P. Schoenfeld Asset Management LP

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:
149236
This advisory affiliate is 
a Firm
an Individual
Registered:
Yes
No
Name:
P. SCHOENFELD ASSET
MANAGEMENT LP
(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) 
U.S. SECURITIES & EXCHANGE COMMISSION
2.
Principal Sanction:
Civil and Administrative Penalt(ies) /Fine(s)
Other Sanctions: 
CEASE AND DESIST; CENSURE.
3.
Date Initiated (MM/DD/YYYY): 
08/14/2024
 Exact
 Explanation
If not exact, provide explanation:

4.
Docket/Case Number:
ADMINISTRATIVE PROCEEDING FILE NO. 3-21999
5.
Advisory Affiliate Employing Firm when activity occurred which led to the regulatory action (if applicable):
6.
Principal Product Type:
No Product
Other Product Types: 
7.
Describe the allegations related to this regulatory action (your response must fit within the space provided):
ON AUGUST 14, 2024, PSAM ENTERED INTO A SETTLEMENT WITH THE SEC AND CONSENTED TO THE ENTRY OF AN ORDER FINDING THAT FROM OCTOBER 18,
2018 THROUGH DECEMBER 21, 2021 PSAM VIOLATED SECTION 204 OF THE ADVISERS ACT AND RULE 204-2(A)(7) THEREUNDER BY FAILING TO MAINTAIN OR
PRESERVE CERTAIN OFF-CHANNEL COMMUNICATIONS. THE ORDER FURTHER FOUND THAT PSAM FAILED TO IMPLEMENT A SYSTEM OF MONITORING
REASONABLY EXPECTED TO DETERMINE WHETHER PERSONNEL WERE FOLLOWING ITS POLICIES AND PROCEDURES THAT PROHIBIT OFF-CHANNEL
COMMUNICATIONS WHICH LED TO ITS FAILURE TO REASONABLY SUPERVISE ITS PERSONNEL WITHIN THE MEANING OF SECTION 203(E)(6) OF THE
ADVISERS ACT. THE ORDER STATED THAT THE SEC CONSIDERED PSAM'S COOPERATION WITH THE SEC STAFF IN THE INVESTIGATION AND THE REMEDIAL
STEPS PSAM HAD UNDERTAKEN, INCLUDING THE INITIATION OF IMPLEMENTATION OF TECHNOLOGICAL IMPROVEMENTS TO ENHANCE THE FIRM'S
CAPABILITY TO PRESERVE ITS EMPLOYEES' ELECTRONIC COMMUNICATIONS, THE RETENTION AND CONTINUED USE OF A COMPLIANCE CONSULTANT
TASKED WITH REMEDIATING ITS RECORDKEEPING DEFICIENCIES, AND THE CONDUCTING OF ONGOING MONITORING FOR POTENTIAL NON-COMPLIANCE
WITH FIRM POLICIES. THE ORDER REQUIRED PSAM TO CEASE AND DESIST FROM COMMITTING OR CAUSING ANY VIOLATIONS AND ANY FUTURE VIOLATIONS
OF SECTION 204 OF THE ADVISERS ACT AND RULE 204-2 THEREUNDER, CENSURED PSAM, AND REQUIRED PSAM TO PAY A CIVIL MONETARY PENALTY OF
$1,250,000. NO PORTION OF THE PENALTY WILL BE BORNE BY PSAM'S 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:
Decision & Order of Offer of Settlement
11. Resolution Date (MM/DD/YYYY):
08/14/2024
 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: $ 1,250,000.00
 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: 
PSAM PAID A CIVIL MONETARY PENALTY IN THE AMOUNT OF $1,250,000 ON AUGUST 26, 2024.
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 AUGUST 14, 2024, PSAM ENTERED INTO A SETTLEMENT WITH THE SEC AND CONSENTED TO THE ENTRY OF AN ORDER FINDING THAT FROM OCTOBER 18,
2018 THROUGH DECEMBER 21, 2021 PSAM VIOLATED SECTION 204 OF THE ADVISERS ACT AND RULE 204-2(A)(7) THEREUNDER BY FAILING TO MAINTAIN OR
PRESERVE CERTAIN OFF-CHANNEL COMMUNICATIONS. THE ORDER FURTHER FOUND THAT PSAM FAILED TO IMPLEMENT A SYSTEM OF MONITORING
REASONABLY EXPECTED TO DETERMINE WHETHER PERSONNEL WERE FOLLOWING ITS POLICIES AND PROCEDURES THAT PROHIBIT OFF-CHANNEL
COMMUNICATIONS WHICH LED TO ITS FAILURE TO REASONABLY SUPERVISE ITS PERSONNEL WITHIN THE MEANING OF SECTION 203(E)(6) OF THE
ADVISERS ACT. THE ORDER STATED THAT THE SEC CONSIDERED PSAM'S COOPERATION WITH THE SEC STAFF IN THE INVESTIGATION AND THE REMEDIAL
STEPS PSAM HAD UNDERTAKEN, INCLUDING THE INITIATION OF IMPLEMENTATION OF TECHNOLOGICAL IMPROVEMENTS TO ENHANCE THE FIRM'S
CAPABILITY TO PRESERVE ITS EMPLOYEES' ELECTRONIC COMMUNICATIONS, THE RETENTION AND CONTINUED USE OF A COMPLIANCE CONSULTANT
TASKED WITH REMEDIATING ITS RECORDKEEPING DEFICIENCIES, AND THE CONDUCTING OF ONGOING MONITORING FOR POTENTIAL NON-COMPLIANCE
WITH FIRM POLICIES. THE ORDER REQUIRED PSAM TO CEASE AND DESIST FROM COMMITTING OR CAUSING ANY VIOLATIONS AND ANY FUTURE VIOLATIONS
OF SECTION 204 OF THE ADVISERS ACT AND RULE 204-2 THEREUNDER, CENSURED PSAM, AND REQUIRED PSAM TO PAY A CIVIL MONETARY PENALTY OF
$1,250,000. NO PORTION OF THE PENALTY WILL BE BORNE BY PSAM'S CLIENTS.