Form D Raw Data - Electronic Filing Depository

EFDID: 55098EFD: Raw Data

Issuer: Legion Strategies, Ltd. (0001547953) - D/A

Accession: 0000899140-23-000522 () (EDGAR Files) (Form D)

Edgar Posted: Apr. 7, 2023
EFD Posted: Apr. 7, 2023

- < edgarSubmission >

< schemaVersion > X0708 </ schemaVersion >

< submissionType > D/A </ submissionType >

< testOrLive > LIVE </ testOrLive >

- < primaryIssuer >

< cik > 0001547953 </ cik >

< entityName > Legion Strategies, Ltd. </ entityName >

- < issuerAddress >

< street1 > C/O SKYBRIDGE CAPITAL II, LLC </ street1 >

< street2 > 527 MADISON AVENUE, 16TH FLOOR </ street2 >

< city > NEW YORK </ city >

< stateOrCountry > NY </ stateOrCountry >

< stateOrCountryDescription > NEW YORK </ stateOrCountryDescription >

< zipCode > 10022 </ zipCode >

</ issuerAddress >

< issuerPhoneNumber > 212-485-3100 </ issuerPhoneNumber >

< jurisdictionOfInc > CAYMAN ISLANDS </ jurisdictionOfInc >

- < issuerPreviousNameList >

< value > None </ value >

</ issuerPreviousNameList >

- < edgarPreviousNameList >

< value > None </ value >

</ edgarPreviousNameList >

< entityType > Other </ entityType >

< entityTypeOtherDesc > A Cayman Islands Exempted Company with Limited Liability. </ entityTypeOtherDesc >

- < yearOfInc >

< overFiveYears > true </ overFiveYears >

</ yearOfInc >

</ primaryIssuer >

- < relatedPersonsList >

- < relatedPersonInfo >

- < relatedPersonName >

< firstName > Jennifer </ firstName >

< lastName > Fischetti </ lastName >

</ relatedPersonName >

- < relatedPersonAddress >

< street1 > CIBC Financial Centre, 11 Roy's Drive </ street1 >

< city > Grand Cayman </ city >

< stateOrCountry > E9 </ stateOrCountry >

< stateOrCountryDescription > CAYMAN ISLANDS </ stateOrCountryDescription >

< zipCode > KY1-1107 </ zipCode >

</ relatedPersonAddress >

- < relatedPersonRelationshipList >

< relationship > Director </ relationship >

</ relatedPersonRelationshipList >

< relationshipClarification > Jennifer Fischetti is a director of Commerce Corporate Services Limited, a director of the Issuer. </ relationshipClarification >

</ relatedPersonInfo >

- < relatedPersonInfo >

- < relatedPersonName >

< firstName > Michael </ firstName >

< middleName > F.B. </ middleName >

< lastName > Gillooly </ lastName >

</ relatedPersonName >

- < relatedPersonAddress >

< street1 > CIBC Financial Centre, 11 Roy's Drive </ street1 >

< city > Grand Cayman </ city >

< stateOrCountry > E9 </ stateOrCountry >

< stateOrCountryDescription > CAYMAN ISLANDS </ stateOrCountryDescription >

< zipCode > KY1-1107 </ zipCode >

</ relatedPersonAddress >

- < relatedPersonRelationshipList >

< relationship > Director </ relationship >

</ relatedPersonRelationshipList >

< relationshipClarification > Michael F.B. Gillooly is a director of Commerce Corporate Services Limited, a director of the Issuer. </ relationshipClarification >

</ relatedPersonInfo >

- < relatedPersonInfo >

- < relatedPersonName >

< firstName > Michael </ firstName >

< lastName > Halsey </ lastName >

</ relatedPersonName >

- < relatedPersonAddress >

< street1 > CIBC Financial Centre, 11 Roy's Drive </ street1 >

< city > Grand Cayman </ city >

< stateOrCountry > E9 </ stateOrCountry >

< stateOrCountryDescription > CAYMAN ISLANDS </ stateOrCountryDescription >

< zipCode > KY1-1107 </ zipCode >

</ relatedPersonAddress >

- < relatedPersonRelationshipList >

< relationship > Director </ relationship >

</ relatedPersonRelationshipList >

< relationshipClarification > Michael Halsey is a director of Commerce Corporate Services Limited, a director of the Issuer. </ relationshipClarification >

