Point72 Asset Management, L.P.

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:
1851129
This advisory affiliate is 
a Firm
an Individual
Registered:
Yes
No
Name:
COHEN, STEVEN, ALAN
(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) 
SECURITIES AND EXCHANGE COMMISSION
2.
Principal Sanction:
Other
Other Sanctions: 
PLACE LIMITATIONS ON THE ACTIVITIES OF STEVEN COHEN
3.
Date Initiated (MM/DD/YYYY): 
07/19/2013
 Exact
 Explanation
If not exact, provide explanation:
4.
Docket/Case Number:
ADMIN PROCEEDING FILE NO. 3-15382
5.
Advisory Affiliate Employing Firm when activity occurred which led to the regulatory action (if applicable):
S.A.C. CAPITAL ADVISORS, LLC
6.
Principal Product Type:
Equity Listed (Common & Preferred Stock)
Other Product Types: 
OPTIONS
7.
Describe the allegations related to this regulatory action (your response must fit within the space provided):
STEVEN A. COHEN WAS ALLEGED TO HAVE FAILED TO REASONABLY SUPERVISE AN EMPLOYEE OF CR INTRINSIC INVESTORS, LLC WHO WAS ALLEGED
TO HAVE ENGAGED IN TRADING IN SECURITIES ON THE BASIS OF MATERIAL NONPUBLIC INFORMATION.
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):
01/08/2016
 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:
MR. COHEN MAY NOT BE ASSOCIATED IN A SUPERVISORY CAPACITY WITH ANY BROKER, DEALER, OR INVESTMENT ADVISER UNTIL DECEMBER 31,
2017, OR AT SUCH LATER DATE AS SET OUT IN THE ORDER.
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: 
SEE THE ABOVE RESPONSE.
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 JULY 19, 2013, THE SEC INSTITUTED AN ADMINISTRATIVE PROCEEDING AGAINST STEVEN A. COHEN PURSUANT TO SECTION 203(F) OF THE
INVESTMENT ADVISERS ACT OF 1940 ALLEGING THAT MR. COHEN FAILED TO REASONABLY SUPERVISE AN EMPLOYEE OF CR INTRINSIC INVESTORS, LLC
("CR INTRINSIC"). THE SEC PREVIOUSLY SETTLED CIVIL CLAIMS AGAINST CR INTRINSIC RELATED TO SUCH EMPLOYEE'S TRADING. ON JANUARY 8, 2016,
THE SEC ISSUED AN ORDER ACCEPTING AN OFFER OF SETTLEMENT FROM MR. COHEN. PURSUANT TO THE SETTLEMENT, MR. COHEN NEITHER ADMITTED
NOR DENIED THE FINDINGS OF THE SEC IN THE ORDER. THE ORDER REQUIRES ANY INVESTMENT ADVISER, FAMILY OFFICE, BROKER OR DEALER OWNED
OR CONTROLLED BY MR. COHEN TO, FOR A LIMITED PERIOD OF TIME, RETAIN AN INDEPENDENT CONSULTANT AND ADOPT SUCH CONSULTANT'S
RECOMMENDATIONS AND SUBMIT TO ON-SITE SEC EXAMINATIONS. FURTHER, THE ORDER PROHIBITS MR. COHEN FROM BEING ASSOCIATED IN A
SUPERVISORY CAPACITY WITH ANY INVESTMENT ADVISER, BROKER OR DEALER UNTIL DECEMBER 31, 2017, SUBJECT TO AN EXTENSION IF THE SEC
BRINGS A NEW ACTION AGAINST MR. COHEN OR A RELATED ENTITY OR AN EMPLOYEE SUPERVISED BY HIM.

