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person · Reporting owner

Loeb Daniel S

Disclosed activity across 13 companies

Tapewire entity
52104
SEC CIK
0001300345

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Reported relationships

Latest disclosed role at each company.

CompanyLast reported asReport datePublished
Blue Whale Acquisition Corp IBWCAU · Entity 13613110% owner · See Explanation of Responses.August 04, 2021August 13, 2021
Kadmon Holdings, Inc.KDMN · Entity 13368610% ownerMarch 13, 2017March 15, 2017
Radius Global Infrastructure, Inc.RADI · Entity 10951710% ownerMarch 03, 2021March 05, 2021
SiriusPoint LtdSPNT · Entity 554DirectorFebruary 27, 2025February 28, 2025
Third Point Private Capital PartnersNONE · Entity 5210310% owner · See Explanation of Responses.April 07, 2026April 17, 2026

Disclosed balances

About these balances

Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.

Blue Whale Acquisition Corp I

Report date August 04, 2021 · Filed August 13, 2021

Jointly reported with Third Point LLC

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Class A Ordinary SharesSEC Table I · non-derivativeIndirectSee Footnotes2,000,000 Reported balance Holding disclosure · report date 2021-08-04 · row 1 Holding and transaction disclosures are not merged.
1 source row

Row 1 · Balance 2,000,000

F1: Represents 2,000,000 Units of the Issuer (the "Units"), each consisting of one Class A ordinary shares, $0.0001 par value per share (the "Class A Ordinary Shares") and one-fourth of one redeemable warrant (the "Warrants"), purchased in connection with the Issuer's initial public offering of Units, as described in the Issuer's prospectus dated August 3, 2021, as filed with the U.S. Securities and Exchange Commission (the "SEC") on August 4, 2021 (the "Prospectus"). Subject to the terms and conditions set forth in the Prospectus, each whole Warrant will become exercisable 30 days after the completion of the Issuer's initial business combination and thereafter will entitle the holder thereof to purchase one Class A Ordinary Share at a price of $11.50 per share, subject to adjustment, and such Warrants will expire five years after the completion of the Issuer's initial business combination or earlier upon redemption or liquidation, in each case as more fully described in the Prospectus.

F2: The securities of the Issuer disclosed in this Form 3 are held by or on behalf of certain funds (the "Funds") managed or advised by Third Point LLC ("Third Point"). Daniel S. Loeb is the Chief Executive Officer of Third Point. By reason of the provisions of Rules 13d-3 and under the Securities Exchange Act of 1934, as amended, Third Point and Mr. Loeb may be deemed to be the beneficial owners of the securities held by or on behalf of the Funds. Third Point and Mr. Loeb hereby disclaim beneficial ownership of all such securities, except to the extent of any indirect pecuniary interest therein.

Warrants included as part of the UnitsSEC Table II · derivative / convertible security · Conversion / exercise price $11.50IndirectSee FootnotesNot disclosed Reported balance Holding disclosure · report date 2021-08-04 · row 2 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 2 · Balance Not disclosed

F1: Represents 2,000,000 Units of the Issuer (the "Units"), each consisting of one Class A ordinary shares, $0.0001 par value per share (the "Class A Ordinary Shares") and one-fourth of one redeemable warrant (the "Warrants"), purchased in connection with the Issuer's initial public offering of Units, as described in the Issuer's prospectus dated August 3, 2021, as filed with the U.S. Securities and Exchange Commission (the "SEC") on August 4, 2021 (the "Prospectus"). Subject to the terms and conditions set forth in the Prospectus, each whole Warrant will become exercisable 30 days after the completion of the Issuer's initial business combination and thereafter will entitle the holder thereof to purchase one Class A Ordinary Share at a price of $11.50 per share, subject to adjustment, and such Warrants will expire five years after the completion of the Issuer's initial business combination or earlier upon redemption or liquidation, in each case as more fully described in the Prospectus.

F2: The securities of the Issuer disclosed in this Form 3 are held by or on behalf of certain funds (the "Funds") managed or advised by Third Point LLC ("Third Point"). Daniel S. Loeb is the Chief Executive Officer of Third Point. By reason of the provisions of Rules 13d-3 and under the Securities Exchange Act of 1934, as amended, Third Point and Mr. Loeb may be deemed to be the beneficial owners of the securities held by or on behalf of the Funds. Third Point and Mr. Loeb hereby disclaim beneficial ownership of all such securities, except to the extent of any indirect pecuniary interest therein.

Filing footnotes · ownership attribution and instrument terms

F1: Represents 2,000,000 Units of the Issuer (the "Units"), each consisting of one Class A ordinary shares, $0.0001 par value per share (the "Class A Ordinary Shares") and one-fourth of one redeemable warrant (the "Warrants"), purchased in connection with the Issuer's initial public offering of Units, as described in the Issuer's prospectus dated August 3, 2021, as filed with the U.S. Securities and Exchange Commission (the "SEC") on August 4, 2021 (the "Prospectus"). Subject to the terms and conditions set forth in the Prospectus, each whole Warrant will become exercisable 30 days after the completion of the Issuer's initial business combination and thereafter will entitle the holder thereof to purchase one Class A Ordinary Share at a price of $11.50 per share, subject to adjustment, and such Warrants will expire five years after the completion of the Issuer's initial business combination or earlier upon redemption or liquidation, in each case as more fully described in the Prospectus.

F2: The securities of the Issuer disclosed in this Form 3 are held by or on behalf of certain funds (the "Funds") managed or advised by Third Point LLC ("Third Point"). Daniel S. Loeb is the Chief Executive Officer of Third Point. By reason of the provisions of Rules 13d-3 and under the Securities Exchange Act of 1934, as amended, Third Point and Mr. Loeb may be deemed to be the beneficial owners of the securities held by or on behalf of the Funds. Third Point and Mr. Loeb hereby disclaim beneficial ownership of all such securities, except to the extent of any indirect pecuniary interest therein.

Kadmon Holdings, Inc.

Report date March 13, 2017 · Filed March 15, 2017

Jointly reported with Third Point LLC

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Common Stock, $0.001 par value per shareSEC Table I · non-derivativeIndirectSee footnote9,407,745 Reported balance After 2017-03-13 transaction · row 1 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source row

Row 1 · 2017-03-13 · Purchase · Acquired 1,488,095 · Balance 9,407,745

F1: The securities subject to the transactions disclosed in this Form 4 are owned by certain funds (the "Funds") managed by Third Point LLC ("Third Point"). Daniel S. Loeb is the Chief Executive Officer of Third Point. By reason of the provisions of Rule 16a-1 under the Securities Exchange Act of 1934, as amended, Third Point and Mr. Loeb may be deemed to be the beneficial owners of the securities beneficially owned by the Funds. Third Point and Mr. Loeb hereby disclaim beneficial ownership of all such securities, except to the extent of any indirect pecuniary interest therein.

Warrant to Purchase Common StockSEC Table II · derivative / convertible security · Conversion / exercise price $4.50 · Expires 2018-04-13IndirectSee footnote595,238 Reported balance After 2017-03-13 transaction · row 2 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 2 · 2017-03-13 · Purchase · Acquired 595,238 · Balance 595,238

F2: The reported securities were included with the 1,488,095 shares of common stock purchased by the reporting persons for $3.36 per share. Each such purchased share of common stock was issued with a warrant to purchase 0.40 shares of common stock.

F1: The securities subject to the transactions disclosed in this Form 4 are owned by certain funds (the "Funds") managed by Third Point LLC ("Third Point"). Daniel S. Loeb is the Chief Executive Officer of Third Point. By reason of the provisions of Rule 16a-1 under the Securities Exchange Act of 1934, as amended, Third Point and Mr. Loeb may be deemed to be the beneficial owners of the securities beneficially owned by the Funds. Third Point and Mr. Loeb hereby disclaim beneficial ownership of all such securities, except to the extent of any indirect pecuniary interest therein.

Filing footnotes · ownership attribution and instrument terms

F1: The securities subject to the transactions disclosed in this Form 4 are owned by certain funds (the "Funds") managed by Third Point LLC ("Third Point"). Daniel S. Loeb is the Chief Executive Officer of Third Point. By reason of the provisions of Rule 16a-1 under the Securities Exchange Act of 1934, as amended, Third Point and Mr. Loeb may be deemed to be the beneficial owners of the securities beneficially owned by the Funds. Third Point and Mr. Loeb hereby disclaim beneficial ownership of all such securities, except to the extent of any indirect pecuniary interest therein.

F2: The reported securities were included with the 1,488,095 shares of common stock purchased by the reporting persons for $3.36 per share. Each such purchased share of common stock was issued with a warrant to purchase 0.40 shares of common stock.

Radius Global Infrastructure, Inc.

Report date March 03, 2021 · Filed March 05, 2021

Jointly reported with Third Point LLC

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Class A Common StockSEC Table I · non-derivativeIndirectSee footnote4,495,473 Reported balance After 2021-03-03 transaction · row 1 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source row

Row 1 · 2021-03-03 · Sale · Disposed 4,527 · Balance 4,495,473

F1: The shares of Class A Common Stock, par value $0.0001 per share (the "Class A Common Stock"), of Radius Global Infrastructure, Inc. (the "Issuer") were acquired in connection with the Issuer's domestication as a Delaware corporation, pursuant to which each issued and outstanding ordinary share, no par value, of Digital Landscape Group, Inc., a British Virgin Islands business company with limited liability, automatically converted, by operation of law, on a one-to-one basis into a share of Class A Common Stock.

F2: The securities disclosed in this Form 4 are owned by certain funds (the "Funds") managed by Third Point LLC ("Third Point"). Daniel S. Loeb is the Chief Executive Officer of Third Point. By reason of the provisions of Rules 13d-3 and 16a-1 under the Securities Exchange Act of 1934, as amended, Third Point and Mr. Loeb may be deemed to be the beneficial owners of the securities beneficially owned by the Funds. The filing of this statement shall not be deemed an admission that either of Third Point or Mr. Loeb are the beneficial owner of the securities reported herein for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise. Third Point and Mr. Loeb hereby disclaim beneficial ownership of all such securities, except to the extent of any indirect pecuniary interest therein.

Warrants to Acquire Class A Common StockSEC Table II · derivative / convertible security · Conversion / exercise price $11.50IndirectSee footnote4,500,000 Reported balance Holding disclosure · report date 2021-03-03 · row 2 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 2 · Balance 4,500,000

F3: The warrants to acquire Class A Common Stock (the "Warrants") entitle holders thereof to one-third of one Class A Common Share, exercisable in multiples of three Warrants at $11.50 per Class A Common Share, subject to the terms and conditions set forth in the Amended and Restated Warrant Instrument of the Issuer, dated October 2, 2020, as filed with the U.S. Securities and Exchange Commission as Exhibit 4.4 to the Post-Effective Amendment No. 1 to the Form S-4 Registration Statement of the Issuer on October 21, 2020. The Warrants will expire upon the earlier to occur of (i) 5:00 p.m. (New York City time) on February 10, 2023, and (ii) in the event that, prior to such anniversary, an acquisition offer satisfying certain criteria is made to all holders of Class A Common Stock, such earlier date as determined pursuant to the Warrant Instrument pursuant to which the Warrants are issued (or, in each case, if such day is not a trading day, the trading day immediately following such day).

F2: The securities disclosed in this Form 4 are owned by certain funds (the "Funds") managed by Third Point LLC ("Third Point"). Daniel S. Loeb is the Chief Executive Officer of Third Point. By reason of the provisions of Rules 13d-3 and 16a-1 under the Securities Exchange Act of 1934, as amended, Third Point and Mr. Loeb may be deemed to be the beneficial owners of the securities beneficially owned by the Funds. The filing of this statement shall not be deemed an admission that either of Third Point or Mr. Loeb are the beneficial owner of the securities reported herein for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise. Third Point and Mr. Loeb hereby disclaim beneficial ownership of all such securities, except to the extent of any indirect pecuniary interest therein.

Filing footnotes · ownership attribution and instrument terms

F1: The shares of Class A Common Stock, par value $0.0001 per share (the "Class A Common Stock"), of Radius Global Infrastructure, Inc. (the "Issuer") were acquired in connection with the Issuer's domestication as a Delaware corporation, pursuant to which each issued and outstanding ordinary share, no par value, of Digital Landscape Group, Inc., a British Virgin Islands business company with limited liability, automatically converted, by operation of law, on a one-to-one basis into a share of Class A Common Stock.

F2: The securities disclosed in this Form 4 are owned by certain funds (the "Funds") managed by Third Point LLC ("Third Point"). Daniel S. Loeb is the Chief Executive Officer of Third Point. By reason of the provisions of Rules 13d-3 and 16a-1 under the Securities Exchange Act of 1934, as amended, Third Point and Mr. Loeb may be deemed to be the beneficial owners of the securities beneficially owned by the Funds. The filing of this statement shall not be deemed an admission that either of Third Point or Mr. Loeb are the beneficial owner of the securities reported herein for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise. Third Point and Mr. Loeb hereby disclaim beneficial ownership of all such securities, except to the extent of any indirect pecuniary interest therein.

F3: The warrants to acquire Class A Common Stock (the "Warrants") entitle holders thereof to one-third of one Class A Common Share, exercisable in multiples of three Warrants at $11.50 per Class A Common Share, subject to the terms and conditions set forth in the Amended and Restated Warrant Instrument of the Issuer, dated October 2, 2020, as filed with the U.S. Securities and Exchange Commission as Exhibit 4.4 to the Post-Effective Amendment No. 1 to the Form S-4 Registration Statement of the Issuer on October 21, 2020. The Warrants will expire upon the earlier to occur of (i) 5:00 p.m. (New York City time) on February 10, 2023, and (ii) in the event that, prior to such anniversary, an acquisition offer satisfying certain criteria is made to all holders of Class A Common Stock, such earlier date as determined pursuant to the Warrant Instrument pursuant to which the Warrants are issued (or, in each case, if such day is not a trading day, the trading day immediately following such day).

SiriusPoint Ltd

Report date February 27, 2025 · Filed February 28, 2025

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Common shares, par value $0.10 per shareSEC Table I · non-derivativeIndirectSee footnote9,428,008 Last balance in matching sequence After 2025-02-27 transaction · row 3 Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
2 source rows

Row 2 · 2025-02-27 · Sale · Disposed 2,916,631 · Balance 10,618,008

F1: Represents sale of common shares, par value $0.10 per share, of the Issuer to the underwriter in connection with a registered secondary public offering, which closed on February 27, 2025.

F2: Represents the $14.00 registered secondary public offering price per common share, par value $0.10 per share, of the Issuer, less underwriting discounts of $0.29 per share, rounded to the nearest hundredth.

F3: By reason of the provisions of Rules 13d-3 and 16a-1 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), Mr. Loeb may be deemed to be the beneficial owner of the securities of the Issuer reported herein as indirectly beneficially owned thereby. Mr. Loeb disclaims beneficial ownership of all such securities except to the extent of any indirect pecuniary interest therein, and this report shall not be deemed to be an admission that Mr. Loeb is the beneficial owner of any of such securities or has any pecuniary interest therein for purposes of Section 16 of the Exchange Act and the rules promulgated thereunder or for any other purpose.

Row 3 · 2025-02-27 · Sale · Disposed 1,190,000 · Balance 9,428,008

F1: Represents sale of common shares, par value $0.10 per share, of the Issuer to the underwriter in connection with a registered secondary public offering, which closed on February 27, 2025.

F2: Represents the $14.00 registered secondary public offering price per common share, par value $0.10 per share, of the Issuer, less underwriting discounts of $0.29 per share, rounded to the nearest hundredth.

F3: By reason of the provisions of Rules 13d-3 and 16a-1 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), Mr. Loeb may be deemed to be the beneficial owner of the securities of the Issuer reported herein as indirectly beneficially owned thereby. Mr. Loeb disclaims beneficial ownership of all such securities except to the extent of any indirect pecuniary interest therein, and this report shall not be deemed to be an admission that Mr. Loeb is the beneficial owner of any of such securities or has any pecuniary interest therein for purposes of Section 16 of the Exchange Act and the rules promulgated thereunder or for any other purpose.

Common shares, par value $0.10 per shareSEC Table I · non-derivativeDirect1,640,654 Reported balance Holding disclosure · report date 2025-02-27 · row 1 Holding and transaction disclosures are not merged.
1 source row

Row 1 · Balance 1,640,654

Filing footnotes · ownership attribution and instrument terms

F1: Represents sale of common shares, par value $0.10 per share, of the Issuer to the underwriter in connection with a registered secondary public offering, which closed on February 27, 2025.

F2: Represents the $14.00 registered secondary public offering price per common share, par value $0.10 per share, of the Issuer, less underwriting discounts of $0.29 per share, rounded to the nearest hundredth.

