Form D · Hedge Fund

Legion Partners Special Opportunities, L.P. XV

Los Angeles, CA · CIK 0001830822

Offering snapshot reported Nov 4, 2021 · SEC filing

Reported sold
$2.12M
Indefinite offering
Investors reported
11
Form D · investor count
Minimum accepted
$20K
Reported outside-investor minimum
First sale
Oct 26, 2020
As reported in this filing

Fundraising history

Reported sold
Reported amount sold by Form D filing date$0$1.06M$2.12MNov 4, 2020: $2,120,000.00Nov 4, 2020Nov 4, 2021: $2,120,000.00Nov 4, 2021

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.

No comparable changes in the displayed metrics.

Filing history

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FiledFiling typeReported soldChange vs linked filingInvestorsSource
Nov 4, 2021Amendment$2,120,000$0vs Nov 4, 202011SEC filing
Nov 4, 2020Initial$2,120,000No comparison11SEC 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
021-379679

Source: Form D, filed Nov 4, 2021. 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 PARTNERS SPECIAL OPPORTUNITIES, LP XV

Investment adviser: LEGION PARTNERS ASSET MANAGEMENT, LLC

Gross asset value
$959K
Beneficial owners
12
ADV minimum commitment
$50K

Reported in Form ADV on Nov 3, 2022. 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 GORDIAN INVESTMENTS, LLC LAFAYETTE, 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 1686052 · Nov 3, 2022 · Schedule D 7.B.(1), fund 805-9010615614

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
Legion Partners Asset Management, Llc Promoter
Legion Partners Holdings, Llc Promoter
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