THIRD POINT LLC of NEW YORK, NY is an SEC-registered investment adviser (CRD 137927). Regulatory assets under management: $28.7B.
Compensation: % of AUM, Performance.
Clients served: Pooled vehicles, Investment cos, Other.
| Name | Role | Location |
|---|---|---|
| Jana Tsilman | CHIEF COMPLIANCE OFFICER | New York, NY |
| Richard Mendy Haas | CHIEF FINANCIAL OFFICER | New York, NY |
| KELLY PATRICK | PRESIDENT; PRESIDENT / COO | MONTREAL, A8 |
| Joshua Laurence Targoff | PRESIDENT | New York, NY |
| Daniel Seth Loeb | CHIEF EXECUTIVE OFFICER, CHIEF INVESTMENT OFFICER; OWNER | — |
| Ian Geoffrey Wallace | PARTNER | — |
| GALLAGHER JAMES PETER | CHIEF ADMINISTRATIVE OFFICER; CHIEF ADMINISTRATIVE OFFICER AND HEAD OF OPERATIONS | — |
| WALLACE IAN GEOFFREY | HEAD OF CREDIT RESEARCH; PARTNER | — |
| WALLER KEITH JOSEPH | MANAGING DIRECTOR OPERATIONS | — |
| NADLER JUSTIN SAMUEL | CFO / CCO; CHIEF OPERATING OFFICER | — |
| LOEB DANIEL SETH | CEO; CHIEF EXECUTIVE OFFICER; CHIEF EXECUTIVE OFFICER AND CHIEF INVESTMENT OFFICER (+1 more) | — |
| FREDERICKS LAURIE ANN | CHIEF FINANCIAL OFFICER | — |
| SNOW ZACHARY | CHIEF COMPLIANCE OFFICER; GENERAL COUNSEL | — |
| HAAS RICHARD MENDY | CHIEF FINANCIAL OFFICER | — |
| WILSON BRUCE IVAN | CHIEF OPERATING OFFICER | — |
| SONG WILLIAM | CHIEF COMPLIANCE OFFICER; CHIEF COMPLIANCE OFFICER AND DEPUTY GENERAL COUNSEL | — |
| TARGOFF JOSHUA LAURENCE | CHIEF OPERATING OFFICER AND GENERAL COUNSEL; CHIEF OPERATING OFFICER, CHIEF LEGAL OFFICER AND PARTNER; CHIEF OPERATING OFFICER, GENERAL COUNSEL AND PARTNER (+1 more) | — |
| ISLAM MUNIB ZIAUL | HEAD OF EQUITY RESEARCH; PARTNER; PARTNER AND CO-CHIEF INVESTMENT OFFICER | — |
| TSILMAN JANA | CHIEF COMPLIANCE OFFICER | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2019-08-28 | civil | 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… | Final | $610K |
| 2015-08-24 | civil | THE DOJ ALLEGED THAT THIRD POINT AND CERTAIN FUNDS THAT IT MANAGES VIOLATED SECTION 7A OF THE CLAYTON ACT (15 U.S.C. ? 18A, COMMONLY KNOWN AS THE HSR ACT). THE HSR ACT REQUIRES CERTAIN ACQUIRING PERSONS AND CERTAIN PERSONS WHOSE VOTING SECURITIES OR ASSETS ARE ACQUIRED TO FILE NOTIFICATIONS WITH THE… | Final | — |
| 2015-08-24 | civil | THE DOJ ALLEGED THAT THIRD POINT AND CERTAIN FUNDS THAT IT MANAGES VIOLATED SECTION 7A OF THE CLAYTON ACT (15 U.S.C. § 18A, COMMONLY KNOWN AS THE HSR ACT). THE HSR ACT REQUIRES CERTAIN ACQUIRING PERSONS AND CERTAIN PERSONS WHOSE VOTING SECURITIES OR ASSETS ARE ACQUIRED TO FILE NOTIFICATIONS WITH THE… | Final | — |
| 2015-01-16 | regulatory | 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 A… | Final | $99K |