Third Point Llc

Allegations: 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. Status: Final Summary: 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.

Allegations: Equity Listed (Common & Preferred Stock) Summary: Y

Allegations: 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. Status: Final Sanction Detail: 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. Summary: 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.