LEGION PARTNERS ASSET MANAGEMENT, LLC

other names
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Adviser Profile
As of Date 02/02/2024
Adviser Type - Large advisory firm
Number of Employees 5 -28.57%
of those in investment advisory functions 4 -20.00%
Registration SEC, Approved, 06/04/2012
AUM* 445,997,000 32.79%
of that, discretionary 445,997,000 32.79%
Private Fund GAV* 445,997,000 32.41%
Avg Account Size 74,332,833 99.19%
SMA’s No
Private Funds 6 3
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

Recent News

Reported AUM

Discretionary
Non-discretionary
509M 436M 364M 291M 218M 145M 73M
2015 2016 2017 2018 2019 2020 2021 2022 2023

Private Funds



Employees

Private Funds Structure

Fund Type Count GAV
Fund TypeHedge Fund Count6 GAV$445,997,000

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Top Holdings

Stock Ticker Stock Name $ Position % Position $ Change # Change
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Stck Ticker163086101 Stock NameCHEFS WHSE INC $ Position$44,230,607 % Position15.00% $ Change2.00% # Change-5.00%
Stck Ticker18453H106 Stock NameCLEAR CHANNEL OUTDOOR HLDGS $ Position$41,537,216 % Position14.00% $ Change14.00% # Change0.00%
Stck Ticker90138F102 Stock NameTWILIO INC (CALL) $ Position$36,053,616 % Position13.00% $ Change15.00% # Change0.00%
Stck Ticker00751Y106 Stock NameADVANCE AUTO PARTS INC $ Position$32,079,023 % Position11.00% $ Change-36.00% # Change5.00%
Stck Ticker629337106 Stock NameNN INC $ Position$18,688,523 % Position6.00% $ Change30.00% # Change0.00%
Stck Ticker70451X104 Stock NamePAYONEER GLOBAL INC $ Position$16,799,468 % Position6.00% $ Change36.00% # Change0.00%
Stck Ticker514766104 Stock NameLIFECORE BIOMEDICAL INC $ Position$14,634,256 % Position5.00% $ Change-4.00% # Change0.00%
Stck Ticker338307101 Stock NameFIVE9 INC $ Position$15,795,323 % Position5.00% $ Change # Change
Stck Ticker68287N100 Stock NameONESPAN INC $ Position$10,828,215 % Position4.00% $ Change-68.00% # Change-75.00%

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.