Form D · Hedge Fund

Legion Partners Special Opportunities, L.P. IX

Los Angeles, CA · CIK 0001739001

Offering snapshot reported Jan 13, 2020 · SEC filing

Reported sold
$1.95M
Indefinite offering
Investors reported
18
Form D · investor count
Minimum accepted
$25K
Reported outside-investor minimum
First sale
Apr 23, 2018
As reported in this filing

Fundraising history

Reported sold
Reported amount sold by Form D filing date$0$977K$1.95MMay 1, 2018: $1,353,000.00May 1, 2018May 1, 2019: $1,853,000.00May 1, 2019Jan 13, 2020: $1,953,000.00Jan 13, 2020

Dates are filing dates, not cash receipt dates. Decreases are reported revisions, not evidence of withdrawals. Separate offering histories are not added together.

What changed?

Latest filing versus its linked predecessor, where available.

  • Reported sold$1,853,000 → $1,953,000
  • Reported investors17 → 18

Filing history

Scroll to see all columns →

FiledFiling typeReported soldChange vs linked filingInvestorsSource
Jan 13, 2020Amendment$1,953,000$100,000vs May 1, 201918SEC filing
May 1, 2019Amendment$1,853,000$500,000vs May 1, 201817SEC filing
May 1, 2018Initial$1,353,000No comparison16SEC filing

Offering details

Securities
Equity, Pooled investment fund
Exemptions
06b, 3C, 3C.1
Duration over one year
Yes
Business combination
No
Sales commissions
$0
Finders' fees
$0
Form D file number
021-311353

Source: Form D, filed Jan 13, 2020. Minimum accepted may differ from a standard advertised minimum.

Fund connections

The linked fund shows its most recently reported ADV details.

Matched by reported Form D file number

LEGION PARTNERSHIP SPECIAL OPPORTUNITIES, L.P. IX

Investment adviser: LEGION PARTNERS ASSET MANAGEMENT, LLC

Gross asset value
$1.8M
Beneficial owners
17
ADV minimum commitment
$35K

Reported in Form ADV on Jan 2, 2020. Fund assets and beneficial owners measure different things from Form D sales and investors.

Service providers

Fund administrator ALPS ALTERNATIVE INVESTMENT SERVICES, LLC CORAL GABLES, Florida, United States Investor statements: Yes (provided to all investors) Related to adviser: No
Auditor KPMG LLP LOS ANGELES, California, United States
Custodian WELLS FARGO SECURITIES, LLC SAN FRANCISCO, California, United States Related to adviser: No
Marketer FRONTEGRA STRATEGIES, LLC NORTHBROOK, Illinois, United States Related to adviser: No
Marketer GATEMORE CAPITAL MANAGEMENT, LLP LONDON, United Kingdom Related to adviser: No
Marketer GORDIAN INVESTMENTS, LLC WALNUT CREEK, California, United States Related to adviser: No
Prime broker WELLS FARGO SECURITIES, LLC SAN FRANCISCO, California, United States
Provider details
Annual audit
Yes
Prime brokers
Yes
Custodians
Yes
Administrator other than the adviser
Yes
External marketing
Yes

KPMG LLP
PCAOB 185

WELLS FARGO SECURITIES, LLC
SEC 8-65876

FRONTEGRA STRATEGIES, LLC
CRD 137529 · SEC 8-67094

GORDIAN INVESTMENTS, LLC
CRD 158611 · SEC 8-68911

WELLS FARGO SECURITIES, LLC
CRD 126292 · SEC 8-65876

Filing source

Form ADV 1365319 · Jan 2, 2020 · Schedule D 7.B.(1), fund 805-3280423284

Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.

People & organizations

Current and past Form D appearances. These existing records do not establish a person's current role or uniquely identify them across issuers.

People and organizations reported in Form D filings
NameReported role
Christopher Kiper Executive, Promoter
N/A Legion Partners Asset Management, Llc Promoter
N/A Legion Partners Holdings, Llc Promoter
N/A Legion Partners, Llc Promoter
Raymond T. White Executive, Promoter

Issuer details

Industry: Pooled Investment Fund (See others in industry)

Address:
12121 Wilshire Blvd. Suite 1240
Los Angeles, CA, 90025