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:
1851129
This advisory affiliate is 
a Firm
an Individual
Registered:
Yes
No
Name:
COHEN, STEVEN, ALAN
(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) 
COMMODITY FUTURES TRADING COMMISSION
2.
Principal Sanction:
Other
Other Sanctions: 
PLACE LIMITATIONS ON THE ACTIVITIES OF STEVEN COHEN.
3.
Date Initiated (MM/DD/YYYY): 
08/16/2016
 Exact
 Explanation
If not exact, provide explanation:
4.
Docket/Case Number:
CFTC DOCKET NO. SD 16-01
5.
Advisory Affiliate Employing Firm when activity occurred which led to the regulatory action (if applicable):
S.A.C. CAPITAL ADVISORS, LLC
6.
Principal Product Type:
Equity Listed (Common & Preferred Stock)
Other Product Types: 
OPTIONS
7.
Describe the allegations related to this regulatory action (your response must fit within the space provided):
ON AUGUST 16, 2016, THE CFTC ISSUED AN ORDER ("CFTC ORDER") ACCEPTING AN OFFER OF SETTLEMENT FROM STEVEN COHEN. THE CFTC ALLEGED
THAT MR. COHEN IS SUBJECT TO STATUTORY DISQUALIFICATION UNDER SECTION 8A(4) OF THE COMMODITY EXCHANGE ACT, AS AMENDED, DUE TO
THE FINDING CONTAINED IN THE SEC'S ORDER (ADMIN PROCEEDING FILE NO. 3-15950) OF MR. COHEN'S FAILURE TO SUPERVISE ANOTHER PERSON
WITH A VIEW TO PREVENTING VIOLATIONS OF THE SECURITIES EXCHANGE ACT OF 1934. PURSUANT TO THE SETTLEMENT, MR. COHEN NEITHER
ADMITTED OR DENIED ANY OF THE FINDINGS OR CONCLUSIONS IN THE CFTC ORDER OR THE ACCOMPANYING NOTICE. THE CFTC ORDER RESTRICTS
MR. COHEN FROM ENGAGING IN ANY ACTIVITY REQUIRING REGISTRATION WITH THE CFTC AND/OR ACTING AS AN OFFICER OR EMPLOYEE OF ANY
PERSON REGISTERED OR REQUIRED TO BE REGISTERED WITH THE CFTC THROUGH DECEMBER 31, 2017, OR THROUGH SUCH LATER DATE AS MR.
COHEN'S RESTRICTION UNDER THE SEC ORDER IS EXTENDED.
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):
08/16/2016
 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:
SEE THE RESPONSE TO QUESTION 7 ABOVE.
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: 
SEE THE RESPONSE TO QUESTION 7 ABOVE.
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).
SEE THE RESPONSE TO QUESTION 7 ABOVE.

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:
292047
This advisory affiliate is 
a Firm
an Individual
Registered:
Yes
No
Name:
POINT72 HONG KONG LIMITED
(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) 
KOREAN SECURITIES AND FUTURES COMMISSION ("SFC")
2.
Principal Sanction:
Civil and Administrative Penalt(ies) /Fine(s)
Other Sanctions: 
3.
Date Initiated (MM/DD/YYYY): 
05/26/2023
 Exact
 Explanation
If not exact, provide explanation:
4.
Docket/Case Number:
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):
ALLEGATION THAT ON MAY 4, 2021, POINT72 HONG KONG LIMITED PLACED AN ORDER TO SHORT SELL SHARES OF KOREAN-LISTED SECURITIES
WITHOUT CORRESPONDING OWNERSHIP OF THE POSITIONS.
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):
09/26/2023
 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: $ 165,000.00
 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: 
THE KOREAN SECURITIES AND FUTURES COMMISSION ("SFC") ISSUED A FINE OF KRW 218,500,000 (~US$165,000) ON SEPTEMBER 4, 2023. A

WIRE PAYMENT TO SATISFY SUCH FINE WAS INITIATED ON SEPTEMBER 26, 2023.
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 MAY 26, 2023, POINT72 HONG KONG LIMITED ("POINT72 HONG KONG") RECEIVED A NOTICE FROM THE KOREAN FINANCIAL SUPERVISORY SERVICE
("FSS") WITH RESPECT TO A TRADE MADE BY POINT72 HONG KONG ON MAY 4, 2021 THAT RESULTED IN AN UNCOVERED SHORT POSITION IN A
COMPANY LISTED ON THE KOREAN EXCHANGE (THE "KRX"). THE CREATION OF AN UNCOVERED SHORT POSITION WAS A ONE-OFF INCIDENT CAUSED BY
HUMAN ERROR BY A POINT72 HONG KONG TRADER. THE UNCOVERED SHORT POSITION WAS QUICKLY REMEDIATED AND REPORTED TO THE EXECUTING
BROKER WHO REPORTED THE MATTER TO THE KRX. THE FSS'S NOTICE SPECIFIED THAT A FINE OF KRW 218,500,000 (~ US$165,000) WOULD BE
IMPOSED, SUBJECT TO THE FURTHER CONSIDERATION OF THE KOREAN CAPITAL MARKET INVESTIGATION AND REVIEW COMMITTEE, AND SECURITIES
AND FUTURES COMMISSION ("SFC"). UPON REVIEW, THE SFC DETERMINED TO ISSUE THE KRW 218,500,000 (~ US$165,000) FINE ON SEPTEMBER 4,
2023, WHICH, SUBJECT TO POINT72 HONG KONG'S RIGHT TO APPEAL, WOULD BE DUE BY NO LATER THAN NOVEMBER 8, 2023. IN RESOLUTION OF THIS
MATTER, A WIRE PAYMENT TO SATISFY SUCH FINE WAS INITIATED ON SEPTEMBER 26, 2023.