F3: By reason of the provisions of Rules 13d-3 and 16a-1 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), Mr. Loeb may be deemed to be the beneficial owner of the securities of the Issuer reported herein as indirectly beneficially owned thereby. Mr. Loeb disclaims beneficial ownership of all such securities except to the extent of any indirect pecuniary interest therein, and this report shall not be deemed to be an admission that Mr. Loeb is the beneficial owner of any of such securities or has any pecuniary interest therein for purposes of Section 16 of the Exchange Act and the rules promulgated thereunder or for any other purpose.

Third Point Private Capital Partners

Report date April 07, 2026 · Filed April 17, 2026

Jointly reported with Third Point LLC

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Class I Common Shares, par value $0.001 per shareSEC Table I · non-derivativeIndirectSee Footnotes1,601,000 Reported balance Holding disclosure · report date 2026-04-07 · row 1 Holding and transaction disclosures are not merged.
1 source row

Row 1 · Balance 1,601,000

F1: The Class I Common Shares, par value $0.001 per share ("Common Shares"), of Third Point Private Capital Partners (the "Issuer") were acquired by Delticus Opportunities Fund LLC ("Delticus") pursuant to that certain Subscription Agreement, dated as of April 7, 2026, by and between Delticus and the Issuer (the "Subscription Agreement"), the form of which was previously filed as Exhibit 10.7 to the Issuer's Registration Statement on Form 10, as filed with the SEC on April 21, 2025. Pursuant to the Subscription Agreement, on April 7, 2026, Delticus purchased and acquired from the Issuer 1,600,000 Common Shares in exchange for the payment to the Issuer of an aggregate amount of $40,000,000, as more fully described in the Issuer's Current Report on Form 8-K, as filed with the SEC on April 13, 2026.

F2: The securities of the Issuer reported herein include the 1,600,000 Common Shares described in Footnote 1 and the 1,000 Common Shares held directly by Third Point Private Capital LLC, which serves as the investment advisor to the Issuer (the "Advisor"). The acquisition of such Common Shares by the Advisor was previously reported by the Advisor on the Form 3 filed with the SEC on January 15, 2026.

F3: The Advisor and Delticus are managed or advised by Third Point LLC ("Third Point"). Daniel S. Loeb is the Chief Executive Officer of Third Point. By reason of the provisions of Rule 13d-3 and under the Securities Exchange Act of 1934, as amended, Third Point and Mr. Loeb may be deemed to be the beneficial owners of the securities held by or on behalf of the Advisor and Delticus. Third Point and Mr. Loeb each hereby disclaims beneficial ownership of all such securities, except to the extent of any indirect pecuniary interest therein.

Filing footnotes · ownership attribution and instrument terms

F1: The Class I Common Shares, par value $0.001 per share ("Common Shares"), of Third Point Private Capital Partners (the "Issuer") were acquired by Delticus Opportunities Fund LLC ("Delticus") pursuant to that certain Subscription Agreement, dated as of April 7, 2026, by and between Delticus and the Issuer (the "Subscription Agreement"), the form of which was previously filed as Exhibit 10.7 to the Issuer's Registration Statement on Form 10, as filed with the SEC on April 21, 2025. Pursuant to the Subscription Agreement, on April 7, 2026, Delticus purchased and acquired from the Issuer 1,600,000 Common Shares in exchange for the payment to the Issuer of an aggregate amount of $40,000,000, as more fully described in the Issuer's Current Report on Form 8-K, as filed with the SEC on April 13, 2026.

F2: The securities of the Issuer reported herein include the 1,600,000 Common Shares described in Footnote 1 and the 1,000 Common Shares held directly by Third Point Private Capital LLC, which serves as the investment advisor to the Issuer (the "Advisor"). The acquisition of such Common Shares by the Advisor was previously reported by the Advisor on the Form 3 filed with the SEC on January 15, 2026.

F3: The Advisor and Delticus are managed or advised by Third Point LLC ("Third Point"). Daniel S. Loeb is the Chief Executive Officer of Third Point. By reason of the provisions of Rule 13d-3 and under the Securities Exchange Act of 1934, as amended, Third Point and Mr. Loeb may be deemed to be the beneficial owners of the securities held by or on behalf of the Advisor and Delticus. Third Point and Mr. Loeb each hereby disclaims beneficial ownership of all such securities, except to the extent of any indirect pecuniary interest therein.

Past disclosures · reporting ended (8)

No longer tracked through insider filings. These historical balances do not imply present ownership or a zero position.

Apigee Corp

Report date November 10, 2016 · Filed November 15, 2016

Jointly reported with Third Point LLC

Section 16 reporting ended · disclosed 2016-11-15. Current position is not established by this disclosure.

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Common Stock, $0.001 par value per shareSEC Table I · non-derivativeIndirectSee footnote0 Reported balance After 2016-11-10 transaction · row 1 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source row

Row 1 · 2016-11-10 · Other · Disposed 3,166,551 · Balance 0

F1: The securities subject to the transactions disclosed in this Form 4 are owned by certain funds (the "Funds") managed by Third Point LLC ("Third Point"). Daniel S. Loeb is the Chief Executive Officer of Third Point. By reason of the provisions of Rule 16a-1 under the Securities Exchange Act of 1934, as amended, Third Point and Mr. Loeb may be deemed to be the beneficial owners of the securities beneficially owned by the Funds. Third Point and Mr. Loeb hereby disclaim beneficial ownership of all such securities, except to the extent of any indirect pecuniary interest therein.

Filing footnotes · ownership attribution and instrument terms

F1: The securities subject to the transactions disclosed in this Form 4 are owned by certain funds (the "Funds") managed by Third Point LLC ("Third Point"). Daniel S. Loeb is the Chief Executive Officer of Third Point. By reason of the provisions of Rule 16a-1 under the Securities Exchange Act of 1934, as amended, Third Point and Mr. Loeb may be deemed to be the beneficial owners of the securities beneficially owned by the Funds. Third Point and Mr. Loeb hereby disclaim beneficial ownership of all such securities, except to the extent of any indirect pecuniary interest therein.

BAXTER INTERNATIONAL INC

Report date May 16, 2019 · Filed May 17, 2019

Jointly reported with Third Point LLC

Section 16 reporting ended · disclosed 2019-05-17. Current position is not established by this disclosure.

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Common Stock, par value $1.00 per share ("Common Stock")SEC Table I · non-derivativeIndirectSee Footnote23,008,124.8167 Reported balance After 2019-05-16 transaction · row 1 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source row

Row 1 · 2019-05-16 · Sale · Disposed 5,000,000 · Balance 23,008,124.8167

F1: Includes (1) 6,290 stock options granted to Munib Islam which became exercisable on the date of the Issuer's 2016 annual meeting of stockholders at an exercise price of $32.85 and (2) 44.8167 shares accumulated from stock dividends on restricted stock units previously awarded to Mr. Islam.

F2: Except as otherwise noted herein, the securities disclosed in this Form 4 are owned by certain funds (the "Funds") managed by Third Point LLC ("Third Point"). Daniel S. Loeb is the Chief Executive Officer of Third Point. By reason of the provisions of Rule 16a-l under the Securities Exchange Act of 1934, as amended, Third Point and Mr. Loeb may be deemed to be the beneficial owners of the securities beneficially owned by the Funds. Third Point and Mr. Loeb hereby disclaim beneficial ownership of all securities, except to the extent of any indirect pecuniary interest therein.

Filing footnotes · ownership attribution and instrument terms

F1: Includes (1) 6,290 stock options granted to Munib Islam which became exercisable on the date of the Issuer's 2016 annual meeting of stockholders at an exercise price of $32.85 and (2) 44.8167 shares accumulated from stock dividends on restricted stock units previously awarded to Mr. Islam.

F2: Except as otherwise noted herein, the securities disclosed in this Form 4 are owned by certain funds (the "Funds") managed by Third Point LLC ("Third Point"). Daniel S. Loeb is the Chief Executive Officer of Third Point. By reason of the provisions of Rule 16a-l under the Securities Exchange Act of 1934, as amended, Third Point and Mr. Loeb may be deemed to be the beneficial owners of the securities beneficially owned by the Funds. Third Point and Mr. Loeb hereby disclaim beneficial ownership of all securities, except to the extent of any indirect pecuniary interest therein.

Far Point Acquisition Corp

Report date August 28, 2020 · Filed September 04, 2020

Jointly reported with Third Point LLC, Far Point LLC, Cloudbreak Aggregator LP

Section 16 reporting ended · disclosed 2020-09-04. Current position is not established by this disclosure.

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Class A Common StockSEC Table I · non-derivativeIndirectSee Footnote10,421,052 Reported balance After 2020-08-28 transaction · row 1 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source row

Row 1 · 2020-08-28 · Purchase · Acquired 6,421,052 · Balance 10,421,052

F1: Represents shares of Class A Common Stock purchased by Cloudbreak Aggregator LP ("Cloudbreak") pursuant to the Forward Purchase Agreement, dated as of May 18, 2018 between Issuer and Cloudbreak.

F2: The securities disclosed in this Form 4 are held on behalf of certain funds (the "Funds") managed or advised by Third Point. Daniel S. Loeb is the Chief Executive Officer of Third Point LLC ("Third Point"). By reason of the provisions of Rule 16a-1 under the Securities Exchange Act of 1934, as amended, Third Point and Mr. Loeb may be deemed to be the beneficial owners of the securities held on behalf of the Funds. Third Point and Mr. Loeb hereby disclaim beneficial ownership of all securities, except to the extent of any indirect pecuniary interest therein.

Class A Common StockSEC Table I · non-derivativeIndirectSee Footnote0 Reported balance After 2020-08-28 transaction · row 2 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source row

Row 2 · 2020-08-28 · Other · Disposed 10,421,052 · Balance 0

F3: Pursuant to the terms of an Agreement and Plan of Merger, dated as of January 16, 2020 (the "Merger Agreement"), by and among the Issuer, SL Globetrotter, L.P. ("Globetrotter"), Global Blue Group Holding AG ("New Global Blue") and other parties identified therein, each share of the Issuer's Class A Common Stock outstanding immediately prior to the effective time of the Merger (excluding shares of Class A Common Stock redeemed by holders of such shares pursuant to the terms of the Issuer's amended and restated certificate of incorporation) converted into the right to receive one ordinary share of New Global Blue. The transactions (the "Business Combination") contemplated by the Merger Agreement closed on August 28, 2020.

F2: The securities disclosed in this Form 4 are held on behalf of certain funds (the "Funds") managed or advised by Third Point. Daniel S. Loeb is the Chief Executive Officer of Third Point LLC ("Third Point"). By reason of the provisions of Rule 16a-1 under the Securities Exchange Act of 1934, as amended, Third Point and Mr. Loeb may be deemed to be the beneficial owners of the securities held on behalf of the Funds. Third Point and Mr. Loeb hereby disclaim beneficial ownership of all securities, except to the extent of any indirect pecuniary interest therein.

F4: Far Point LLC and its managing member, Cloudbreak, do not have any voting or dispositive power over 4,000,000 of these shares of the Issuer's Class A Common Stock, which are held on behalf of the Funds, and disclaim beneficial ownership of such securities.

Class B Common StockSEC Table II · derivative / convertible securityIndirectSee Footnote10,692,500 Reported balance After 2020-08-28 transaction · row 3 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 3 · 2020-08-28 · Other · Disposed 5,000,000 · Balance 10,692,500

F5: As described in the Issuer's registration statement on Form S-1 (File No. 333-225093) under the heading "Description of Securities--Founder Shares", the shares of Class B common stock will automatically convert into shares of Class A common stock on a one-for-one basis at the time of the Business Combination, and have no expiration date.

F6: Represents shares of Class B Common Stock held by Far Point LLC that were forfeited and were cancelled in connection with the Business Combination.

F2: The securities disclosed in this Form 4 are held on behalf of certain funds (the "Funds") managed or advised by Third Point. Daniel S. Loeb is the Chief Executive Officer of Third Point LLC ("Third Point"). By reason of the provisions of Rule 16a-1 under the Securities Exchange Act of 1934, as amended, Third Point and Mr. Loeb may be deemed to be the beneficial owners of the securities held on behalf of the Funds. Third Point and Mr. Loeb hereby disclaim beneficial ownership of all securities, except to the extent of any indirect pecuniary interest therein.

Class B Common StockSEC Table II · derivative / convertible securityIndirectSee Footnote0 Reported balance After 2020-08-28 transaction · row 4 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 4 · 2020-08-28 · Other · Disposed 10,692,500 · Balance 0

F5: As described in the Issuer's registration statement on Form S-1 (File No. 333-225093) under the heading "Description of Securities--Founder Shares", the shares of Class B common stock will automatically convert into shares of Class A common stock on a one-for-one basis at the time of the Business Combination, and have no expiration date.

F7: Represents shares of Class B Common Stock held by Far Point LLC that converted into shares of New Global Blue in connection with the Business Combination.

F8: Immediately following the Business Combination, and pursuant to the terms of the Merger Agreement and that certain Letter Agreement, dated as of August 16, 2020 by and among SL Globetrotter, L.P., Global Blue Group AG, Global Blue Group Holding AG, Global Blue US Holdco LLC, Global Blue US Merger Sub Inc. and Global Blue Holding L.P., Cloudbreak Aggregator LP, Far Point LLC, Third Point Ventures LLC (as nominee of the TP Funds), Third Point Offshore Master Fund L.P., Third Point Ultra Master Fund L.P., Third Point Partners Qualified L.P., Third Point Partners L.P. and Third Point Enhanced L.P (the "Letter Agreement"), all 10,692,500 of these ordinary shares of New Global Blue were transferred to Globetrotter or its designees, other than a total of 4,316,321 ordinary shares of New Global Blue which were transferred to Thomas W. Farley and David Bonanno.

F2: The securities disclosed in this Form 4 are held on behalf of certain funds (the "Funds") managed or advised by Third Point. Daniel S. Loeb is the Chief Executive Officer of Third Point LLC ("Third Point"). By reason of the provisions of Rule 16a-1 under the Securities Exchange Act of 1934, as amended, Third Point and Mr. Loeb may be deemed to be the beneficial owners of the securities held on behalf of the Funds. Third Point and Mr. Loeb hereby disclaim beneficial ownership of all securities, except to the extent of any indirect pecuniary interest therein.

WarrantsSEC Table II · derivative / convertible securityIndirectSee Footnote0 Reported balance After 2020-08-28 transaction · row 5 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 5 · 2020-08-28 · Other · Disposed 9,766,667 · Balance 0

F10: The warrants will become exercisable 30 days after the completion of the Business Combination. The warrants will expire five years after the completion of the Business Combination or earlier upon redemption or liquidation. Upon conversion into warrants of New Global Blue in connection with the Business Combination, each whole warrant will entitle the holder thereof to purchase one ordinary share of New Global Blue at a price of $11.50 per share (subject to adjustment).

F9: Represents private warrants that converted into the same number of warrants of New Global Blue in connection with the Business Combination, and immediately thereafter, all such New Global Blue warrants were transferred to Globetrotter or its designees pursuant to the terms of the Letter Agreement.

F2: The securities disclosed in this Form 4 are held on behalf of certain funds (the "Funds") managed or advised by Third Point. Daniel S. Loeb is the Chief Executive Officer of Third Point LLC ("Third Point"). By reason of the provisions of Rule 16a-1 under the Securities Exchange Act of 1934, as amended, Third Point and Mr. Loeb may be deemed to be the beneficial owners of the securities held on behalf of the Funds. Third Point and Mr. Loeb hereby disclaim beneficial ownership of all securities, except to the extent of any indirect pecuniary interest therein.

WarrantsSEC Table II · derivative / convertible securityIndirectSee Footnote0 Reported balance After 2020-08-28 transaction · row 6 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 6 · 2020-08-28 · Other · Disposed 1,333,333 · Balance 0

F10: The warrants will become exercisable 30 days after the completion of the Business Combination. The warrants will expire five years after the completion of the Business Combination or earlier upon redemption or liquidation. Upon conversion into warrants of New Global Blue in connection with the Business Combination, each whole warrant will entitle the holder thereof to purchase one ordinary share of New Global Blue at a price of $11.50 per share (subject to adjustment).

F11: Represents warrants underlying the 4,000,000 units purchased in connection with the Issuer's initial public offering which converted into the same number of warrants of New Global Blue in connection with the Business Combination.

F2: The securities disclosed in this Form 4 are held on behalf of certain funds (the "Funds") managed or advised by Third Point. Daniel S. Loeb is the Chief Executive Officer of Third Point LLC ("Third Point"). By reason of the provisions of Rule 16a-1 under the Securities Exchange Act of 1934, as amended, Third Point and Mr. Loeb may be deemed to be the beneficial owners of the securities held on behalf of the Funds. Third Point and Mr. Loeb hereby disclaim beneficial ownership of all securities, except to the extent of any indirect pecuniary interest therein.