</ relatedPersonInfo >

- < relatedPersonInfo >

- < relatedPersonName >

< firstName > Bruno </ firstName >

< middleName > A. </ middleName >

< lastName > Roberts </ lastName >

</ relatedPersonName >

- < relatedPersonAddress >

< street1 > C/O SKYBRIDGE CAPITAL II, LLC </ street1 >

< street2 > 527 MADISON AVENUE, 16TH FLOOR </ street2 >

< city > NEW YORK </ city >

< stateOrCountry > NY </ stateOrCountry >

< stateOrCountryDescription > NEW YORK </ stateOrCountryDescription >

< zipCode > 10022 </ zipCode >

</ relatedPersonAddress >

- < relatedPersonRelationshipList >

< relationship > Director </ relationship >

</ relatedPersonRelationshipList >

< relationshipClarification />

</ relatedPersonInfo >

- < relatedPersonInfo >

- < relatedPersonName >

< firstName > Garth </ firstName >

< lastName > Ebanks </ lastName >

</ relatedPersonName >

- < relatedPersonAddress >

< street1 > C/O SKYBRIDGE CAPITAL II, LLC </ street1 >

< street2 > 527 MADISON AVENUE, 16TH FLOOR </ street2 >

< city > NEW YORK </ city >

< stateOrCountry > NY </ stateOrCountry >

< stateOrCountryDescription > NEW YORK </ stateOrCountryDescription >

< zipCode > 10022 </ zipCode >

</ relatedPersonAddress >

- < relatedPersonRelationshipList >

< relationship > Director </ relationship >

</ relatedPersonRelationshipList >

< relationshipClarification />

</ relatedPersonInfo >

</ relatedPersonsList >

- < offeringData >

- < industryGroup >

< industryGroupType > Pooled Investment Fund </ industryGroupType >

- < investmentFundInfo >

< investmentFundType > Hedge Fund </ investmentFundType >

< is40Act > false </ is40Act >

</ investmentFundInfo >

</ industryGroup >

- < issuerSize >

< aggregateNetAssetValueRange > Decline to Disclose </ aggregateNetAssetValueRange >

</ issuerSize >

- < federalExemptionsExclusions >

< item > 06b </ item >

< item > 3C </ item >

< item > 3C.7 </ item >

</ federalExemptionsExclusions >

- < typeOfFiling >

- < newOrAmendment >

< isAmendment > true </ isAmendment >

< previousAccessionNumber > 0000899140-22-000453 </ previousAccessionNumber >

</ newOrAmendment >

- < dateOfFirstSale >

< value > 2011-10-01 </ value >

</ dateOfFirstSale >

</ typeOfFiling >

- < durationOfOffering >

< moreThanOneYear > true </ moreThanOneYear >

</ durationOfOffering >

- < typesOfSecuritiesOffered >

< isEquityType > true </ isEquityType >

< isPooledInvestmentFundType > true </ isPooledInvestmentFundType >

</ typesOfSecuritiesOffered >

- < businessCombinationTransaction >

< isBusinessCombinationTransaction > false </ isBusinessCombinationTransaction >

< clarificationOfResponse />

</ businessCombinationTransaction >

< minimumInvestmentAccepted > 50000 </ minimumInvestmentAccepted >

- < salesCompensationList >

- < recipient >

< recipientName > MORGAN STANLEY SMITH BARNEY </ recipientName >

< recipientCRDNumber > 149777 </ recipientCRDNumber >

< associatedBDName > MORGAN STANLEY SMITH BARNEY </ associatedBDName >

< associatedBDCRDNumber > 149777 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 2000 WESTCHESTER AVENUE </ street1 >

< city > PURCHASE </ city >

< stateOrCountry > NY </ stateOrCountry >

< stateOrCountryDescription > NEW YORK </ stateOrCountryDescription >

< zipCode > 10577-2530 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< value > All States </ value >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > CITIGROUP GLOBAL MARKETS INC. </ recipientName >

< recipientCRDNumber > 7059 </ recipientCRDNumber >

< associatedBDName > CITIGROUP GLOBAL MARKETS INC. </ associatedBDName >

< associatedBDCRDNumber > 7059 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 390 - 388 GREENWICH STREET </ street1 >

