNN INC	$ Position$9,871,374	% Position5.00%	$ Change-2.00%	# Change0.00%
Stck Ticker70451X104	Stock NamePAYONEER GLOBAL INC	$ Position$1,026,298	% Position1.00%	$ Change-12.00%	# Change0.00%

Brochure Summary

Overview

A. Description and Principal Owners Legion Partners Asset Management, LLC, a Delaware limited liability company (“Legion Partners”), is a registered investment adviser. Legion Partners was formed on April 11, 2012 in Delaware. Legion Partners is 100% owned by Legion Partners Holdings, LLC, which is 100% owned by Raymond T. White (33 1/3 %), Christopher Kiper (33 1/3%) and Bradley Vizi (33 1/3%). B. Advisory Services Offered Legion Partners provides investment management services through pooled investment vehicles (“Clients”), which are structured as Delaware limited partnerships and as a Cayman Islands segregated portfolio company or through separately managed accounts (generally side-by-side investments or co-investments). Legion Partners specializes in fundamental research, long-term oriented investing and building a productive relationship with portfolio companies. This involves long- term holdings and actively engaging the management and boards of public companies in order to help achieve superior long-term performance. Legion Partners’ investment strategy is described in greater detail in Item 8. Legion Partners specializes in conducting deep fundamental analysis of publicly traded companies. This research enables Legion to identify and then focus resources and engagement efforts on selected issues with the potential to have the most significant impact on the rights and economics of long-term oriented shareholders of that company. This element of Legion Partners’ overall strategy

is intended to focus on complex aspects of governance and/or specific situations that provide the opportunity to enhance institutional investors’ ability to execute their investment, supplement their governance programs and ultimately meet their long-term obligations to their constituents. Legion Partners may also collaborate with institutional investors and others on key policy issues. These may include, for example, research related to the effectiveness of mergers and acquisitions activity and how institutions should evaluate their positions in this process (transparency, valuation methodology and metrics, alignment of interests and long-term measures of success), accounting policies or practices, capital efficiency, alignment between share owners and companies, company performance, regulatory concerns and/or issues related to individual companies. This work may be used to support a particular investment thesis and/or to propose specific reforms. C. Limited Tailoring of Advisory Services Legion Partners gives priority to its Clients, which may limit the securities (due to the nature of side-by-side investments or co-investments) in which it invests or manages, while utilizing the same investment strategy as that being used for its Clients. D. Non- participation in Wrap Fee Programs Legion Partners does not participate in wrap fee programs. E. Assets Under Management As of December 31, 2022, Legion Partners’ Assets Under Management (AUM) were approximately $335,864,000.

LEGION PARTNERS ASSET MANAGEMENT, LLC

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