F4: Far Point LLC and its managing member, Cloudbreak, do not have any voting or dispositive power over 4,000,000 of these shares of the Issuer's Class A Common Stock, which are held on behalf of the Funds, and disclaim beneficial ownership of such securities.

Filing footnotes · ownership attribution and instrument terms

F1: Represents shares of Class A Common Stock purchased by Cloudbreak Aggregator LP ("Cloudbreak") pursuant to the Forward Purchase Agreement, dated as of May 18, 2018 between Issuer and Cloudbreak.

F2: The securities disclosed in this Form 4 are held on behalf of certain funds (the "Funds") managed or advised by Third Point. Daniel S. Loeb is the Chief Executive Officer of Third Point LLC ("Third Point"). By reason of the provisions of Rule 16a-1 under the Securities Exchange Act of 1934, as amended, Third Point and Mr. Loeb may be deemed to be the beneficial owners of the securities held on behalf of the Funds. Third Point and Mr. Loeb hereby disclaim beneficial ownership of all securities, except to the extent of any indirect pecuniary interest therein.

F3: Pursuant to the terms of an Agreement and Plan of Merger, dated as of January 16, 2020 (the "Merger Agreement"), by and among the Issuer, SL Globetrotter, L.P. ("Globetrotter"), Global Blue Group Holding AG ("New Global Blue") and other parties identified therein, each share of the Issuer's Class A Common Stock outstanding immediately prior to the effective time of the Merger (excluding shares of Class A Common Stock redeemed by holders of such shares pursuant to the terms of the Issuer's amended and restated certificate of incorporation) converted into the right to receive one ordinary share of New Global Blue. The transactions (the "Business Combination") contemplated by the Merger Agreement closed on August 28, 2020.

F4: Far Point LLC and its managing member, Cloudbreak, do not have any voting or dispositive power over 4,000,000 of these shares of the Issuer's Class A Common Stock, which are held on behalf of the Funds, and disclaim beneficial ownership of such securities.

F5: As described in the Issuer's registration statement on Form S-1 (File No. 333-225093) under the heading "Description of Securities--Founder Shares", the shares of Class B common stock will automatically convert into shares of Class A common stock on a one-for-one basis at the time of the Business Combination, and have no expiration date.

F6: Represents shares of Class B Common Stock held by Far Point LLC that were forfeited and were cancelled in connection with the Business Combination.

F7: Represents shares of Class B Common Stock held by Far Point LLC that converted into shares of New Global Blue in connection with the Business Combination.

F8: Immediately following the Business Combination, and pursuant to the terms of the Merger Agreement and that certain Letter Agreement, dated as of August 16, 2020 by and among SL Globetrotter, L.P., Global Blue Group AG, Global Blue Group Holding AG, Global Blue US Holdco LLC, Global Blue US Merger Sub Inc. and Global Blue Holding L.P., Cloudbreak Aggregator LP, Far Point LLC, Third Point Ventures LLC (as nominee of the TP Funds), Third Point Offshore Master Fund L.P., Third Point Ultra Master Fund L.P., Third Point Partners Qualified L.P., Third Point Partners L.P. and Third Point Enhanced L.P (the "Letter Agreement"), all 10,692,500 of these ordinary shares of New Global Blue were transferred to Globetrotter or its designees, other than a total of 4,316,321 ordinary shares of New Global Blue which were transferred to Thomas W. Farley and David Bonanno.

F9: Represents private warrants that converted into the same number of warrants of New Global Blue in connection with the Business Combination, and immediately thereafter, all such New Global Blue warrants were transferred to Globetrotter or its designees pursuant to the terms of the Letter Agreement.

F10: The warrants will become exercisable 30 days after the completion of the Business Combination. The warrants will expire five years after the completion of the Business Combination or earlier upon redemption or liquidation. Upon conversion into warrants of New Global Blue in connection with the Business Combination, each whole warrant will entitle the holder thereof to purchase one ordinary share of New Global Blue at a price of $11.50 per share (subject to adjustment).

F11: Represents warrants underlying the 4,000,000 units purchased in connection with the Issuer's initial public offering which converted into the same number of warrants of New Global Blue in connection with the Business Combination.

Fintech Acquisition Corp V

Report date November 11, 2021 · Filed November 15, 2021

Jointly reported with Third Point LLC

Section 16 reporting ended · disclosed 2021-11-15. Current position is not established by this disclosure.

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Class A common stock, $0.0001 par valueSEC Table I · non-derivativeIndirectSee footnote2,511,225 Last balance in matching sequence After 2021-11-15 transaction · row 3 Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
3 source rows

Row 1 · 2021-11-11 · Sale · Disposed 63,778 · Balance 2,936,222

F2: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $10.525 to approximately $10.69, inclusive. The Reporting Persons undertake to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote 2 to this Form 4.

F1: The securities disclosed in this Form 4 are owned by certain funds (the "Funds") managed by Third Point LLC ("Third Point"). Daniel S. Loeb is the Chief Executive Officer of Third Point. By reason of the provisions of Rules 13d-3 and 16a-1 under the Securities Exchange Act of 1934, as amended, Third Point and Mr. Loeb may be deemed to be the beneficial owners of the securities beneficially owned by the Funds. The filing of this statement shall not be deemed an admission that either of Third Point or Mr. Loeb are the beneficial owner of the securities reported herein for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise. Third Point and Mr. Loeb hereby disclaim beneficial ownership of all such securities, except to the extent of any indirect pecuniary interest therein.

Row 2 · 2021-11-12 · Sale · Disposed 179,557 · Balance 2,756,665

F3: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $10.40 to approximately $10.725, inclusive. The Reporting Persons undertake to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote 3 to this Form 4.

F1: The securities disclosed in this Form 4 are owned by certain funds (the "Funds") managed by Third Point LLC ("Third Point"). Daniel S. Loeb is the Chief Executive Officer of Third Point. By reason of the provisions of Rules 13d-3 and 16a-1 under the Securities Exchange Act of 1934, as amended, Third Point and Mr. Loeb may be deemed to be the beneficial owners of the securities beneficially owned by the Funds. The filing of this statement shall not be deemed an admission that either of Third Point or Mr. Loeb are the beneficial owner of the securities reported herein for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise. Third Point and Mr. Loeb hereby disclaim beneficial ownership of all such securities, except to the extent of any indirect pecuniary interest therein.

Row 3 · 2021-11-15 · Sale · Disposed 245,440 · Balance 2,511,225

F4: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $10.43 to approximately $10.63, inclusive. The Reporting Persons undertake to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote 4 to this Form 4.

F1: The securities disclosed in this Form 4 are owned by certain funds (the "Funds") managed by Third Point LLC ("Third Point"). Daniel S. Loeb is the Chief Executive Officer of Third Point. By reason of the provisions of Rules 13d-3 and 16a-1 under the Securities Exchange Act of 1934, as amended, Third Point and Mr. Loeb may be deemed to be the beneficial owners of the securities beneficially owned by the Funds. The filing of this statement shall not be deemed an admission that either of Third Point or Mr. Loeb are the beneficial owner of the securities reported herein for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise. Third Point and Mr. Loeb hereby disclaim beneficial ownership of all such securities, except to the extent of any indirect pecuniary interest therein.

Filing footnotes · ownership attribution and instrument terms

F1: The securities disclosed in this Form 4 are owned by certain funds (the "Funds") managed by Third Point LLC ("Third Point"). Daniel S. Loeb is the Chief Executive Officer of Third Point. By reason of the provisions of Rules 13d-3 and 16a-1 under the Securities Exchange Act of 1934, as amended, Third Point and Mr. Loeb may be deemed to be the beneficial owners of the securities beneficially owned by the Funds. The filing of this statement shall not be deemed an admission that either of Third Point or Mr. Loeb are the beneficial owner of the securities reported herein for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise. Third Point and Mr. Loeb hereby disclaim beneficial ownership of all such securities, except to the extent of any indirect pecuniary interest therein.

F2: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $10.525 to approximately $10.69, inclusive. The Reporting Persons undertake to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote 2 to this Form 4.

F3: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $10.40 to approximately $10.725, inclusive. The Reporting Persons undertake to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote 3 to this Form 4.

F4: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $10.43 to approximately $10.63, inclusive. The Reporting Persons undertake to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote 4 to this Form 4.

Section 16 reporting ended · disclosed 2018-06-26. Current position is not established by this disclosure.

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Common StockSEC Table I · non-derivativeIndirectSee Footnotes942,789 Reported balance After 2018-06-26 transaction · row 2 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source row

Row 2 · 2018-06-26 · Sale · Disposed 7,140,233 · Balance 942,789

F3: The shares were sold by each of the Funds pursuant to an underwritten public offering, which closed on June 26, 2018.

F4: The selling price of such shares was $9.0725, which represents the price to the public less the underwriting discounts and commissions.

F1: The securities disclosed in this Form 4 are owned by (i) certain funds (the "Funds") managed by Third Point LLC ("Third Point") and by (ii) Third Point Reinsurance Company Ltd. ("Third Point Re") and Third Point Reinsurance (USA) Ltd. ("Third Point Re US"), with respect to which Third Point LLC is the investment manager. Daniel S. Loeb is the Chief Executive Officer of Third Point. By reason of the provisions of Rule 16a-1 under the Securities Exchange Act of 1934, as amended (the "Act"), Third Point and Mr. Loeb may be deemed to be the beneficial owners of the securities beneficially owned by the Funds and by Third Point Re and Third Point Re US.

F2: Third Point and Mr. Loeb each disclaims beneficial ownership of these securities except to the extent of any indirect pecuniary interest therein, and this report shall not be deemed to be an admission that Third Point or Mr. Loeb is the beneficial owner of these securities for purposes of Section 16 of the Act, and the rules promulgated thereunder or for any other purpose. Each of Third Point Partners L.P. ("Third Point LP"), Third Point Partners Qualified L.P. ("Third Point Qualified"), Third Point Offshore Master Fund L.P. ("Third Point Offshore"), Third Point Ultra Master Fund L.P. ("Third Point Ultra"), Third Point Re and Third Point Re US hereby disclaims beneficial ownership of any securities reported herein other than those which it directly holds, for purposes of Section 16 of the Act and the rules promulgated thereunder or for any other purpose.

Common Stock, par value $0.01 per share ("Common Stock")SEC Table I · non-derivativeDirect128,245 Reported balance Holding disclosure · report date 2018-06-26 · row 1 Holding and transaction disclosures are not merged.
1 source row

Row 1 · Balance 128,245

Filing footnotes · ownership attribution and instrument terms

F1: The securities disclosed in this Form 4 are owned by (i) certain funds (the "Funds") managed by Third Point LLC ("Third Point") and by (ii) Third Point Reinsurance Company Ltd. ("Third Point Re") and Third Point Reinsurance (USA) Ltd. ("Third Point Re US"), with respect to which Third Point LLC is the investment manager. Daniel S. Loeb is the Chief Executive Officer of Third Point. By reason of the provisions of Rule 16a-1 under the Securities Exchange Act of 1934, as amended (the "Act"), Third Point and Mr. Loeb may be deemed to be the beneficial owners of the securities beneficially owned by the Funds and by Third Point Re and Third Point Re US.

F2: Third Point and Mr. Loeb each disclaims beneficial ownership of these securities except to the extent of any indirect pecuniary interest therein, and this report shall not be deemed to be an admission that Third Point or Mr. Loeb is the beneficial owner of these securities for purposes of Section 16 of the Act, and the rules promulgated thereunder or for any other purpose. Each of Third Point Partners L.P. ("Third Point LP"), Third Point Partners Qualified L.P. ("Third Point Qualified"), Third Point Offshore Master Fund L.P. ("Third Point Offshore"), Third Point Ultra Master Fund L.P. ("Third Point Ultra"), Third Point Re and Third Point Re US hereby disclaims beneficial ownership of any securities reported herein other than those which it directly holds, for purposes of Section 16 of the Act and the rules promulgated thereunder or for any other purpose.

F3: The shares were sold by each of the Funds pursuant to an underwritten public offering, which closed on June 26, 2018.

F4: The selling price of such shares was $9.0725, which represents the price to the public less the underwriting discounts and commissions.

SOTHEBYS

Report date October 03, 2019 · Filed October 04, 2019

Jointly reported with Third Point LLC

Section 16 reporting ended · disclosed 2019-10-04. Current position is not established by this disclosure.

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Common Stock, par value $0.01 per shareSEC Table I · non-derivativeIndirectSee Remarks0 Reported balance After 2019-10-03 transaction · row 1 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source row

Row 1 · 2019-10-03 · Disposition to issuer · Disposed 6,668,765 · Balance 0

F1: Pursuant to the Agreement and Plan of Merger dated as of June 16, 2019, by and among BidFair USA, Inc. (formerly a limited liability company known as BidFair USA LLC), BidFair MergeRight, Inc. and the Issuer, each share of the Issuer's Common Stock held by the reporting persons was converted into the right to receive $57 in cash at the effective time of the merger.

F2: Other than the 7,161 shares granted as quarterly director compensation to Mr. Loeb in the aggregate since August 15, 2016 which are held directly by Mr. Loeb as reported above, the remainder of the securities reported in this Form 4 are held indirectly as described in the remarks below.

Filing footnotes · ownership attribution and instrument terms

F1: Pursuant to the Agreement and Plan of Merger dated as of June 16, 2019, by and among BidFair USA, Inc. (formerly a limited liability company known as BidFair USA LLC), BidFair MergeRight, Inc. and the Issuer, each share of the Issuer's Common Stock held by the reporting persons was converted into the right to receive $57 in cash at the effective time of the merger.

F2: Other than the 7,161 shares granted as quarterly director compensation to Mr. Loeb in the aggregate since August 15, 2016 which are held directly by Mr. Loeb as reported above, the remainder of the securities reported in this Form 4 are held indirectly as described in the remarks below.

SentinelOne, Inc.

Report date June 16, 2022 · Filed June 21, 2022

Jointly reported with Third Point LLC

Section 16 reporting ended · disclosed 2022-06-21. Current position is not established by this disclosure.

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Class A common stock, par value $0.0001 per shareSEC Table I · non-derivativeIndirectSee footnotes659,939 Last balance in matching sequence After 2022-06-16 transaction · row 2 Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
2 source rows

Row 1 · 2022-06-16 · Sale · Disposed 635,723 · Balance 674,216

F3: See Exhibit 99.1

F1: See Exhibit 99.1

F2: See Exhibit 99.1

Row 2 · 2022-06-16 · Sale · Disposed 14,277 · Balance 659,939

F4: See Exhibit 99.1

F1: See Exhibit 99.1

F2: See Exhibit 99.1

Filing footnotes · ownership attribution and instrument terms

F1: See Exhibit 99.1

F2: See Exhibit 99.1

F3: See Exhibit 99.1

F4: See Exhibit 99.1

Upstart Holdings, Inc.

Report date December 03, 2021 · Filed December 03, 2021

Jointly reported with Third Point LLC

Section 16 reporting ended · disclosed 2021-12-03. Current position is not established by this disclosure.

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Common StockSEC Table I · non-derivativeIndirectSee footnote8,100,000 Last balance in matching sequence After 2021-12-03 transaction · row 23 Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
23 source rows

Row 1 · 2021-12-03 · Sale · Disposed 21,298 · Balance 8,473,702

F2: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $167.785 to $168.78, inclusive. The Reporting Persons undertake to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote 2 to this Form 4.

F1: The shares of Common Stock, par value $0.0001 per share of the Issuer (the "Common Stock") set forth herein are held by or on behalf of certain funds (the "Funds") managed or advised by Third Point LLC ("Third Point"). Daniel S. Loeb is the Chief Executive Officer of Third Point. By reason of the provisions of Rule 13d-3 under the Securities Exchange Act of 1934, as amended, Third Point and Mr. Loeb may be deemed to be the beneficial owners of the securities beneficially owned by the Funds. Third Point and Mr. Loeb hereby disclaim beneficial ownership of all such securities, except to the extent of any indirect pecuniary interest therein.

Row 2 · 2021-12-03 · Sale · Disposed 14,717 · Balance 8,458,985

F3: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $168.85 to $169.72, inclusive. The Reporting Persons undertake to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote 3 to this Form 4.