< city > NEW YORK </ city >

< stateOrCountry > NY </ stateOrCountry >

< stateOrCountryDescription > NEW YORK </ stateOrCountryDescription >

< zipCode > 10013-2396 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< value > All States </ value >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Stuart Portfolio Consultants , LP </ recipientName >

< recipientCRDNumber > 44487 </ recipientCRDNumber >

< associatedBDName > Stuart Portfolio Consultants , LP </ associatedBDName >

< associatedBDCRDNumber > 44487 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 223 East 83 Street, Suite 2 </ street1 >

< city > New York </ city >

< stateOrCountry > NY </ stateOrCountry >

< stateOrCountryDescription > NEW YORK </ stateOrCountryDescription >

< zipCode > 10028 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< state > OH </ state >

< description > OHIO </ description >

< state > NY </ state >

< description > NEW YORK </ description >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Hastings Capital Group LLC </ recipientName >

< recipientCRDNumber > 142998 </ recipientCRDNumber >

< associatedBDName > Hastings Capital Group LLC </ associatedBDName >

< associatedBDCRDNumber > 142998 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 527 Madison Avenue-16th Floor </ street1 >

< city > New York </ city >

< stateOrCountry > NY </ stateOrCountry >

< stateOrCountryDescription > NEW YORK </ stateOrCountryDescription >

< zipCode > 10022 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< value > All States </ value >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > UBS Financial Services, Inc. </ recipientName >

< recipientCRDNumber > 8174 </ recipientCRDNumber >

< associatedBDName > UBS Financial Services, Inc. </ associatedBDName >

< associatedBDCRDNumber > 8174 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 1200 HARBOR BOULEVARD </ street1 >

< city > WEEHAWKEN </ city >

< stateOrCountry > NJ </ stateOrCountry >

< stateOrCountryDescription > NEW JERSEY </ stateOrCountryDescription >

< zipCode > 07086 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< value > All States </ value >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Wells Fargo Advisors, LLC </ recipientName >

< recipientCRDNumber > 19616 </ recipientCRDNumber >

< associatedBDName > Wells Fargo Advisors, LLC </ associatedBDName >

< associatedBDCRDNumber > 19616 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > ONE NORTH JEFFERSON AVENUE </ street1 >

< city > ST. LOUIS </ city >

< stateOrCountry > MO </ stateOrCountry >

< stateOrCountryDescription > MISSOURI </ stateOrCountryDescription >

< zipCode > 63103 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< value > All States </ value >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

</ salesCompensationList >

- < offeringSalesAmounts >

< totalOfferingAmount > Indefinite </ totalOfferingAmount >

< totalAmountSold > 228177207 </ totalAmountSold >

< totalRemaining > Indefinite </ totalRemaining >

< clarificationOfResponse > Responses provided in Item #13 is an estimate. </ clarificationOfResponse >

</ offeringSalesAmounts >

- < investors >

< hasNonAccreditedInvestors > false </ hasNonAccreditedInvestors >

< totalNumberAlreadyInvested > 22 </ totalNumberAlreadyInvested >

</ investors >

- < salesCommissionsFindersFees >

- < salesCommissions >

< dollarAmount > 729132 </ dollarAmount >

< isEstimate > true </ isEstimate >

</ salesCommissions >

- < findersFees >

< dollarAmount > 0 </ dollarAmount >

</ findersFees >

< clarificationOfResponse > Estimate includes fees that may be paid over the next 12 months. </ clarificationOfResponse >

</ salesCommissionsFindersFees >

- < useOfProceeds >

- < grossProceedsUsed >

< dollarAmount > 0 </ dollarAmount >

</ grossProceedsUsed >

< clarificationOfResponse />

</ useOfProceeds >

- < signatureBlock >

< authorizedRepresentative > false </ authorizedRepresentative >

- < signature >

< issuerName > Legion Strategies, Ltd. </ issuerName >

< signatureName > Christopher Hutt </ signatureName >

< nameOfSigner > Christopher Hutt </ nameOfSigner >

< signatureTitle > Authorized Signatory </ signatureTitle >

< signatureDate > 2023-04-06 </ signatureDate >

</ signature >

</ signatureBlock >

</ offeringData >

</ edgarSubmission >