Numeric Investors LLC

Includes form instructions and options. Options shown in this text do not identify which boxes were selected.

GENERAL INSTRUCTIONS
This Disclosure Reporting Page (DRP ADV) is an 
INITIAL OR
AMENDED response used to report details for affirmative responses to Items 11.C., 11.D.,
11.E., 11.F. or 11.G. of Form ADV.
Regulatory Action
Check item(s) being responded to:
11.C(1)
11.C(2)
11.C(3)
11.C(4)
11.C(5)
11.D(1)
11.D(2)
11.D(3)
11.D(4)
11.D(5)
11.E(1)
11.E(2)
11.E(3)
11.E(4)
11.F.
11.G.
Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. File
with a completed Execution Page. 
One event may result in more than one affirmative answer to Items 11.C., 11.D., 11.E., 11.F. or 11.G. Use only one DRP to report details related to the
same event. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.
PART I
A.  The person(s) or entity(ies) for whom this DRP is being filed is (are):
You (the advisory firm)
You and one or more of your advisory affiliates
One or more of your advisory affiliates
If this DRP is being filed for an advisory affiliate, give the full name of the advisory affiliate below (for individuals, Last name, First name, Middle name). 
If the advisory affiliate has a CRD number, provide that number. If not, indicate "non-registered" by checking the appropriate box.
ADV DRP - ADVISORY AFFILIATE
CRD
Number:
This advisory affiliate is 
a Firm
an Individual
Registered:
Yes
No
Name:
MAN GROUP PLC
(For individuals, Last, First,
Middle)
This DRP should be removed from the ADV record because the advisory affiliate(s) is no longer associated with the adviser.
This DRP should be removed from the ADV record because: (1) the event or proceeding occurred more than ten years ago or (2) the adviser is
registered or applying for registration with the SEC or reporting as an exempt reporting adviser with the SEC and the event was resolved in the
adviser's or advisory affiliate's favor.
If you are registered or registering with a state securities authority , you may remove a DRP for an event you reported only in response to Item