F1: The shares of Common Stock, par value $0.0001 per share of the Issuer (the "Common Stock") set forth herein are held by or on behalf of certain funds (the "Funds") managed or advised by Third Point LLC ("Third Point"). Daniel S. Loeb is the Chief Executive Officer of Third Point. By reason of the provisions of Rule 13d-3 under the Securities Exchange Act of 1934, as amended, Third Point and Mr. Loeb may be deemed to be the beneficial owners of the securities beneficially owned by the Funds. Third Point and Mr. Loeb hereby disclaim beneficial ownership of all such securities, except to the extent of any indirect pecuniary interest therein.

Row 3 · 2021-12-03 · Sale · Disposed 30,342 · Balance 8,428,643

F4: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $169.94 to $170.74, inclusive. The Reporting Persons undertake to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote 4 to this Form 4.

F1: The shares of Common Stock, par value $0.0001 per share of the Issuer (the "Common Stock") set forth herein are held by or on behalf of certain funds (the "Funds") managed or advised by Third Point LLC ("Third Point"). Daniel S. Loeb is the Chief Executive Officer of Third Point. By reason of the provisions of Rule 13d-3 under the Securities Exchange Act of 1934, as amended, Third Point and Mr. Loeb may be deemed to be the beneficial owners of the securities beneficially owned by the Funds. Third Point and Mr. Loeb hereby disclaim beneficial ownership of all such securities, except to the extent of any indirect pecuniary interest therein.

Row 4 · 2021-12-03 · Sale · Disposed 17,467 · Balance 8,411,176

F5: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $170.80 to $171.77, inclusive. The Reporting Persons undertake to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote 5 to this Form 4.

F1: The shares of Common Stock, par value $0.0001 per share of the Issuer (the "Common Stock") set forth herein are held by or on behalf of certain funds (the "Funds") managed or advised by Third Point LLC ("Third Point"). Daniel S. Loeb is the Chief Executive Officer of Third Point. By reason of the provisions of Rule 13d-3 under the Securities Exchange Act of 1934, as amended, Third Point and Mr. Loeb may be deemed to be the beneficial owners of the securities beneficially owned by the Funds. Third Point and Mr. Loeb hereby disclaim beneficial ownership of all such securities, except to the extent of any indirect pecuniary interest therein.

Row 5 · 2021-12-03 · Sale · Disposed 300 · Balance 8,410,876

F6: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $171.825 to $171.88, inclusive. The Reporting Persons undertake to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote 6 to this Form 4.

F1: The shares of Common Stock, par value $0.0001 per share of the Issuer (the "Common Stock") set forth herein are held by or on behalf of certain funds (the "Funds") managed or advised by Third Point LLC ("Third Point"). Daniel S. Loeb is the Chief Executive Officer of Third Point. By reason of the provisions of Rule 13d-3 under the Securities Exchange Act of 1934, as amended, Third Point and Mr. Loeb may be deemed to be the beneficial owners of the securities beneficially owned by the Funds. Third Point and Mr. Loeb hereby disclaim beneficial ownership of all such securities, except to the extent of any indirect pecuniary interest therein.

Row 6 · 2021-12-03 · Sale · Disposed 33,688 · Balance 8,377,188

F7: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $173.005 to $173.75, inclusive. The Reporting Persons undertake to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote 7 to this Form 4.

F1: The shares of Common Stock, par value $0.0001 per share of the Issuer (the "Common Stock") set forth herein are held by or on behalf of certain funds (the "Funds") managed or advised by Third Point LLC ("Third Point"). Daniel S. Loeb is the Chief Executive Officer of Third Point. By reason of the provisions of Rule 13d-3 under the Securities Exchange Act of 1934, as amended, Third Point and Mr. Loeb may be deemed to be the beneficial owners of the securities beneficially owned by the Funds. Third Point and Mr. Loeb hereby disclaim beneficial ownership of all such securities, except to the extent of any indirect pecuniary interest therein.

Row 7 · 2021-12-03 · Sale · Disposed 12,584 · Balance 8,364,604

F8: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $173.79 to $174.72, inclusive. The Reporting Persons undertake to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote 8 to this Form 4.

F1: The shares of Common Stock, par value $0.0001 per share of the Issuer (the "Common Stock") set forth herein are held by or on behalf of certain funds (the "Funds") managed or advised by Third Point LLC ("Third Point"). Daniel S. Loeb is the Chief Executive Officer of Third Point. By reason of the provisions of Rule 13d-3 under the Securities Exchange Act of 1934, as amended, Third Point and Mr. Loeb may be deemed to be the beneficial owners of the securities beneficially owned by the Funds. Third Point and Mr. Loeb hereby disclaim beneficial ownership of all such securities, except to the extent of any indirect pecuniary interest therein.

Row 8 · 2021-12-03 · Sale · Disposed 1,400 · Balance 8,363,204

F9: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $175.14 to $175.42, inclusive. The Reporting Persons undertake to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote 9 to this Form 4.

F1: The shares of Common Stock, par value $0.0001 per share of the Issuer (the "Common Stock") set forth herein are held by or on behalf of certain funds (the "Funds") managed or advised by Third Point LLC ("Third Point"). Daniel S. Loeb is the Chief Executive Officer of Third Point. By reason of the provisions of Rule 13d-3 under the Securities Exchange Act of 1934, as amended, Third Point and Mr. Loeb may be deemed to be the beneficial owners of the securities beneficially owned by the Funds. Third Point and Mr. Loeb hereby disclaim beneficial ownership of all such securities, except to the extent of any indirect pecuniary interest therein.

Row 9 · 2021-12-03 · Sale · Disposed 5,664 · Balance 8,357,540

F10: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $175.83 to $176.78, inclusive. The Reporting Persons undertake to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote 10 to this Form 4.

F1: The shares of Common Stock, par value $0.0001 per share of the Issuer (the "Common Stock") set forth herein are held by or on behalf of certain funds (the "Funds") managed or advised by Third Point LLC ("Third Point"). Daniel S. Loeb is the Chief Executive Officer of Third Point. By reason of the provisions of Rule 13d-3 under the Securities Exchange Act of 1934, as amended, Third Point and Mr. Loeb may be deemed to be the beneficial owners of the securities beneficially owned by the Funds. Third Point and Mr. Loeb hereby disclaim beneficial ownership of all such securities, except to the extent of any indirect pecuniary interest therein.

Row 10 · 2021-12-03 · Sale · Disposed 40,763 · Balance 8,316,777

F11: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $176.79 to $177.78, inclusive. The Reporting Persons undertake to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote 11 to this Form 4.

F1: The shares of Common Stock, par value $0.0001 per share of the Issuer (the "Common Stock") set forth herein are held by or on behalf of certain funds (the "Funds") managed or advised by Third Point LLC ("Third Point"). Daniel S. Loeb is the Chief Executive Officer of Third Point. By reason of the provisions of Rule 13d-3 under the Securities Exchange Act of 1934, as amended, Third Point and Mr. Loeb may be deemed to be the beneficial owners of the securities beneficially owned by the Funds. Third Point and Mr. Loeb hereby disclaim beneficial ownership of all such securities, except to the extent of any indirect pecuniary interest therein.

Row 11 · 2021-12-03 · Sale · Disposed 54,398 · Balance 8,262,379

F12: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $177.79 to $178.75, inclusive. The Reporting Persons undertake to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote 12 to this Form 4.

F1: The shares of Common Stock, par value $0.0001 per share of the Issuer (the "Common Stock") set forth herein are held by or on behalf of certain funds (the "Funds") managed or advised by Third Point LLC ("Third Point"). Daniel S. Loeb is the Chief Executive Officer of Third Point. By reason of the provisions of Rule 13d-3 under the Securities Exchange Act of 1934, as amended, Third Point and Mr. Loeb may be deemed to be the beneficial owners of the securities beneficially owned by the Funds. Third Point and Mr. Loeb hereby disclaim beneficial ownership of all such securities, except to the extent of any indirect pecuniary interest therein.

Row 12 · 2021-12-03 · Sale · Disposed 31,773 · Balance 8,230,606

F13: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $178.79 to $179.78, inclusive. The Reporting Persons undertake to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote 13 to this Form 4.

F1: The shares of Common Stock, par value $0.0001 per share of the Issuer (the "Common Stock") set forth herein are held by or on behalf of certain funds (the "Funds") managed or advised by Third Point LLC ("Third Point"). Daniel S. Loeb is the Chief Executive Officer of Third Point. By reason of the provisions of Rule 13d-3 under the Securities Exchange Act of 1934, as amended, Third Point and Mr. Loeb may be deemed to be the beneficial owners of the securities beneficially owned by the Funds. Third Point and Mr. Loeb hereby disclaim beneficial ownership of all such securities, except to the extent of any indirect pecuniary interest therein.

Row 13 · 2021-12-03 · Sale · Disposed 13,066 · Balance 8,217,540

F14: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $179.79 to $180.67, inclusive. The Reporting Persons undertake to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote 14 to this Form 4.

F1: The shares of Common Stock, par value $0.0001 per share of the Issuer (the "Common Stock") set forth herein are held by or on behalf of certain funds (the "Funds") managed or advised by Third Point LLC ("Third Point"). Daniel S. Loeb is the Chief Executive Officer of Third Point. By reason of the provisions of Rule 13d-3 under the Securities Exchange Act of 1934, as amended, Third Point and Mr. Loeb may be deemed to be the beneficial owners of the securities beneficially owned by the Funds. Third Point and Mr. Loeb hereby disclaim beneficial ownership of all such securities, except to the extent of any indirect pecuniary interest therein.

Row 14 · 2021-12-03 · Sale · Disposed 2,375 · Balance 8,215,165

F15: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $181.08 to $181.78, inclusive. The Reporting Persons undertake to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote 15 to this Form 4.

F1: The shares of Common Stock, par value $0.0001 per share of the Issuer (the "Common Stock") set forth herein are held by or on behalf of certain funds (the "Funds") managed or advised by Third Point LLC ("Third Point"). Daniel S. Loeb is the Chief Executive Officer of Third Point. By reason of the provisions of Rule 13d-3 under the Securities Exchange Act of 1934, as amended, Third Point and Mr. Loeb may be deemed to be the beneficial owners of the securities beneficially owned by the Funds. Third Point and Mr. Loeb hereby disclaim beneficial ownership of all such securities, except to the extent of any indirect pecuniary interest therein.

Row 15 · 2021-12-03 · Sale · Disposed 12,500 · Balance 8,202,665

F16: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $181.79 to $182.05, inclusive. The Reporting Persons undertake to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote 16 to this Form 4.

F1: The shares of Common Stock, par value $0.0001 per share of the Issuer (the "Common Stock") set forth herein are held by or on behalf of certain funds (the "Funds") managed or advised by Third Point LLC ("Third Point"). Daniel S. Loeb is the Chief Executive Officer of Third Point. By reason of the provisions of Rule 13d-3 under the Securities Exchange Act of 1934, as amended, Third Point and Mr. Loeb may be deemed to be the beneficial owners of the securities beneficially owned by the Funds. Third Point and Mr. Loeb hereby disclaim beneficial ownership of all such securities, except to the extent of any indirect pecuniary interest therein.

Row 16 · 2021-12-03 · Sale · Disposed 34,642 · Balance 8,168,023

F17: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $183.00 to $183.77, inclusive. The Reporting Persons undertake to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote 17 to this Form 4.

F1: The shares of Common Stock, par value $0.0001 per share of the Issuer (the "Common Stock") set forth herein are held by or on behalf of certain funds (the "Funds") managed or advised by Third Point LLC ("Third Point"). Daniel S. Loeb is the Chief Executive Officer of Third Point. By reason of the provisions of Rule 13d-3 under the Securities Exchange Act of 1934, as amended, Third Point and Mr. Loeb may be deemed to be the beneficial owners of the securities beneficially owned by the Funds. Third Point and Mr. Loeb hereby disclaim beneficial ownership of all such securities, except to the extent of any indirect pecuniary interest therein.

Row 17 · 2021-12-03 · Sale · Disposed 9,467 · Balance 8,158,556

F18: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $183.83 to $184.74, inclusive. The Reporting Persons undertake to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote 18 to this Form 4.

F1: The shares of Common Stock, par value $0.0001 per share of the Issuer (the "Common Stock") set forth herein are held by or on behalf of certain funds (the "Funds") managed or advised by Third Point LLC ("Third Point"). Daniel S. Loeb is the Chief Executive Officer of Third Point. By reason of the provisions of Rule 13d-3 under the Securities Exchange Act of 1934, as amended, Third Point and Mr. Loeb may be deemed to be the beneficial owners of the securities beneficially owned by the Funds. Third Point and Mr. Loeb hereby disclaim beneficial ownership of all such securities, except to the extent of any indirect pecuniary interest therein.

Row 18 · 2021-12-03 · Sale · Disposed 2,300 · Balance 8,156,256

F19: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $186.675 to $186.75, inclusive. The Reporting Persons undertake to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote 19 to this Form 4.

F1: The shares of Common Stock, par value $0.0001 per share of the Issuer (the "Common Stock") set forth herein are held by or on behalf of certain funds (the "Funds") managed or advised by Third Point LLC ("Third Point"). Daniel S. Loeb is the Chief Executive Officer of Third Point. By reason of the provisions of Rule 13d-3 under the Securities Exchange Act of 1934, as amended, Third Point and Mr. Loeb may be deemed to be the beneficial owners of the securities beneficially owned by the Funds. Third Point and Mr. Loeb hereby disclaim beneficial ownership of all such securities, except to the extent of any indirect pecuniary interest therein.

Row 19 · 2021-12-03 · Sale · Disposed 12,431 · Balance 8,143,825

F20: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $186.82 to $187.75, inclusive. The Reporting Persons undertake to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote 20 to this Form 4.

F1: The shares of Common Stock, par value $0.0001 per share of the Issuer (the "Common Stock") set forth herein are held by or on behalf of certain funds (the "Funds") managed or advised by Third Point LLC ("Third Point"). Daniel S. Loeb is the Chief Executive Officer of Third Point. By reason of the provisions of Rule 13d-3 under the Securities Exchange Act of 1934, as amended, Third Point and Mr. Loeb may be deemed to be the beneficial owners of the securities beneficially owned by the Funds. Third Point and Mr. Loeb hereby disclaim beneficial ownership of all such securities, except to the extent of any indirect pecuniary interest therein.

Row 20 · 2021-12-03 · Sale · Disposed 22,374 · Balance 8,121,451

F21: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $187.87 to $188.75, inclusive. The Reporting Persons undertake to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote 21 to this Form 4.

F1: The shares of Common Stock, par value $0.0001 per share of the Issuer (the "Common Stock") set forth herein are held by or on behalf of certain funds (the "Funds") managed or advised by Third Point LLC ("Third Point"). Daniel S. Loeb is the Chief Executive Officer of Third Point. By reason of the provisions of Rule 13d-3 under the Securities Exchange Act of 1934, as amended, Third Point and Mr. Loeb may be deemed to be the beneficial owners of the securities beneficially owned by the Funds. Third Point and Mr. Loeb hereby disclaim beneficial ownership of all such securities, except to the extent of any indirect pecuniary interest therein.

Row 21 · 2021-12-03 · Sale · Disposed 10,051 · Balance 8,111,400

F22: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $188.81 to $189.625, inclusive. The Reporting Persons undertake to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote 22 to this Form 4.

F1: The shares of Common Stock, par value $0.0001 per share of the Issuer (the "Common Stock") set forth herein are held by or on behalf of certain funds (the "Funds") managed or advised by Third Point LLC ("Third Point"). Daniel S. Loeb is the Chief Executive Officer of Third Point. By reason of the provisions of Rule 13d-3 under the Securities Exchange Act of 1934, as amended, Third Point and Mr. Loeb may be deemed to be the beneficial owners of the securities beneficially owned by the Funds. Third Point and Mr. Loeb hereby disclaim beneficial ownership of all such securities, except to the extent of any indirect pecuniary interest therein.

Row 22 · 2021-12-03 · Sale · Disposed 10,600 · Balance 8,100,800

F23: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $189.805 to $190.57, inclusive. The Reporting Persons undertake to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote 23 to this Form 4.

F1: The shares of Common Stock, par value $0.0001 per share of the Issuer (the "Common Stock") set forth herein are held by or on behalf of certain funds (the "Funds") managed or advised by Third Point LLC ("Third Point"). Daniel S. Loeb is the Chief Executive Officer of Third Point. By reason of the provisions of Rule 13d-3 under the Securities Exchange Act of 1934, as amended, Third Point and Mr. Loeb may be deemed to be the beneficial owners of the securities beneficially owned by the Funds. Third Point and Mr. Loeb hereby disclaim beneficial ownership of all such securities, except to the extent of any indirect pecuniary interest therein.

Row 23 · 2021-12-03 · Sale · Disposed 800 · Balance 8,100,000

F24: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $190.985 to $191.38, inclusive. The Reporting Persons undertake to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote 24 to this Form 4.

