Third Point 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
No Information Filed
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) 
HELLENIC CAPITAL MARKET COMMISSION
2.
Principal Sanction:
Civil and Administrative Penalt(ies) /Fine(s)
Other Sanctions: 
3.
Date Initiated (MM/DD/YYYY): 
01/16/2015
 Exact
 Explanation
If not exact, provide explanation:
4.
Docket/Case Number:
DECISION NO. 12/801/28.11.2017
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):
FOLLOWING AN AUDIT PERFORMED BY THE HELLENIC CAPITAL MARKETS COMMISSION ("HCMC") ON CERTAIN TRANSACTIONS IN CERTAIN SHARES OF A
PUBLICLY-LISTED EQUITY ON THE ATHENS EXCHANGE (THE "SHARES") DURING THE PERIOD MAY 2, 2014, THROUGH MAY 9, 2014, THE HCMC ISSUED A
DECISION AGAINST TP LUX HOLDCO SARL (AN AFFILIATE OF THIRD POINT LLC) ("LUX HOLDCO"), IMPOSING A FINE ON LUX HOLDCO ON THE BASIS
THAT IT SOLD SHARES IN BREACH OF ARTICLE 12 (1.B) OF EU REGULATION 236/2012 ON SHORT SELLING AND OF RECITAL 8 AND ARTICLE 5 (1.E) OF
EU REGULATION 827/2012 (THE "REGULATIONS") BECAUSE, AT THE TIME THAT LUX HOLDCO SOLD SUCH SHARES, THE BOARD OF DIRECTORS OF THE
ATHENS EXCHANGE HAD NOT YET RULED ON THE APPROVAL AND THE DATE OF THE LISTING OF SUCH SHARES FOR TRADING.
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:
Order

11. Resolution Date (MM/DD/YYYY):
11/19/2018
 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: $ 99,181.00
 Revocation/Expulsion/Denial
 Disgorgement/Restitution
 Censure
 Cease and Desist/Injunction
 Bar
 Suspension
B.
Other Sanctions Ordered:
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: 
THIRD POINT WILL PAY A FINE IN AN AMOUNT EQUAL TO EUR87,200 (APPROXIMATELY $99,181USD) UPON RECEIPT OF PAYMENT INSTRUCTIONS
AND THE APPLICABLE TAX CERTIFICATION FROM THE GREEK TAX OFFICE.
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).
THIRD POINT WILL PAY A FINE IN AN AMOUNT EQUAL TO EUR87,200 UNDER ARTICLE 18 OF GREEK LAW 4141/2013 AFTER THE HELLENIC CAPITAL
MARKET COMMISSION ("HCMC") DETERMINED THAT ON MAY 6, 2014, LUX HOLDCO SOLD SHARES IN BREACH OF THE REGULATIONS. UNDER GREEK
LAW, AN INVESTOR MAY NOT SELL SHARES BEFORE SUCH SHARES HAVE BEEN APPROVED AND ADMITTED FOR TRADING BY THE ATHENS EXCHANGE
BOARD OF DIRECTORS (THE "AEBD"). THE HCMC DETERMINED THAT THE SALE OF THE SHARES WAS IN BREACH OF THE REGULATIONS BECAUSE SUCH
SALE OCCURRED BEFORE THE MEETING OF THE AEBD, WHICH DID NOT APPROVE THE LISTING OF THE SHARES FOR TRADING UNTIL MAY 9, 2014.
CONSISTENT WITH HCMC POLICY, GREEK LAW AND THE HCMC DECISION, THIRD POINT INTENDS TO PAY TO THE GREEK TAX OFFICE AN AMOUNT
EQUAL TO 80% OF THE AMOUNT OF THE FINE LEVIED BY THE HCMC, SUCH AMOUNT (EUR87,200/APPROXIMATELY $99,181USD) BEING IN FULL
SATISFACTION OF SUCH FINE.

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 Item 11.H. of Part
1A or Item 2.F. of Part 1B of Form ADV.
Civil Judicial
Check Part 1A item(s) being responded to:
11.H(1)(a)
11.H(1)(b)
11.H(1)(c)
11.H(2)
Check Part 1B item(s) being responded to:
2.F(1)
2.F(2)
2.F(3)
2.F(4)
2.F(5)
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 Item 11.H. of Part 1A or Item 2.F. of Part 1B. Use only one DRP to report details related to the
same event. Unrelated civil judicial actions must be reported on separate DRPs.
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
No Information Filed