11.D(4), and only if that event occurred more than ten years ago. If you are registered or registering with the SEC, you may remove a DRP for any
event listed in Item 11 that occurred more than ten years ago.
This DRP should be removed from the ADV record because it was filed in error, such as due to a clerical or data-entry mistake. Explain the
circumstances: 
B.
If the advisory affiliate is registered through the IARD system or CRD system, has the advisory affiliate submitted a DRP (with Form ADV, BD or U-4) to
the IARD or CRD for the event? If the answer is "Yes," no other information on this DRP must be provided.
 Yes
 No
NOTE: The completion of this form does not relieve the advisory affiliate of its obligation to update its IARD or CRD records.
PART II
1.  Regulatory Action initiated by:
SEC   
Other Federal   
State   
SRO
Foreign
(Full name of regulator, foreign financial regulatory authority, federal, state, or SRO) 
COMISION NACIONAL DEL MERCADO DE VALORES
2.
Principal Sanction:
Civil and Administrative Penalt(ies) /Fine(s)
Other Sanctions: 
3.
Date Initiated (MM/DD/YYYY): 
02/12/2021
 Exact
 Explanation
If not exact, provide explanation:
4.
Docket/Case Number:
2021025805
5.
Advisory Affiliate Employing Firm when activity occurred which led to the regulatory action (if applicable):
6.
Principal Product Type:
Equity Listed (Common & Preferred Stock)
Other Product Types: 
7.
Describe the allegations related to this regulatory action (your response must fit within the space provided):
ON APRIL 7, 2021, MAN GROUP PLC ("MAN"), AN ADVISORY AFFILIATE OF NUMERIC INVESTORS LLC ("NUMERIC") BASED IN LONDON, UK, AGREED TO
PAY A FINE OF EURO 240,000 TO THE COMISION NACIONAL DEL MERCADO DE VALORES (THE "CNMV"), PURSUANT TO A SETTLED RESOLUTION, IN
CONNECTION WITH THE CNMV'S FINDINGS THAT MAN HAD NOT COMPLIED WITH EUROPEAN UNION ("EU") REGULATIONS REQUIRING THE DISCLOSURE
OF AN INVESTOR'S SHORT POSITIONS IN THE SECURITIES OF ANY ISSUER BASED IN AN EU MEMBER COUNTRY, SUCH AS SPAIN. SPECIFICALLY, THE
EUROPEAN SECURITIES AND MARKETS AUTHORITY ("ESMA") HAS ISSUED REGULATIONS ON SHORT SELLING AND CREDIT DEFAULT SWAPS ("SSR") THAT
REQUIRE INVESTORS TO FILE REPORTS DISCLOSING ANY SHORT POSITIONS ABOVE A THRESHOLD OF 0.2% OF AN ISSUER'S OUTSTANDING SHARES,
WITH ADDITIONAL DISCLOSURE THRESHOLDS AT INCREASING INTERVALS OF 0.1%. THUS, AN INVESTOR MUST FILE DISCLOSURES CALCULATING ITS
NET SHORT POSITION WHENEVER IT CROSSES THRESHOLDS (UP OR DOWN) OF 0.2%, 0.3%, 0.4%, 0.5% ETC. IN THE CASE OF MAN, THE CNMV
DETERMINED THAT, BETWEEN DECEMBER 2017 AND NOVEMBER 2018, THREE OF MAN'S AFFILIATED MANAGERS, INCLUDING NUMERIC INVESTORS LLC
HAD ON FIVE OCCASIONS FAILED TO CORRECTLY DISCLOSE THEIR NET SHORT POSITION IN FOUR SPANISH ISSUERS AMOUNTING TO BETWEEN 0.2%
AND 0.7% OF THE ISSUERS' OUTSTANDING SHARES. THE SSR REGULATIONS IMPOSE RULES FOR CALCULATING NET SHORT POSITIONS AT THE FUND
LEVEL AMONG AFFILIATED ENTITIES, WHICH MAN ATTEMPTED TO APPLY IN GOOD FAITH. SEE ESMA 70-145-408, QUESTION 8.5, AVAILABLE AT
HTTPS://WWW.ESMA.EUROPA.EU/SITES/DEFAULT/FILES/LIBRARY/ESMA70-145-408_QA_ON_SSR.PDF. IN FOUR CASES, THE IRREGULARITIES AROSE
FROM THE INCORRECT IDENTIFICATION OF THE POSITION HOLDING ENTITY WITHIN MAN; (FOR EXAMPLE, A POSITION HELD BY ONE MAN MANAGER
WAS INCORRECTLY NOTIFIED AS A POSITION HELD BY ANOTHER MAN MANAGER). THIS MISREPORTING RESULTED IN DELAYED CORRECTING
NOTIFICATIONS TO THE CNMV. IN ONE INSTANCE, A POSITION WAS INADVERTENTLY NOT REPORTED. THE ORDER RELATED TO MAN IS SET FORTH IN
DISPATCH RECORD NO. 2021025805 OF THE CNMV. THE CNMV DID NOT DETERMINE THAT MAN ENGAGED IN ANY MISLEADING OR DECEPTIVE
CONDUCT, NOR THAT IT COMMITTED ANY VIOLATION IN CONNECTION WITH PROVIDING INVESTMENT ADVISORY SERVICES TO ANY CLIENTS.
8.
Current Status?      
 Pending
 On Appeal
 Final
9.
If on appeal, regulatory action appealed to (SEC, SRO, Federal or State Court) and Date Appeal Filed:
If Final or On Appeal, complete all items below. For Pending Actions, complete Item 13 only.
10. How was matter resolved:
Settled
11. Resolution Date (MM/DD/YYYY):

04/07/2021
 Exact
 Explanation
If not exact, provide explanation:
12. Resolution Detail:
A.  Were any of the following Sanctions Ordered (check all appropriate items)?
 Monetary/Fine Amount: $
 Revocation/Expulsion/Denial
 Disgorgement/Restitution
 Censure
 Cease and Desist/Injunction
 Bar
 Suspension
B.
Other Sanctions Ordered:
MONETARY FINE OF EURO 240,000
Sanction detail: if suspended, enjoined or barred, provide duration including start date and capacities affected (General Securities Principal,
Financial Operations Principal, etc.). If requalification by exam/retraining was a condition of the sanction, provide length of time given to
requalify/retrain, type of exam required and whether condition has been satisfied. If disposition resulted in a fine, penalty, restitution,
disgorgement or monetary compensation, provide total amount, portion levied against you or an advisory affiliate, date paid and if any portion
of penalty was waived: 
ON APRIL 7, 2021, MAN, AN ADVISORY AFFILIATE OF NUMERIC INVESTORS LLC ("NUMERIC") AGREED TO PAY A FINE OF EURO 240,000 TO THE
COMISION NACIONAL DEL MERCADO DE VALORES (THE "CNMV") IN CONNECTION WITH THE CNMV'S FINDINGS THAT MAN HAD NOT COMPLIED
WITH EUROPEAN UNION ("EU") REGULATIONS REQUIRING THE DISCLOSURE OF AN INVESTOR'S SHORT POSITIONS IN THE SECURITIES OF ANY
ISSUER BASED IN AN EU MEMBER COUNTRY, SUCH AS SPAIN.
13. Provide a brief summary of details related to the action status and (or) disposition and include relevant terms, conditions and dates (your response
must fit within the space provided).
ON APRIL 7, 2021, MAN AGREED TO ACCEPT THE FINDINGS WITHOUT CONTESTING AND PAY A FINE OF EURO 240,000.