F1: The shares of Common Stock, par value $0.0001 per share of the Issuer (the "Common Stock") set forth herein are held by or on behalf of certain funds (the "Funds") managed or advised by Third Point LLC ("Third Point"). Daniel S. Loeb is the Chief Executive Officer of Third Point. By reason of the provisions of Rule 13d-3 under the Securities Exchange Act of 1934, as amended, Third Point and Mr. Loeb may be deemed to be the beneficial owners of the securities beneficially owned by the Funds. Third Point and Mr. Loeb hereby disclaim beneficial ownership of all such securities, except to the extent of any indirect pecuniary interest therein.

Filing footnotes · ownership attribution and instrument terms

F1: The shares of Common Stock, par value $0.0001 per share of the Issuer (the "Common Stock") set forth herein are held by or on behalf of certain funds (the "Funds") managed or advised by Third Point LLC ("Third Point"). Daniel S. Loeb is the Chief Executive Officer of Third Point. By reason of the provisions of Rule 13d-3 under the Securities Exchange Act of 1934, as amended, Third Point and Mr. Loeb may be deemed to be the beneficial owners of the securities beneficially owned by the Funds. Third Point and Mr. Loeb hereby disclaim beneficial ownership of all such securities, except to the extent of any indirect pecuniary interest therein.

F2: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $167.785 to $168.78, inclusive. The Reporting Persons undertake to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote 2 to this Form 4.

F3: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $168.85 to $169.72, inclusive. The Reporting Persons undertake to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote 3 to this Form 4.

F4: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $169.94 to $170.74, inclusive. The Reporting Persons undertake to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote 4 to this Form 4.

F5: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $170.80 to $171.77, inclusive. The Reporting Persons undertake to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote 5 to this Form 4.

F6: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $171.825 to $171.88, inclusive. The Reporting Persons undertake to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote 6 to this Form 4.

F7: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $173.005 to $173.75, inclusive. The Reporting Persons undertake to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote 7 to this Form 4.

F8: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $173.79 to $174.72, inclusive. The Reporting Persons undertake to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote 8 to this Form 4.

F9: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $175.14 to $175.42, inclusive. The Reporting Persons undertake to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote 9 to this Form 4.

F10: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $175.83 to $176.78, inclusive. The Reporting Persons undertake to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote 10 to this Form 4.

F11: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $176.79 to $177.78, inclusive. The Reporting Persons undertake to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote 11 to this Form 4.

F12: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $177.79 to $178.75, inclusive. The Reporting Persons undertake to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote 12 to this Form 4.

F13: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $178.79 to $179.78, inclusive. The Reporting Persons undertake to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote 13 to this Form 4.

F14: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $179.79 to $180.67, inclusive. The Reporting Persons undertake to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote 14 to this Form 4.

F15: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $181.08 to $181.78, inclusive. The Reporting Persons undertake to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote 15 to this Form 4.

F16: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $181.79 to $182.05, inclusive. The Reporting Persons undertake to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote 16 to this Form 4.

F17: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $183.00 to $183.77, inclusive. The Reporting Persons undertake to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote 17 to this Form 4.

F18: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $183.83 to $184.74, inclusive. The Reporting Persons undertake to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote 18 to this Form 4.

F19: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $186.675 to $186.75, inclusive. The Reporting Persons undertake to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote 19 to this Form 4.

F20: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $186.82 to $187.75, inclusive. The Reporting Persons undertake to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote 20 to this Form 4.

F21: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $187.87 to $188.75, inclusive. The Reporting Persons undertake to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote 21 to this Form 4.

F22: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $188.81 to $189.625, inclusive. The Reporting Persons undertake to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote 22 to this Form 4.

F23: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $189.805 to $190.57, inclusive. The Reporting Persons undertake to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote 23 to this Form 4.

F24: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $190.985 to $191.38, inclusive. The Reporting Persons undertake to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote 24 to this Form 4.

Transaction history

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Purchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”

The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.

Transaction dateCompanyActivity / securityShares / unitsReported priceReported valueDetails
July 02, 2021 Filed Jul 7, 2021 20:55 UTC SentinelOne, Inc. S · Entity 3695 PurchaseClass A common stock, par value $0.0001 per share 922,116 $43.73 $40,322,657.29
Disclosure

SEC source: 0001567619-21-013073 · doc1.xml · nonDerivative · entry 3

Loeb Daniel S · CIK 0001300345 · 10% owner · See Footnote 1

Third Point LLC · CIK 0001040273 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · By Third Point Ventures, LLC.

Disclosed balance after: 1,765,691

F4 · price: See Exhibit 99.1.

F1 · ownership.nature: See Exhibit 99.1.

F2 · ownership.nature: See Exhibit 99.1.

F3 · ownership.nature: See Exhibit 99.1.

Read SEC document
July 02, 2021 Filed Jul 7, 2021 20:55 UTC SentinelOne, Inc. S · Entity 3695 PurchaseClass A common stock, par value $0.0001 per share 700,000 $35.00 $24,500,000.00
Disclosure

SEC source: 0001567619-21-013073 · doc1.xml · nonDerivative · entry 2

Loeb Daniel S · CIK 0001300345 · 10% owner · See Footnote 1

Third Point LLC · CIK 0001040273 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · By Third Point Ventures, LLC.

Disclosed balance after: 843,575

F3 · price: See Exhibit 99.1.

F1 · ownership.nature: See Exhibit 99.1.

F2 · ownership.nature: See Exhibit 99.1.

F3 · ownership.nature: See Exhibit 99.1.

Read SEC document
July 02, 2021 Filed Jul 7, 2021 20:55 UTC SentinelOne, Inc. S · Entity 3695 PurchaseClass A common stock, par value $0.0001 per share 143,575 $35.00 $5,025,125.00
Disclosure

SEC source: 0001567619-21-013073 · doc1.xml · nonDerivative · entry 1

Loeb Daniel S · CIK 0001300345 · 10% owner · See Footnote 1

Third Point LLC · CIK 0001040273 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · By Third Point Ventures, LLC.

Disclosed balance after: 143,575

F3 · price: See Exhibit 99.1.

F1 · ownership.nature: See Exhibit 99.1.

F2 · ownership.nature: See Exhibit 99.1.

F3 · ownership.nature: See Exhibit 99.1.

Read SEC document
April 09, 2021 Filed Jul 7, 2021 20:55 UTC SentinelOne, Inc. S · Entity 3695 PurchaseClass B common stock, par value $0.0001 per share · Derivative 62,041 $23.00 $1,426,943.00
Disclosure

SEC source: 0001567619-21-013073 · doc1.xml · derivative · entry 5

Loeb Daniel S · CIK 0001300345 · 10% owner · See Footnote 1

Third Point LLC · CIK 0001040273 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · By Third Point Ventures, LLC.

Disclosed balance after: 62,041

Underlying: Class A common stock, par value $0.0001 per share · 62,041 shares

Expires not disclosed

F2 · derivative.exercise_price: See Exhibit 99.1.

F2 · derivative.exercise_date: See Exhibit 99.1.

F2 · derivative.expiration_date: See Exhibit 99.1.

F1 · ownership.nature: See Exhibit 99.1.

F2 · ownership.nature: See Exhibit 99.1.

F3 · ownership.nature: See Exhibit 99.1.

Read SEC document
March 25, 2021 Filed Mar 29, 2021 21:02 UTC Fintech Acquisition Corp V FTCV · Entity 128691 PurchaseClass A common stock, $0.0001 par value 85,546 $11.48 $982,307.61
Disclosure

SEC source: 0001567619-21-007132 · doc1.xml · nonDerivative · entry 1

Loeb Daniel S · CIK 0001300345 · 10% owner

Third Point LLC · CIK 0001040273 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 3,000,000

F1 · ownership.nature: The securities disclosed in this Form 4 are owned by certain funds (the "Funds") managed by Third Point LLC ("Third Point"). Daniel S. Loeb is the Chief Executive Officer of Third Point. By reason of the provisions of Rules 13d-3 and 16a-1 under the Securities Exchange Act of 1934, as amended, Third Point and Mr. Loeb may be deemed to be the beneficial owners of the securities beneficially owned by the Funds. The filing of this statement shall not be deemed an admission that either of Third Point or Mr. Loeb are the beneficial owner of the securities reported herein for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise. Third Point and Mr. Loeb hereby disclaim beneficial ownership of all such securities, except to the extent of any indirect pecuniary interest therein.

Read SEC document
March 03, 2021 Filed Mar 5, 2021 22:01 UTC Radius Global Infrastructure, Inc. RADI · Entity 109517 SaleClass A Common Stock 4,527 $12.43 $56,263.82
Disclosure

SEC source: 0001567619-21-005748 · doc1.xml · nonDerivative · entry 1

Loeb Daniel S · CIK 0001300345 · 10% owner

Third Point LLC · CIK 0001040273 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 4,495,473

F1 · security: The shares of Class A Common Stock, par value $0.0001 per share (the "Class A Common Stock"), of Radius Global Infrastructure, Inc. (the "Issuer") were acquired in connection with the Issuer's domestication as a Delaware corporation, pursuant to which each issued and outstanding ordinary share, no par value, of Digital Landscape Group, Inc., a British Virgin Islands business company with limited liability, automatically converted, by operation of law, on a one-to-one basis into a share of Class A Common Stock.

F2 · ownership.nature: The securities disclosed in this Form 4 are owned by certain funds (the "Funds") managed by Third Point LLC ("Third Point"). Daniel S. Loeb is the Chief Executive Officer of Third Point. By reason of the provisions of Rules 13d-3 and 16a-1 under the Securities Exchange Act of 1934, as amended, Third Point and Mr. Loeb may be deemed to be the beneficial owners of the securities beneficially owned by the Funds. The filing of this statement shall not be deemed an admission that either of Third Point or Mr. Loeb are the beneficial owner of the securities reported herein for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise. Third Point and Mr. Loeb hereby disclaim beneficial ownership of all such securities, except to the extent of any indirect pecuniary interest therein.

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December 18, 2020 Filed Dec 22, 2020 22:00 UTC Upstart Holdings, Inc. UPST · Entity 4306 ConversionSeries C-1 Convertible Preferred Stock (Common Stock) · Derivative 5,235,426 $0.00 $0.00
Disclosure

SEC source: 0001567619-20-021491 · doc1.xml · derivative · entry 5

Loeb Daniel S · CIK 0001300345 · 10% owner · See Footnote 1

Third Point LLC · CIK 0001040273 · 10% owner · See Footnote 1

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · By Third Point Ventures, LLC.

Disclosed balance after: 0

Underlying: Common Stock · 5,235,426 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · derivative.exercise_price: In connection with the Issuer's initial public offering of Common Stock, par value $0.0001 per share (the "Common Stock"), each share of the Issuer's Series C Convertible Preferred Stock and Series C-1 Convertible Preferred Stock held by Third Point Ventures was automatically converted into one share of Common Stock immediately prior to the consummation of the Issuer's initial public offering.

F2 · derivative.exercise_date: In connection with the Issuer's initial public offering of Common Stock, par value $0.0001 per share (the "Common Stock"), each share of the Issuer's Series C Convertible Preferred Stock and Series C-1 Convertible Preferred Stock held by Third Point Ventures was automatically converted into one share of Common Stock immediately prior to the consummation of the Issuer's initial public offering.

F2 · derivative.expiration_date: In connection with the Issuer's initial public offering of Common Stock, par value $0.0001 per share (the "Common Stock"), each share of the Issuer's Series C Convertible Preferred Stock and Series C-1 Convertible Preferred Stock held by Third Point Ventures was automatically converted into one share of Common Stock immediately prior to the consummation of the Issuer's initial public offering.

F1 · ownership.nature: The securities of the Issuer set forth herein are directly beneficially owned by Third Point Ventures, LLC ("Third Point Ventures"). Third Point Ventures is an affiliate of Third Point LLC ("Third Point"). Daniel S. Loeb is the Chief Executive Officer of Third Point. By reason of the provisions of Rule 13d-3 under the Securities Exchange Act of 1934, as amended, Third Point and Mr. Loeb may be deemed to be the beneficial owners of the securities beneficially owned by Third Point Ventures. Third Point and Mr. Loeb hereby disclaim beneficial ownership of all such securities, except to the extent of any indirect pecuniary interest therein.

F2 · ownership.nature: In connection with the Issuer's initial public offering of Common Stock, par value $0.0001 per share (the "Common Stock"), each share of the Issuer's Series C Convertible Preferred Stock and Series C-1 Convertible Preferred Stock held by Third Point Ventures was automatically converted into one share of Common Stock immediately prior to the consummation of the Issuer's initial public offering.

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December 18, 2020 Filed Dec 22, 2020 22:00 UTC Upstart Holdings, Inc. UPST · Entity 4306 ConversionSeries C Convertible Preferred Stock · Derivative 6,945,796 $0.00 $0.00
Disclosure

SEC source: 0001567619-20-021491 · doc1.xml · derivative · entry 4

Loeb Daniel S · CIK 0001300345 · 10% owner · See Footnote 1

Third Point LLC · CIK 0001040273 · 10% owner · See Footnote 1

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · By Third Point Ventures, LLC.

Disclosed balance after: 0

Underlying: Common Stock · 6,945,796 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · derivative.exercise_price: In connection with the Issuer's initial public offering of Common Stock, par value $0.0001 per share (the "Common Stock"), each share of the Issuer's Series C Convertible Preferred Stock and Series C-1 Convertible Preferred Stock held by Third Point Ventures was automatically converted into one share of Common Stock immediately prior to the consummation of the Issuer's initial public offering.

F2 · derivative.exercise_date: In connection with the Issuer's initial public offering of Common Stock, par value $0.0001 per share (the "Common Stock"), each share of the Issuer's Series C Convertible Preferred Stock and Series C-1 Convertible Preferred Stock held by Third Point Ventures was automatically converted into one share of Common Stock immediately prior to the consummation of the Issuer's initial public offering.

F2 · derivative.expiration_date: In connection with the Issuer's initial public offering of Common Stock, par value $0.0001 per share (the "Common Stock"), each share of the Issuer's Series C Convertible Preferred Stock and Series C-1 Convertible Preferred Stock held by Third Point Ventures was automatically converted into one share of Common Stock immediately prior to the consummation of the Issuer's initial public offering.

F1 · ownership.nature: The securities of the Issuer set forth herein are directly beneficially owned by Third Point Ventures, LLC ("Third Point Ventures"). Third Point Ventures is an affiliate of Third Point LLC ("Third Point"). Daniel S. Loeb is the Chief Executive Officer of Third Point. By reason of the provisions of Rule 13d-3 under the Securities Exchange Act of 1934, as amended, Third Point and Mr. Loeb may be deemed to be the beneficial owners of the securities beneficially owned by Third Point Ventures. Third Point and Mr. Loeb hereby disclaim beneficial ownership of all such securities, except to the extent of any indirect pecuniary interest therein.

F2 · ownership.nature: In connection with the Issuer's initial public offering of Common Stock, par value $0.0001 per share (the "Common Stock"), each share of the Issuer's Series C Convertible Preferred Stock and Series C-1 Convertible Preferred Stock held by Third Point Ventures was automatically converted into one share of Common Stock immediately prior to the consummation of the Issuer's initial public offering.

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December 18, 2020 Filed Dec 22, 2020 22:00 UTC Upstart Holdings, Inc. UPST · Entity 4306 PurchaseCommon Stock 1,200,000 $20.00 $24,000,000.00
Disclosure

SEC source: 0001567619-20-021491 · doc1.xml · nonDerivative · entry 3

Loeb Daniel S · CIK 0001300345 · 10% owner · See Footnote 1

Third Point LLC · CIK 0001040273 · 10% owner · See Footnote 1

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · By Third Point Ventures, LLC.

Disclosed balance after: 13,381,222

F1 · ownership.nature: The securities of the Issuer set forth herein are directly beneficially owned by Third Point Ventures, LLC ("Third Point Ventures"). Third Point Ventures is an affiliate of Third Point LLC ("Third Point"). Daniel S. Loeb is the Chief Executive Officer of Third Point. By reason of the provisions of Rule 13d-3 under the Securities Exchange Act of 1934, as amended, Third Point and Mr. Loeb may be deemed to be the beneficial owners of the securities beneficially owned by Third Point Ventures. Third Point and Mr. Loeb hereby disclaim beneficial ownership of all such securities, except to the extent of any indirect pecuniary interest therein.

F3 · ownership.nature: In connection with the Issuer's initial public offering of Common Stock, Third Point Ventures purchased additional shares of Common Stock from the underwriters at the initial public offering price as set forth herein.

