9AT: LEGION PARTNERS ASSET MANAGEMENT, LLC

Adviser Profile

As of Date	01/28/2026
Registration	SEC, Approved, 06/04/2012
ADV Location	LOS ANGELES, CA, United States
Contact Info	424 xxxxxxx
Websites

AUM^*	200,916,000 -55%
of that, discretionary	200,916,000 -55%
Number of Employees	4 -20%
of those in investment advisory functions	3 -25%
Private Fund GAV^*	200,917,000 -8%
Avg Account Size	40,183,200 -46%
SMA’s	No
Private Funds	8 2

Adviser Type

- Large advisory firm

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

	Count	GAV
{{ TypeColumnLabel }} {{ item.FundType }}	Count{{ formatCount(item.FundsCount) }}	GAV{{ formatGAV(item.AUM) }}

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 LFL ADVISERS, LLC	Hedge Fund278.2m	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV278.2m	AUM506.8m	#Funds1
Adviser PRYTANIA INVESTMENT ADVISORS LLP	Hedge Fund65.7m	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund7.7m	Total Private Fund GAV73.3m	AUM981.7m	#Funds4
Adviser TRINITY LEGACY PARTNERS, LLC	Hedge Fund14.1m	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV14.1m	AUM521.2m	#Funds1
Adviser MONTERONE PARTNERS LLP	Hedge Fund16.4m	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV16.4m	AUM195.3m	#Funds3
Adviser CORE CAPITAL MANAGEMENT, LLC	Hedge Fund48.6m	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV48.6m	AUM216.2m	#Funds2
Adviser ONE OAK CAPITAL MANAGEMENT, LLC	Hedge Fund261.2m	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV261.2m	AUM418.5m	#Funds6
Adviser MASTERTON CAPITAL MANAGEMENT, LP	Hedge Fund293.1m	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV293.1m	AUM293.1m	#Funds3
Adviser TENCORE PARTNERS, LP	Hedge Fund354.7m	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV354.7m	AUM354.0m	#Funds5
Adviser ONE01 CAPITAL, L.P.	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM165.8m	#Funds-
Adviser FLIGHT DECK CAPITAL, LP	Hedge Fund358.7m	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV358.7m	AUM358.7m	#Funds5

Stock Ticker	Stock Name	$ Position	% Position	$ Change	# Change
Stck Ticker18453H106	Stock NameCLEAR CHANNEL OUTDOOR HLDGS	$ Position$62,166,411	% Position45.00%	$ Change8.00%	# Change0.00%
Stck Ticker00751Y106	Stock NameADVANCE AUTO PARTS INC	$ Position$42,239,563	% Position31.00%	$ Change34.00%	# Change0.00%
Stck Ticker514766104	Stock NameLIFECORE BIOMEDICAL INC	$ Position$16,597,982	% Position12.00%	$ Change-55.00%	# Change0.00%
Stck Ticker338307101	Stock NameFIVE9 INC	$ Position$8,975,861	% Position7.00%	$ Change-24.00%	# Change0.00%
Stck Ticker629337106	Stock NameNN INC	$ Position$6,948,297	% Position5.00%	$ Change13.00%	# Change0.00%
Stck Ticker70451X104	Stock NamePAYONEER GLOBAL INC	$ Position$819,342	% Position1.00%	$ Change-14.00%	# 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

LEGION PARTNERS ASSET MANAGEMENT, LLC

Adviser Profile

Details

Adviser Type

Client Types

Advisory Activities

Compensation Arrangments

Reported AUM

Private Funds

Employees

Private Funds Structure

Similar advisers

Top Holdings

Brochure Summary

Overview

Need help?

Send a question to 9AT support.

LEGION PARTNERS ASSET MANAGEMENT, LLC LEGION PARTNERS ASSET MANAGEMENT, LLC

Adviser Profile

Details

Adviser Type

Client Types

Advisory Activities

Compensation Arrangments

Reported AUM

Private Funds

Employees

Private Funds Structure

Similar advisers

Top Holdings

Brochure Summary

Overview

LEGION PARTNERS ASSET MANAGEMENT, LLC

LEGION PARTNERS ASSET MANAGEMENT, LLC