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.H.
(1)(a), 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.  Court Action initiated by: (Name of regulator, foreign financial regulatory authority, SRO, commodities exchange, agency, firm, private plaintiff, etc.) 
UNITED STATES OF AMERICA
2.
Principal Relief Sought:
Civil Penalty(ies)/Fine(s)
Other Relief Sought: 
INJUNCTION
3.
Filing Date of Court Action (MM/DD/YYYY):
08/28/2019
 Exact
 Explanation
If not exact, provide explanation:
4.
Principal Product Type:
Equity Listed (Common & Preferred Stock)
Other Product Types: 
5.
Formal Action was brought in (include name of Federal, State or Foreign Court, Location of Court - City or County and State or Country, Docket/Case
Number): 
UNITED STATES DISTRICT COURT FOR THE DISTRICT OF COLUMBIA; WASHINGTON, DC; 1:19-CV-02593
6.
Advisory Affiliate Employing Firm when activity occurred which led to the civil judicial action (if applicable): 
7.
Describe the allegations related to this civil action (your response must fit within the space provided): 
THREE FUNDS CONTROLLED BY THIRD POINT ACQUIRED THE VOTING SECURITIES OF DOW INC. PRIOR TO ITS MERGER WITH E.I. DU PONT DE
NEMOURS & COMPANY. IN CONNECTION WITH THE ACQUISITION OF THE DOW SHARES, THE THREE FUNDS MADE THE REQUIRED HSR FILINGS. ONCE
THE MERGER WAS FINALIZED ON AUGUST 31, 2017, THE DOW SHARES CONVERTED TO SHARES OF THE NEWLY FORMED DOWDUPONT INC. ACCORDING
TO THE FTC'S POSITION, AS A RESULT OF THAT CONVERSION, THE THIRD POINT FUNDS WERE REQUIRED TO MAKE ANOTHER HSR FILING FOR THE
SHARES OF THE NEWLY FORMED COMPANY. THE THREE THIRD POINT FUNDS MADE CORRECTIVE FILINGS WITH THE FEDERAL ANTITRUST AUTHORITIES
ON NOV. 8, 2017, AND THE WAITING PERIOD FOR THOSE CORRECTIVE FILINGS EXPIRED ON DECEMBER 8, 2017.
8.
Current Status? 
 Pending
 On Appeal
 Final
9.
If on appeal, action appealed to (provide name of court) and Date Appeal Filed (MM/DD/YYYY): 
10. If pending, date notice/process was served (MM/DD/YYYY):
 Exact
 Explanation
If not exact, provide explanation:
If Final or On Appeal, complete all items below. For Pending Actions, complete Item 14 only.
11. How was matter resolved:
Judgment Rendered
12. Resolution Date (MM/DD/YYYY): 
12/10/2019
 Exact
 Explanation
If not exact, provide explanation:

13. Resolution Detail:
A.  Were any of the following Sanctions Ordered or Relief Granted(check appropriate items)?
Monetary/Fine Amount: $ 609,810.00
Revocation/Expulsion/Denial
Disgorgement/Restitution
Censure
Cease and Desist/Injunction
Bar
Suspension
B.
Other Sanctions:
THE FINAL JUDGMENT SPECIFIES CIRCUMSTANCES WHEN THIRD POINT MUST FILE A NOTIFICATION UNDER THE HART-SCOTT-RODINO ANTITRUST
IMPROVEMENTS ACT OF 1976 ("HSR ACT") AND ALLOWS THE DOJ CERTAIN ACCESS AND INSPECTION RIGHTS FOR THE PURPOSE OF
DETERMINING COMPLIANCE WITH THE FINAL JUDGMENT.
C.
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 DECEMBER 18, 2019, THIRD POINT LLC PAID $609,810 IN FULL SATISFACTION OF A SINGLE CIVIL PENALTY ORDERED AGAINST THREE OF THE
FUNDS IT MANAGES. THIRD POINT IS ALSO REQUIRED TO COMPLY WITH THE TERMS OF THE FINAL JUDGMENT, DESCRIBED IN SECTION 13(B)
ABOVE, DURING THE FIVE YEARS STARTING ON DECEMBER 10, 2019, UNLESS EITHER (A) AFTER THREE YEARS FROM THE DATE OF ENTRY, THE
FINAL JUDGMENT IS TERMINATED UPON NOTICE BY THE DOJ TO THE COURT AND TO THIRD POINT THAT THE CIVIL PENALTY HAS BEEN PAID AND
THAT THE CONTINUATION OF THE FINAL JUDGMENT IS NO LONGER NECESSARY OR IN THE PUBLIC INTEREST, OR (B) A SPECIFIED EVENT OCCURS
BEFORE THE EXPIRATION OF SUCH FIVE-YEAR PERIOD, IN WHICH CASE THE FINAL JUDGMENT MAY BE TERMINATED UPON THE OCCURRENCE OF
SUCH EVENT AND UPON NOTICE BY THE DOJ, TO BE PROVIDED IN DOJ'S SOLE DISCRETION AFTER RECEIVING A REQUEST FROM THIRD POINT TO
DO SO, TO THE COURT THAT THE CONTINUATION OF THE FINAL JUDGMENT IS NO LONGER NECESSARY OR IN THE PUBLIC INTEREST.
14. Provide a brief summary of circumstances related to the action(s), allegation(s), disposition(s) and/or finding(s) disclosed above (your response must
fit within the space provided). 
THREE FUNDS CONTROLLED BY THIRD POINT ACQUIRED THE VOTING SECURITIES OF DOW INC. PRIOR TO ITS MERGER WITH E.I. DU PONT DE
NEMOURS & COMPANY. IN CONNECTION WITH THE ACQUISITION OF THE DOW SHARES, THE THREE FUNDS MADE THE REQUIRED HSR FILINGS. ONCE
THE MERGER WAS FINALIZED ON AUGUST 31, 2017, THE DOW SHARES CONVERTED TO SHARES OF THE NEWLY FORMED DOWDUPONT INC. ACCORDING
TO THE FTC'S POSITION, AS A RESULT OF THAT CONVERSION, THE THIRD POINT FUNDS WERE REQUIRED TO MAKE ANOTHER HSR FILING FOR THE
SHARES OF THE NEWLY FORMED COMPANY. THE THREE THIRD POINT FUNDS MADE CORRECTIVE FILINGS WITH THE FEDERAL ANTITRUST AUTHORITIES
ON NOV. 8, 2017, AND THE WAITING PERIOD FOR THOSE CORRECTIVE FILINGS EXPIRED ON DEC. 8, 2017.