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December 18, 2020 Filed Dec 22, 2020 22:00 UTC Upstart Holdings, Inc. UPST · Entity 4306 ConversionCommon Stock 5,235,426 Not disclosed Not disclosed
Disclosure

SEC source: 0001567619-20-021491 · doc1.xml · nonDerivative · entry 2

Loeb Daniel S · CIK 0001300345 · 10% owner · See Footnote 1

Third Point LLC · CIK 0001040273 · 10% owner · See Footnote 1

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · By Third Point Ventures, LLC.

Disclosed balance after: 12,181,222

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · price: In connection with the Issuer's initial public offering of Common Stock, par value $0.0001 per share (the "Common Stock"), each share of the Issuer's Series C Convertible Preferred Stock and Series C-1 Convertible Preferred Stock held by Third Point Ventures was automatically converted into one share of Common Stock immediately prior to the consummation of the Issuer's initial public offering.

F1 · ownership.nature: The securities of the Issuer set forth herein are directly beneficially owned by Third Point Ventures, LLC ("Third Point Ventures"). Third Point Ventures is an affiliate of Third Point LLC ("Third Point"). Daniel S. Loeb is the Chief Executive Officer of Third Point. By reason of the provisions of Rule 13d-3 under the Securities Exchange Act of 1934, as amended, Third Point and Mr. Loeb may be deemed to be the beneficial owners of the securities beneficially owned by Third Point Ventures. Third Point and Mr. Loeb hereby disclaim beneficial ownership of all such securities, except to the extent of any indirect pecuniary interest therein.

F2 · ownership.nature: In connection with the Issuer's initial public offering of Common Stock, par value $0.0001 per share (the "Common Stock"), each share of the Issuer's Series C Convertible Preferred Stock and Series C-1 Convertible Preferred Stock held by Third Point Ventures was automatically converted into one share of Common Stock immediately prior to the consummation of the Issuer's initial public offering.

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December 18, 2020 Filed Dec 22, 2020 22:00 UTC Upstart Holdings, Inc. UPST · Entity 4306 ConversionCommon Stock 6,945,796 Not disclosed Not disclosed
Disclosure

SEC source: 0001567619-20-021491 · doc1.xml · nonDerivative · entry 1

Loeb Daniel S · CIK 0001300345 · 10% owner · See Footnote 1

Third Point LLC · CIK 0001040273 · 10% owner · See Footnote 1

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · By Third Point Ventures, LLC.

Disclosed balance after: 6,945,796

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · price: In connection with the Issuer's initial public offering of Common Stock, par value $0.0001 per share (the "Common Stock"), each share of the Issuer's Series C Convertible Preferred Stock and Series C-1 Convertible Preferred Stock held by Third Point Ventures was automatically converted into one share of Common Stock immediately prior to the consummation of the Issuer's initial public offering.

F1 · ownership.nature: The securities of the Issuer set forth herein are directly beneficially owned by Third Point Ventures, LLC ("Third Point Ventures"). Third Point Ventures is an affiliate of Third Point LLC ("Third Point"). Daniel S. Loeb is the Chief Executive Officer of Third Point. By reason of the provisions of Rule 13d-3 under the Securities Exchange Act of 1934, as amended, Third Point and Mr. Loeb may be deemed to be the beneficial owners of the securities beneficially owned by Third Point Ventures. Third Point and Mr. Loeb hereby disclaim beneficial ownership of all such securities, except to the extent of any indirect pecuniary interest therein.

F2 · ownership.nature: In connection with the Issuer's initial public offering of Common Stock, par value $0.0001 per share (the "Common Stock"), each share of the Issuer's Series C Convertible Preferred Stock and Series C-1 Convertible Preferred Stock held by Third Point Ventures was automatically converted into one share of Common Stock immediately prior to the consummation of the Issuer's initial public offering.

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August 28, 2020 Filed Sep 4, 2020 20:04 UTC Far Point Acquisition Corp FPAC · Entity 146770 OtherWarrants · Derivative 1,333,333 Not disclosed Not disclosed
Disclosure

SEC source: 0001104659-20-102617 · tm2030273-1_4.xml · derivative · entry 6

Third Point LLC · CIK 0001040273 · 10% owner

Loeb Daniel S · CIK 0001300345 · 10% owner

Far Point LLC · CIK 0001739799 · 10% owner

Cloudbreak Aggregator LP · CIK 0001743247 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 0

Underlying: Class A Common Stock · 1,333,333 shares

Expires not disclosed

F10 · derivative.exercise_price: The warrants will become exercisable 30 days after the completion of the Business Combination. The warrants will expire five years after the completion of the Business Combination or earlier upon redemption or liquidation. Upon conversion into warrants of New Global Blue in connection with the Business Combination, each whole warrant will entitle the holder thereof to purchase one ordinary share of New Global Blue at a price of $11.50 per share (subject to adjustment).

F11 · kind: Represents warrants underlying the 4,000,000 units purchased in connection with the Issuer's initial public offering which converted into the same number of warrants of New Global Blue in connection with the Business Combination.

F10 · price: The warrants will become exercisable 30 days after the completion of the Business Combination. The warrants will expire five years after the completion of the Business Combination or earlier upon redemption or liquidation. Upon conversion into warrants of New Global Blue in connection with the Business Combination, each whole warrant will entitle the holder thereof to purchase one ordinary share of New Global Blue at a price of $11.50 per share (subject to adjustment).

F10 · derivative.exercise_date: The warrants will become exercisable 30 days after the completion of the Business Combination. The warrants will expire five years after the completion of the Business Combination or earlier upon redemption or liquidation. Upon conversion into warrants of New Global Blue in connection with the Business Combination, each whole warrant will entitle the holder thereof to purchase one ordinary share of New Global Blue at a price of $11.50 per share (subject to adjustment).

F10 · derivative.expiration_date: The warrants will become exercisable 30 days after the completion of the Business Combination. The warrants will expire five years after the completion of the Business Combination or earlier upon redemption or liquidation. Upon conversion into warrants of New Global Blue in connection with the Business Combination, each whole warrant will entitle the holder thereof to purchase one ordinary share of New Global Blue at a price of $11.50 per share (subject to adjustment).

F2 · ownership.direct: The securities disclosed in this Form 4 are held on behalf of certain funds (the "Funds") managed or advised by Third Point. Daniel S. Loeb is the Chief Executive Officer of Third Point LLC ("Third Point"). By reason of the provisions of Rule 16a-1 under the Securities Exchange Act of 1934, as amended, Third Point and Mr. Loeb may be deemed to be the beneficial owners of the securities held on behalf of the Funds. Third Point and Mr. Loeb hereby disclaim beneficial ownership of all securities, except to the extent of any indirect pecuniary interest therein.

F4 · ownership.direct: Far Point LLC and its managing member, Cloudbreak, do not have any voting or dispositive power over 4,000,000 of these shares of the Issuer's Class A Common Stock, which are held on behalf of the Funds, and disclaim beneficial ownership of such securities.

F2 · ownership.nature: The securities disclosed in this Form 4 are held on behalf of certain funds (the "Funds") managed or advised by Third Point. Daniel S. Loeb is the Chief Executive Officer of Third Point LLC ("Third Point"). By reason of the provisions of Rule 16a-1 under the Securities Exchange Act of 1934, as amended, Third Point and Mr. Loeb may be deemed to be the beneficial owners of the securities held on behalf of the Funds. Third Point and Mr. Loeb hereby disclaim beneficial ownership of all securities, except to the extent of any indirect pecuniary interest therein.

F4 · ownership.nature: Far Point LLC and its managing member, Cloudbreak, do not have any voting or dispositive power over 4,000,000 of these shares of the Issuer's Class A Common Stock, which are held on behalf of the Funds, and disclaim beneficial ownership of such securities.

Read SEC document
August 28, 2020 Filed Sep 4, 2020 20:04 UTC Far Point Acquisition Corp FPAC · Entity 146770 OtherWarrants · Derivative 9,766,667 Not disclosed Not disclosed
Disclosure

SEC source: 0001104659-20-102617 · tm2030273-1_4.xml · derivative · entry 5

Third Point LLC · CIK 0001040273 · 10% owner

Loeb Daniel S · CIK 0001300345 · 10% owner

Far Point LLC · CIK 0001739799 · 10% owner

Cloudbreak Aggregator LP · CIK 0001743247 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 0

Underlying: Class A Common Stock · 9,766,667 shares

Expires not disclosed

F10 · derivative.exercise_price: The warrants will become exercisable 30 days after the completion of the Business Combination. The warrants will expire five years after the completion of the Business Combination or earlier upon redemption or liquidation. Upon conversion into warrants of New Global Blue in connection with the Business Combination, each whole warrant will entitle the holder thereof to purchase one ordinary share of New Global Blue at a price of $11.50 per share (subject to adjustment).

F9 · kind: Represents private warrants that converted into the same number of warrants of New Global Blue in connection with the Business Combination, and immediately thereafter, all such New Global Blue warrants were transferred to Globetrotter or its designees pursuant to the terms of the Letter Agreement.

F10 · price: The warrants will become exercisable 30 days after the completion of the Business Combination. The warrants will expire five years after the completion of the Business Combination or earlier upon redemption or liquidation. Upon conversion into warrants of New Global Blue in connection with the Business Combination, each whole warrant will entitle the holder thereof to purchase one ordinary share of New Global Blue at a price of $11.50 per share (subject to adjustment).

F10 · derivative.exercise_date: The warrants will become exercisable 30 days after the completion of the Business Combination. The warrants will expire five years after the completion of the Business Combination or earlier upon redemption or liquidation. Upon conversion into warrants of New Global Blue in connection with the Business Combination, each whole warrant will entitle the holder thereof to purchase one ordinary share of New Global Blue at a price of $11.50 per share (subject to adjustment).

F10 · derivative.expiration_date: The warrants will become exercisable 30 days after the completion of the Business Combination. The warrants will expire five years after the completion of the Business Combination or earlier upon redemption or liquidation. Upon conversion into warrants of New Global Blue in connection with the Business Combination, each whole warrant will entitle the holder thereof to purchase one ordinary share of New Global Blue at a price of $11.50 per share (subject to adjustment).

F2 · ownership.direct: The securities disclosed in this Form 4 are held on behalf of certain funds (the "Funds") managed or advised by Third Point. Daniel S. Loeb is the Chief Executive Officer of Third Point LLC ("Third Point"). By reason of the provisions of Rule 16a-1 under the Securities Exchange Act of 1934, as amended, Third Point and Mr. Loeb may be deemed to be the beneficial owners of the securities held on behalf of the Funds. Third Point and Mr. Loeb hereby disclaim beneficial ownership of all securities, except to the extent of any indirect pecuniary interest therein.

F2 · ownership.nature: The securities disclosed in this Form 4 are held on behalf of certain funds (the "Funds") managed or advised by Third Point. Daniel S. Loeb is the Chief Executive Officer of Third Point LLC ("Third Point"). By reason of the provisions of Rule 16a-1 under the Securities Exchange Act of 1934, as amended, Third Point and Mr. Loeb may be deemed to be the beneficial owners of the securities held on behalf of the Funds. Third Point and Mr. Loeb hereby disclaim beneficial ownership of all securities, except to the extent of any indirect pecuniary interest therein.

Read SEC document
August 28, 2020 Filed Sep 4, 2020 20:04 UTC Far Point Acquisition Corp FPAC · Entity 146770 OtherClass B Common Stock · Derivative 10,692,500 Not disclosed Not disclosed
Disclosure

SEC source: 0001104659-20-102617 · tm2030273-1_4.xml · derivative · entry 4

Third Point LLC · CIK 0001040273 · 10% owner

Loeb Daniel S · CIK 0001300345 · 10% owner

Far Point LLC · CIK 0001739799 · 10% owner

Cloudbreak Aggregator LP · CIK 0001743247 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 0

Underlying: Class A Common Stock · 10,692,500 shares

Expires not disclosed

F5 · derivative.exercise_price: As described in the Issuer's registration statement on Form S-1 (File No. 333-225093) under the heading "Description of Securities--Founder Shares", the shares of Class B common stock will automatically convert into shares of Class A common stock on a one-for-one basis at the time of the Business Combination, and have no expiration date.

F7 · kind: Represents shares of Class B Common Stock held by Far Point LLC that converted into shares of New Global Blue in connection with the Business Combination.

F8 · kind: Immediately following the Business Combination, and pursuant to the terms of the Merger Agreement and that certain Letter Agreement, dated as of August 16, 2020 by and among SL Globetrotter, L.P., Global Blue Group AG, Global Blue Group Holding AG, Global Blue US Holdco LLC, Global Blue US Merger Sub Inc. and Global Blue Holding L.P., Cloudbreak Aggregator LP, Far Point LLC, Third Point Ventures LLC (as nominee of the TP Funds), Third Point Offshore Master Fund L.P., Third Point Ultra Master Fund L.P., Third Point Partners Qualified L.P., Third Point Partners L.P. and Third Point Enhanced L.P (the "Letter Agreement"), all 10,692,500 of these ordinary shares of New Global Blue were transferred to Globetrotter or its designees, other than a total of 4,316,321 ordinary shares of New Global Blue which were transferred to Thomas W. Farley and David Bonanno.

F5 · price: As described in the Issuer's registration statement on Form S-1 (File No. 333-225093) under the heading "Description of Securities--Founder Shares", the shares of Class B common stock will automatically convert into shares of Class A common stock on a one-for-one basis at the time of the Business Combination, and have no expiration date.

F5 · derivative.exercise_date: As described in the Issuer's registration statement on Form S-1 (File No. 333-225093) under the heading "Description of Securities--Founder Shares", the shares of Class B common stock will automatically convert into shares of Class A common stock on a one-for-one basis at the time of the Business Combination, and have no expiration date.

F5 · derivative.expiration_date: As described in the Issuer's registration statement on Form S-1 (File No. 333-225093) under the heading "Description of Securities--Founder Shares", the shares of Class B common stock will automatically convert into shares of Class A common stock on a one-for-one basis at the time of the Business Combination, and have no expiration date.

F2 · ownership.direct: The securities disclosed in this Form 4 are held on behalf of certain funds (the "Funds") managed or advised by Third Point. Daniel S. Loeb is the Chief Executive Officer of Third Point LLC ("Third Point"). By reason of the provisions of Rule 16a-1 under the Securities Exchange Act of 1934, as amended, Third Point and Mr. Loeb may be deemed to be the beneficial owners of the securities held on behalf of the Funds. Third Point and Mr. Loeb hereby disclaim beneficial ownership of all securities, except to the extent of any indirect pecuniary interest therein.

F2 · ownership.nature: The securities disclosed in this Form 4 are held on behalf of certain funds (the "Funds") managed or advised by Third Point. Daniel S. Loeb is the Chief Executive Officer of Third Point LLC ("Third Point"). By reason of the provisions of Rule 16a-1 under the Securities Exchange Act of 1934, as amended, Third Point and Mr. Loeb may be deemed to be the beneficial owners of the securities held on behalf of the Funds. Third Point and Mr. Loeb hereby disclaim beneficial ownership of all securities, except to the extent of any indirect pecuniary interest therein.

Read SEC document
August 28, 2020 Filed Sep 4, 2020 20:04 UTC Far Point Acquisition Corp FPAC · Entity 146770 OtherClass B Common Stock · Derivative 5,000,000 Not disclosed Not disclosed
Disclosure

SEC source: 0001104659-20-102617 · tm2030273-1_4.xml · derivative · entry 3

Third Point LLC · CIK 0001040273 · 10% owner

Loeb Daniel S · CIK 0001300345 · 10% owner

Far Point LLC · CIK 0001739799 · 10% owner

Cloudbreak Aggregator LP · CIK 0001743247 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 10,692,500

Underlying: Class A Common Stock · 5,000,000 shares

Expires not disclosed

F5 · derivative.exercise_price: As described in the Issuer's registration statement on Form S-1 (File No. 333-225093) under the heading "Description of Securities--Founder Shares", the shares of Class B common stock will automatically convert into shares of Class A common stock on a one-for-one basis at the time of the Business Combination, and have no expiration date.

F6 · kind: Represents shares of Class B Common Stock held by Far Point LLC that were forfeited and were cancelled in connection with the Business Combination.

F5 · price: As described in the Issuer's registration statement on Form S-1 (File No. 333-225093) under the heading "Description of Securities--Founder Shares", the shares of Class B common stock will automatically convert into shares of Class A common stock on a one-for-one basis at the time of the Business Combination, and have no expiration date.

F5 · derivative.exercise_date: As described in the Issuer's registration statement on Form S-1 (File No. 333-225093) under the heading "Description of Securities--Founder Shares", the shares of Class B common stock will automatically convert into shares of Class A common stock on a one-for-one basis at the time of the Business Combination, and have no expiration date.

F5 · derivative.expiration_date: As described in the Issuer's registration statement on Form S-1 (File No. 333-225093) under the heading "Description of Securities--Founder Shares", the shares of Class B common stock will automatically convert into shares of Class A common stock on a one-for-one basis at the time of the Business Combination, and have no expiration date.

F2 · ownership.direct: The securities disclosed in this Form 4 are held on behalf of certain funds (the "Funds") managed or advised by Third Point. Daniel S. Loeb is the Chief Executive Officer of Third Point LLC ("Third Point"). By reason of the provisions of Rule 16a-1 under the Securities Exchange Act of 1934, as amended, Third Point and Mr. Loeb may be deemed to be the beneficial owners of the securities held on behalf of the Funds. Third Point and Mr. Loeb hereby disclaim beneficial ownership of all securities, except to the extent of any indirect pecuniary interest therein.

F2 · ownership.nature: The securities disclosed in this Form 4 are held on behalf of certain funds (the "Funds") managed or advised by Third Point. Daniel S. Loeb is the Chief Executive Officer of Third Point LLC ("Third Point"). By reason of the provisions of Rule 16a-1 under the Securities Exchange Act of 1934, as amended, Third Point and Mr. Loeb may be deemed to be the beneficial owners of the securities held on behalf of the Funds. Third Point and Mr. Loeb hereby disclaim beneficial ownership of all securities, except to the extent of any indirect pecuniary interest therein.

Read SEC document
August 28, 2020 Filed Sep 4, 2020 20:04 UTC Far Point Acquisition Corp FPAC · Entity 146770 OtherClass A Common Stock 10,421,052 Not disclosed Not disclosed
Disclosure

SEC source: 0001104659-20-102617 · tm2030273-1_4.xml · nonDerivative · entry 2

Third Point LLC · CIK 0001040273 · 10% owner

Loeb Daniel S · CIK 0001300345 · 10% owner

Far Point LLC · CIK 0001739799 · 10% owner

Cloudbreak Aggregator LP · CIK 0001743247 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 0

F3 · kind: Pursuant to the terms of an Agreement and Plan of Merger, dated as of January 16, 2020 (the "Merger Agreement"), by and among the Issuer, SL Globetrotter, L.P. ("Globetrotter"), Global Blue Group Holding AG ("New Global Blue") and other parties identified therein, each share of the Issuer's Class A Common Stock outstanding immediately prior to the effective time of the Merger (excluding shares of Class A Common Stock redeemed by holders of such shares pursuant to the terms of the Issuer's amended and restated certificate of incorporation) converted into the right to receive one ordinary share of New Global Blue. The transactions (the "Business Combination") contemplated by the Merger Agreement closed on August 28, 2020.

F3 · price: Pursuant to the terms of an Agreement and Plan of Merger, dated as of January 16, 2020 (the "Merger Agreement"), by and among the Issuer, SL Globetrotter, L.P. ("Globetrotter"), Global Blue Group Holding AG ("New Global Blue") and other parties identified therein, each share of the Issuer's Class A Common Stock outstanding immediately prior to the effective time of the Merger (excluding shares of Class A Common Stock redeemed by holders of such shares pursuant to the terms of the Issuer's amended and restated certificate of incorporation) converted into the right to receive one ordinary share of New Global Blue. The transactions (the "Business Combination") contemplated by the Merger Agreement closed on August 28, 2020.

F2 · ownership.direct: The securities disclosed in this Form 4 are held on behalf of certain funds (the "Funds") managed or advised by Third Point. Daniel S. Loeb is the Chief Executive Officer of Third Point LLC ("Third Point"). By reason of the provisions of Rule 16a-1 under the Securities Exchange Act of 1934, as amended, Third Point and Mr. Loeb may be deemed to be the beneficial owners of the securities held on behalf of the Funds. Third Point and Mr. Loeb hereby disclaim beneficial ownership of all securities, except to the extent of any indirect pecuniary interest therein.

F4 · ownership.direct: Far Point LLC and its managing member, Cloudbreak, do not have any voting or dispositive power over 4,000,000 of these shares of the Issuer's Class A Common Stock, which are held on behalf of the Funds, and disclaim beneficial ownership of such securities.

F2 · ownership.nature: The securities disclosed in this Form 4 are held on behalf of certain funds (the "Funds") managed or advised by Third Point. Daniel S. Loeb is the Chief Executive Officer of Third Point LLC ("Third Point"). By reason of the provisions of Rule 16a-1 under the Securities Exchange Act of 1934, as amended, Third Point and Mr. Loeb may be deemed to be the beneficial owners of the securities held on behalf of the Funds. Third Point and Mr. Loeb hereby disclaim beneficial ownership of all securities, except to the extent of any indirect pecuniary interest therein.

F4 · ownership.nature: Far Point LLC and its managing member, Cloudbreak, do not have any voting or dispositive power over 4,000,000 of these shares of the Issuer's Class A Common Stock, which are held on behalf of the Funds, and disclaim beneficial ownership of such securities.

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August 28, 2020 Filed Sep 4, 2020 20:04 UTC Far Point Acquisition Corp FPAC · Entity 146770 PurchaseClass A Common Stock 6,421,052 $9.50 $60,999,994.00
Disclosure

SEC source: 0001104659-20-102617 · tm2030273-1_4.xml · nonDerivative · entry 1

Third Point LLC · CIK 0001040273 · 10% owner

Loeb Daniel S · CIK 0001300345 · 10% owner

Far Point LLC · CIK 0001739799 · 10% owner

Cloudbreak Aggregator LP · CIK 0001743247 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 10,421,052

F1 · kind: Represents shares of Class A Common Stock purchased by Cloudbreak Aggregator LP ("Cloudbreak") pursuant to the Forward Purchase Agreement, dated as of May 18, 2018 between Issuer and Cloudbreak.

F2 · ownership.direct: The securities disclosed in this Form 4 are held on behalf of certain funds (the "Funds") managed or advised by Third Point. Daniel S. Loeb is the Chief Executive Officer of Third Point LLC ("Third Point"). By reason of the provisions of Rule 16a-1 under the Securities Exchange Act of 1934, as amended, Third Point and Mr. Loeb may be deemed to be the beneficial owners of the securities held on behalf of the Funds. Third Point and Mr. Loeb hereby disclaim beneficial ownership of all securities, except to the extent of any indirect pecuniary interest therein.

F2 · ownership.nature: The securities disclosed in this Form 4 are held on behalf of certain funds (the "Funds") managed or advised by Third Point. Daniel S. Loeb is the Chief Executive Officer of Third Point LLC ("Third Point"). By reason of the provisions of Rule 16a-1 under the Securities Exchange Act of 1934, as amended, Third Point and Mr. Loeb may be deemed to be the beneficial owners of the securities held on behalf of the Funds. Third Point and Mr. Loeb hereby disclaim beneficial ownership of all securities, except to the extent of any indirect pecuniary interest therein.

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October 03, 2019 Filed Oct 4, 2019 16:41 UTC SOTHEBYS BID · Entity 154560 Disposition to issuerCommon Stock, par value $0.01 per share 6,668,765 $57.00 $380,119,605.00
Disclosure

SEC source: 0001567619-19-019272 · doc1.xml · nonDerivative · entry 1

Loeb Daniel S · CIK 0001300345 · Director · 10% owner · See Remarks

Third Point LLC · CIK 0001040273 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See Remarks

Disclosed balance after: 0

F1 · price: Pursuant to the Agreement and Plan of Merger dated as of June 16, 2019, by and among BidFair USA, Inc. (formerly a limited liability company known as BidFair USA LLC), BidFair MergeRight, Inc. and the Issuer, each share of the Issuer's Common Stock held by the reporting persons was converted into the right to receive $57 in cash at the effective time of the merger.

F2 · ownership.direct: Other than the 7,161 shares granted as quarterly director compensation to Mr. Loeb in the aggregate since August 15, 2016 which are held directly by Mr. Loeb as reported above, the remainder of the securities reported in this Form 4 are held indirectly as described in the remarks below.

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August 15, 2019 Filed Aug 16, 2019 16:21 UTC SOTHEBYS BID · Entity 154560 GrantCommon Stock, par value $0.01 per share 536 $58.24 $31,216.64
Disclosure

SEC source: 0001567619-19-017201 · doc1.xml · nonDerivative · entry 1

Loeb Daniel S · CIK 0001300345 · Director · 10% owner · See Remarks

Third Point LLC · CIK 0001040273 · Director · 10% owner · See Remarks

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See Remarks

Disclosed balance after: 6,668,765

F1 · shares: On August 15, 2019, Daniel S. Loeb was granted 536 shares as quarterly director compensation which are held directly by Mr. Loeb. As a director, Mr. Loeb was entitled to $31,250 in compensation and elected to receive such compensation in the form of shares. The shares were granted at a price equal to $58.24, the closing price of the Issuer's shares on the business day prior to the award.

F2 · ownership.direct: Other than the 7,161 shares granted as quarterly director compensation to Mr. Loeb in the aggregate since August 15, 2016 which are held directly by Mr. Loeb as reported above, the remainder of the securities reported in this Form 4 are held indirectly as described in the remarks below.

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May 16, 2019 Filed May 17, 2019 21:08 UTC BAXTER INTERNATIONAL INC BAX · Entity 1707 SaleCommon Stock, par value $1.00 per share ("Common Stock") 5,000,000 $76.37 $381,850,000.00
Disclosure

SEC source: 0001567619-19-011563 · doc1.xml · nonDerivative · entry 1

Third Point LLC · CIK 0001040273 · Director · See Remarks

Loeb Daniel S · CIK 0001300345 · Director

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 23,008,124.8167

F1 · balance_after: Includes (1) 6,290 stock options granted to Munib Islam which became exercisable on the date of the Issuer's 2016 annual meeting of stockholders at an exercise price of $32.85 and (2) 44.8167 shares accumulated from stock dividends on restricted stock units previously awarded to Mr. Islam.

F2 · ownership.nature: Except as otherwise noted herein, the securities disclosed in this Form 4 are owned by certain funds (the "Funds") managed by Third Point LLC ("Third Point"). Daniel S. Loeb is the Chief Executive Officer of Third Point. By reason of the provisions of Rule 16a-l under the Securities Exchange Act of 1934, as amended, Third Point and Mr. Loeb may be deemed to be the beneficial owners of the securities beneficially owned by the Funds. Third Point and Mr. Loeb hereby disclaim beneficial ownership of all securities, except to the extent of any indirect pecuniary interest therein.

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May 15, 2019 Filed May 16, 2019 16:37 UTC SOTHEBYS BID · Entity 154560 GrantCommon Stock, par value $0.01 per share 844 $37.00 $31,228.00
Disclosure

SEC source: 0001567619-19-011432 · doc1.xml · nonDerivative · entry 1

Loeb Daniel S · CIK 0001300345 · Director · 10% owner · See Remarks

Third Point LLC · CIK 0001040273 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See Remarks

Disclosed balance after: 6,668,229

F1 · shares: On May 15, 2019, Daniel S. Loeb was granted 844 shares as quarterly director compensation which are held directly by Mr. Loeb. As a director, Mr. Loeb was entitled to $31,250 in compensation and elected to receive such compensation in the form of shares. The shares were granted at a price equal to $37.00, the closing price of the Issuer's shares on the business day prior to the award.

F2 · ownership.direct: Other than the 6,625 shares granted as quarterly director compensation to Mr. Loeb in the aggregate since August 15, 2016 which are held directly by Mr. Loeb as reported above, the remainder of the securities reported in this Form 4 are held indirectly as described in the remarks below.

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February 15, 2019 Filed Feb 19, 2019 17:17 UTC SOTHEBYS NYSE: BID · Entity 154560 GrantCommon Stock, par value $0.01 per share 774 $40.37 $31,246.38
Disclosure

SEC source: 0000899243-19-004113 · doc4.xml · nonDerivative · entry 1

Loeb Daniel S · CIK 0001300345 · Director · 10% owner · See Remarks

Third Point LLC · CIK 0001040273 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See Remarks

Disclosed balance after: 6,667,385

F1 · shares: On February 15, 2019, Daniel S. Loeb was granted 774 shares as quarterly director compensation which are held directly by Mr. Loeb. As a director, Mr. Loeb was entitled to $31,250 in compensation and elected to receive such compensation in the form of shares. The shares were granted at a price equal to $40.37, the closing price of the Issuer's shares on the business day prior to the award.

F2 · ownership.direct: Other than the 5,781 shares granted as quarterly director compensation to Mr. Loeb in the aggregate since August 15, 2016 which are held directly by Mr. Loeb as reported above, the remainder of the securities reported in this Form 4 are held indirectly as described in the remarks below.

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December 03, 2018 Filed Dec 4, 2018 22:12 UTC BAXTER INTERNATIONAL INC BAX · Entity 1707 SaleCommon Stock, $1.00 par value ("Common Stock") 8,000,000 $68.62 $548,960,000.00
Disclosure

SEC source: 0000899243-18-030057 · doc4.xml · nonDerivative · entry 1

Third Point LLC · CIK 0001040273 · Director · See Remarks

Loeb Daniel S · CIK 0001300345 · Director · See Remarks

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 28,008,124.8167

F1 · balance_after: Includes (1) 6,290 stock options granted to Munib Islam which became exercisable on the date of the Issuer's 2016 annual meeting of stockholders at an exercise price of $32.85 and (2) 44.8167 shares accumulated from stock dividends on restricted stock units previously awarded to Mr. Islam.

F2 · ownership.nature: Except as otherwise noted herein, the securities disclosed in this Form 4 are owned by certain funds (the "Funds") managed by Third Point LLC ("Third Point"). Daniel S. Loeb is the Chief Executive Officer of Third Point. By reason of the provisions of Rule 16a-l under the Securities Exchange Act of 1934, as amended, Third Point and Mr. Loeb may be deemed to be the beneficial owners of the securities beneficially owned by the Funds. Third Point and Mr. Loeb hereby disclaim beneficial ownership of all securities, except to the extent of any indirect pecuniary interest therein.

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November 15, 2018 Filed Nov 19, 2018 17:24 UTC SOTHEBYS NYSE: BID · Entity 154560 GrantCommon Stock, par value $0.01 per share 795 $39.26 $31,211.70
Disclosure

SEC source: 0000899243-18-029330 · doc4.xml · nonDerivative · entry 1

Loeb Daniel S · CIK 0001300345 · Director · 10% owner · See Remarks

Third Point LLC · CIK 0001040273 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See Remarks

Disclosed balance after: 6,666,611

F1 · shares: On November 15, 2018, Daniel S. Loeb was granted 795 shares as quarterly director compensation which are held directly by Mr. Loeb. As a director, Mr. Loeb was entitled to $31,250 in compensation and elected to receive such compensation in the form of shares. The shares were granted at a price equal to $39.26, the closing price of the Issuer's shares on the business day prior to the award.

F2 · ownership.direct: Other than the 5,007 shares granted as quarterly director compensation to Mr. Loeb in the aggregate since August 15, 2016 which are held directly by Mr. Loeb as reported above, the remainder of the securities reported in this Form 4 are held indirectly as described in the remarks below.

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September 18, 2018 Filed Sep 20, 2018 21:15 UTC SiriusPoint Ltd TPRE · Entity 554 SaleCommon Shares, par value $0.10 per share ("Common Shares") 800,000 $13.15 $10,520,000.00
Disclosure

SEC source: 0001567619-18-002968 · doc1.xml · nonDerivative · entry 1

Loeb Daniel S · CIK 0001300345 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 5,086,138

F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $13.15 to approximately $13.28, inclusive. Mr. Loeb undertakes to provide to Third Point Reinsurance Ltd. (the "Issuer"), any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote 1 to this Form 4.

F3 · price: Due to certain stock purchases effected by the Issuer, the beneficial ownership of Mr. Loeb under Rule 13d-3 of the Exchange Act may have been deemed to recently exceed 10%. Accordingly, Mr. Loeb filed a Form 3 on September 10, 2018 to report such beneficial ownership. The sale transaction reported on this Form 4 was effected to reduce Mr. Loeb's beneficial ownership for purposes of Rule 13d-3 of the Exchange Act below 10%.

F2 · ownership.nature: Pursuant to Rules 13d-3 and 16a-1 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), Mr. Loeb may be deemed to be the beneficial owner of the securities of the Issuer reported herein as indirectly beneficially owned thereby. Mr. Loeb disclaims beneficial ownership of these securities except to the extent of any indirect pecuniary interest therein, and this report shall not be deemed to be an admission that Mr. Loeb is the beneficial owner of these securities or has any pecuniary interest therein for purposes of Section 16 of the Exchange Act and the rules promulgated thereunder or for any other purpose.

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August 15, 2018 Filed Aug 15, 2018 17:53 UTC SOTHEBYS NYSE: BID · Entity 154560 GrantCommon Stock, par value $0.01 per share 666 $46.90 $31,235.40
Disclosure

SEC source: 0000899243-18-022479 · doc4.xml · nonDerivative · entry 1

Loeb Daniel S · CIK 0001300345 · Director · 10% owner · See Remarks

Third Point LLC · CIK 0001040273 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See Remarks

Disclosed balance after: 6,665,816

F1 · shares: On August 15, 2018, Daniel S. Loeb was granted 666 shares as quarterly director compensation which are held directly by Mr. Loeb. As a director, Mr. Loeb was entitled to $31,250 in compensation and elected to receive such compensation in the form of shares. The shares were granted at a price equal to $46.90, the closing price of the Issuer's shares on the business day prior to the award.

F2 · ownership.direct: Other than the 4,212 shares granted as quarterly director compensation to Mr. Loeb in the aggregate since August 15, 2016 which are held directly by Mr. Loeb as reported above, the remainder of the securities reported in this Form 4 are held indirectly as described in the remarks below.

Read SEC document
June 26, 2018 Filed Jun 26, 2018 20:18 UTC Green Brick Partners, Inc. GRBK · Entity 4215 SaleCommon Stock 7,140,233 $9.07 $64,779,763.89
Disclosure

SEC source: 0001140361-18-029934 · doc1.xml · nonDerivative · entry 2

Loeb Daniel S · CIK 0001300345 · 10% owner

Third Point LLC · CIK 0001040273 · 10% owner

THIRD POINT PARTNERS LP · CIK 0001403112 · 10% owner

THIRD POINT PARTNERS QUALIFIED L P · CIK 0001341499 · 10% owner

Third Point Offshore Master Fund, L.P. · CIK 0001453151 · 10% owner

Third Point Ultra Master Fund L.P. · CIK 0001546187 · 10% owner

Third Point Reinsurance Co Ltd. · CIK 0001623625 · 10% owner

Third Point Reinsurance Ltd. · CIK 0001576018 · 10% owner

Third Point Reinsurance (USA) Ltd. · CIK 0001646552 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnotes

Disclosed balance after: 942,789

F3 · kind: The shares were sold by each of the Funds pursuant to an underwritten public offering, which closed on June 26, 2018.

F3 · shares: The shares were sold by each of the Funds pursuant to an underwritten public offering, which closed on June 26, 2018.

F4 · price: The selling price of such shares was $9.0725, which represents the price to the public less the underwriting discounts and commissions.

F3 · acquired: The shares were sold by each of the Funds pursuant to an underwritten public offering, which closed on June 26, 2018.

F1 · ownership.nature: The securities disclosed in this Form 4 are owned by (i) certain funds (the "Funds") managed by Third Point LLC ("Third Point") and by (ii) Third Point Reinsurance Company Ltd. ("Third Point Re") and Third Point Reinsurance (USA) Ltd. ("Third Point Re US"), with respect to which Third Point LLC is the investment manager. Daniel S. Loeb is the Chief Executive Officer of Third Point. By reason of the provisions of Rule 16a-1 under the Securities Exchange Act of 1934, as amended (the "Act"), Third Point and Mr. Loeb may be deemed to be the beneficial owners of the securities beneficially owned by the Funds and by Third Point Re and Third Point Re US.

F2 · ownership.nature: Third Point and Mr. Loeb each disclaims beneficial ownership of these securities except to the extent of any indirect pecuniary interest therein, and this report shall not be deemed to be an admission that Third Point or Mr. Loeb is the beneficial owner of these securities for purposes of Section 16 of the Act, and the rules promulgated thereunder or for any other purpose. Each of Third Point Partners L.P. ("Third Point LP"), Third Point Partners Qualified L.P. ("Third Point Qualified"), Third Point Offshore Master Fund L.P. ("Third Point Offshore"), Third Point Ultra Master Fund L.P. ("Third Point Ultra"), Third Point Re and Third Point Re US hereby disclaims beneficial ownership of any securities reported herein other than those which it directly holds, for purposes of Section 16 of the Act and the rules promulgated thereunder or for any other purpose.

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June 14, 2018 Filed Jun 18, 2018 20:02 UTC Far Point Acquisition Corp FPAC.U · Entity 146770 OtherClass A Common Stock 4,000,000 $10.00 $40,000,000.00
Disclosure

SEC source: 0000899243-18-016970 · doc4.xml · nonDerivative · entry 1

Third Point LLC · CIK 0001040273 · 10% owner

Loeb Daniel S · CIK 0001300345 · 10% owner

Far Point LLC · CIK 0001739799 · 10% owner

Cloudbreak Aggregator LP · CIK 0001743247 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 4,000,000

F1 · security: Represents Class A Common Stock underlying the 4,000,000 Units purchased in connection with the issuer's initial public offering. Each Unit consists of one share of Class A Common Stock and one-third of one warrant, each whole warrant entitling the holder to purchase one share of Class A Common Stock at $11.50 per share. The Units are held on behalf of investment funds managed or advised by Third Point LLC ("Third Point"). Does not include 15,692,500 shares of Class B common stock previously reported on a Form 3, which shares will automatically convert into shares of Class A common stock at the time of the issuer's initial business combination, or earlier at the option of the holder, on a one-for-one basis, subject to adjustment for stock splits, stock dividends, reorganizations, recapitalizations and the like, and certain anti-dilution rights.

F2 · security: (continued from footnote 1) The warrants will become exercisable on the later of 30 days after the completion of the issuer's initial business combination or 12 months from the closing of the initial public offering. The warrants will expire five years after the completion of the issuer's initial business combination or earlier upon redemption or liquidation.

F3 · kind: Purchased in connection with the issuer's initial public offering.

F1 · balance_after: Represents Class A Common Stock underlying the 4,000,000 Units purchased in connection with the issuer's initial public offering. Each Unit consists of one share of Class A Common Stock and one-third of one warrant, each whole warrant entitling the holder to purchase one share of Class A Common Stock at $11.50 per share. The Units are held on behalf of investment funds managed or advised by Third Point LLC ("Third Point"). Does not include 15,692,500 shares of Class B common stock previously reported on a Form 3, which shares will automatically convert into shares of Class A common stock at the time of the issuer's initial business combination, or earlier at the option of the holder, on a one-for-one basis, subject to adjustment for stock splits, stock dividends, reorganizations, recapitalizations and the like, and certain anti-dilution rights.

F2 · balance_after: (continued from footnote 1) The warrants will become exercisable on the later of 30 days after the completion of the issuer's initial business combination or 12 months from the closing of the initial public offering. The warrants will expire five years after the completion of the issuer's initial business combination or earlier upon redemption or liquidation.

F4 · ownership.direct: The securities disclosed in this Form 4 are held on behalf of certain funds (the "Funds") managed or advised by Third Point. Daniel S. Loeb is the Chief Executive Officer of Third Point. By reason of the provisions of Rule 16a-1 under the Securities Exchange Act of 1934, as amended, Third Point and Mr. Loeb may be deemed to be the beneficial owners of the securities held on behalf of the Funds. Third Point and Mr. Loeb hereby disclaim beneficial ownership of all securities, except to the extent of any indirect pecuniary interest therein. Far Point LLC and its managing member, Cloudbreak Aggregator LP, do not have any voting or dispositive power over the securities disclosed in this Form 4 and disclaim beneficial ownership of such securities.

F4 · ownership.nature: The securities disclosed in this Form 4 are held on behalf of certain funds (the "Funds") managed or advised by Third Point. Daniel S. Loeb is the Chief Executive Officer of Third Point. By reason of the provisions of Rule 16a-1 under the Securities Exchange Act of 1934, as amended, Third Point and Mr. Loeb may be deemed to be the beneficial owners of the securities held on behalf of the Funds. Third Point and Mr. Loeb hereby disclaim beneficial ownership of all securities, except to the extent of any indirect pecuniary interest therein. Far Point LLC and its managing member, Cloudbreak Aggregator LP, do not have any voting or dispositive power over the securities disclosed in this Form 4 and disclaim beneficial ownership of such securities.

Read SEC document
May 15, 2018 Filed May 16, 2018 17:05 UTC SOTHEBYS NYSE: BID · Entity 154560 GrantCommon Stock, par value $0.01 per share 553 $56.49 $31,238.97
Disclosure

SEC source: 0000899243-18-013080 · doc4.xml · nonDerivative · entry 1

Loeb Daniel S · CIK 0001300345 · Director · 10% owner · See Remarks

Third Point LLC · CIK 0001040273 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See Remarks

Disclosed balance after: 6,665,150

F1 · shares: On May 15, 2018, Daniel S. Loeb was granted 553 shares as quarterly director compensation which are held directly by Mr. Loeb. As a director, Mr. Loeb was entitled to $31,250 in compensation and elected to receive such compensation in the form of shares. The shares were granted at a price equal to $56.49, the closing price of the Issuer's shares on the business day prior to the award.

F2 · ownership.direct: Other than the 3,546 shares granted as quarterly director compensation to Mr. Loeb in the aggregate since August 15, 2016 which are held directly by Mr. Loeb as reported above, the remainder of the securities reported in this Form 4 are held indirectly as described in the remarks below.

Read SEC document
February 15, 2018 Filed Feb 26, 2018 17:24 UTC SOTHEBYS NYSE: BID · Entity 154560 GrantCommon Stock, par value $0.01 per share 395 $47.44 $18,738.80
Disclosure

SEC source: 0000899243-18-005505 · doc4.xml · nonDerivative · entry 1

Loeb Daniel S · CIK 0001300345 · Director · 10% owner · See Remarks

Third Point LLC · CIK 0001040273 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See Remarks

Disclosed balance after: 6,664,597

F1 · shares: On February 15, 2018, Daniel S. Loeb was granted 395 shares as quarterly director compensation which are held directly by Mr. Loeb. As a director, Mr. Loeb was entitled to $18,750 in compensation and elected to receive such compensation in the form of shares. The shares were granted at a price equal to $47.44, the closing price of the Issuer's shares on the business day prior to the award.

F2 · ownership.direct: Other than the 2,993 shares granted as quarterly director compensation to Mr. Loeb in the aggregate since August 15, 2016 which are held directly by Mr. Loeb as reported above, the remainder of the securities reported in this Form 4 are held indirectly as described in the remarks below.

Read SEC document
December 06, 2017 Filed Dec 8, 2017 22:04 UTC Green Brick Partners, Inc. GRBK · Entity 4215 OtherCommon Stock 0 $11.10 $0.00
Disclosure

SEC source: 0001140361-17-045508 · doc1.xml · nonDerivative · entry 2

Loeb Daniel S · CIK 0001300345 · 10% owner

Third Point LLC · CIK 0001040273 · 10% owner

THIRD POINT PARTNERS LP · CIK 0001403112 · 10% owner

THIRD POINT PARTNERS QUALIFIED L P · CIK 0001341499 · 10% owner

Third Point Offshore Master Fund, L.P. · CIK 0001453151 · 10% owner

Third Point Ultra Master Fund L.P. · CIK 0001546187 · 10% owner

Third Point Reinsurance Co Ltd. · CIK 0001623625 · 10% owner

Third Point Reinsurance Ltd. · CIK 0001576018 · 10% owner

Third Point Reinsurance (USA) Ltd. · CIK 0001646552 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnotes

Disclosed balance after: 8,083,022

F3 · kind: This Form 4 is being filed as a result of ordinary course rebalancing transactions which resulted in no change in the aggregate Common Stock beneficially owned by the Funds, Third Point Re and Third Point Re US. In connection with such rebalancing, the following transactions reported were consummated: (a) Third Point Offshore purchased 603,616 shares of Common Stock, (b) Third Point Ultra purchased 1,205,124 shares of Common Stock, (c) Third Point Re purchased 282,299 shares of Common Stock, (d) Third Point Re US purchased 34,716 shares of Common Stock, (e) Third Point LP sold 1,750,609 shares of Common Stock and (e) Third Point Qualified sold 375,146 shares of Common Stock. All of the rebalancing transactions were effected at the same time.

F3 · shares: This Form 4 is being filed as a result of ordinary course rebalancing transactions which resulted in no change in the aggregate Common Stock beneficially owned by the Funds, Third Point Re and Third Point Re US. In connection with such rebalancing, the following transactions reported were consummated: (a) Third Point Offshore purchased 603,616 shares of Common Stock, (b) Third Point Ultra purchased 1,205,124 shares of Common Stock, (c) Third Point Re purchased 282,299 shares of Common Stock, (d) Third Point Re US purchased 34,716 shares of Common Stock, (e) Third Point LP sold 1,750,609 shares of Common Stock and (e) Third Point Qualified sold 375,146 shares of Common Stock. All of the rebalancing transactions were effected at the same time.

F3 · price: This Form 4 is being filed as a result of ordinary course rebalancing transactions which resulted in no change in the aggregate Common Stock beneficially owned by the Funds, Third Point Re and Third Point Re US. In connection with such rebalancing, the following transactions reported were consummated: (a) Third Point Offshore purchased 603,616 shares of Common Stock, (b) Third Point Ultra purchased 1,205,124 shares of Common Stock, (c) Third Point Re purchased 282,299 shares of Common Stock, (d) Third Point Re US purchased 34,716 shares of Common Stock, (e) Third Point LP sold 1,750,609 shares of Common Stock and (e) Third Point Qualified sold 375,146 shares of Common Stock. All of the rebalancing transactions were effected at the same time.

F3 · acquired: This Form 4 is being filed as a result of ordinary course rebalancing transactions which resulted in no change in the aggregate Common Stock beneficially owned by the Funds, Third Point Re and Third Point Re US. In connection with such rebalancing, the following transactions reported were consummated: (a) Third Point Offshore purchased 603,616 shares of Common Stock, (b) Third Point Ultra purchased 1,205,124 shares of Common Stock, (c) Third Point Re purchased 282,299 shares of Common Stock, (d) Third Point Re US purchased 34,716 shares of Common Stock, (e) Third Point LP sold 1,750,609 shares of Common Stock and (e) Third Point Qualified sold 375,146 shares of Common Stock. All of the rebalancing transactions were effected at the same time.

F1 · ownership.nature: The securities disclosed in this Form 4 are owned by (i) certain funds (the "Funds") managed by Third Point LLC ("Third Point") and by (ii) Third Point Reinsurance Company Ltd. ("Third Point Re") and Third Point Reinsurance (USA) Ltd. ("Third Point Re US"), with respect to which Third Point LLC is the investment manager. Daniel S. Loeb is the Chief Executive Officer of Third Point. By reason of the provisions of Rule 16a-1 under the Securities Exchange Act of 1934, as amended (the "Act"), Third Point and Mr. Loeb may be deemed to be the beneficial owners of the securities beneficially owned by the Funds and by Third Point Re and Third Point Re US.

F2 · ownership.nature: Third Point and Mr. Loeb each disclaims beneficial ownership of these securities except to the extent of any indirect pecuniary interest therein, and this report shall not be deemed to be an admission that Third Point or Mr. Loeb is the beneficial owner of these securities for purposes of Section 16 of the Act, and the rules promulgated thereunder or for any other purpose. Each of Third Point Partners L.P. ("Third Point LP"), Third Point Partners Qualified L.P. ("Third Point Qualified"), Third Point Offshore Master Fund L.P. ("Third Point Offshore"), Third Point Ultra Master Fund L.P. ("Third Point Ultra"), Third Point Re and Third Point Re US hereby disclaims beneficial ownership of any securities reported herein other than those which it directly holds, for purposes of Section 16 of the Act and the rules promulgated thereunder or for any other purpose.

F3 · ownership.nature: This Form 4 is being filed as a result of ordinary course rebalancing transactions which resulted in no change in the aggregate Common Stock beneficially owned by the Funds, Third Point Re and Third Point Re US. In connection with such rebalancing, the following transactions reported were consummated: (a) Third Point Offshore purchased 603,616 shares of Common Stock, (b) Third Point Ultra purchased 1,205,124 shares of Common Stock, (c) Third Point Re purchased 282,299 shares of Common Stock, (d) Third Point Re US purchased 34,716 shares of Common Stock, (e) Third Point LP sold 1,750,609 shares of Common Stock and (e) Third Point Qualified sold 375,146 shares of Common Stock. All of the rebalancing transactions were effected at the same time.

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November 15, 2017 Filed Nov 17, 2017 17:28 UTC SOTHEBYS NYSE: BID · Entity 154560 GrantCommon Stock, par value $0.01 per share 410 $45.66 $18,720.60
Disclosure

SEC source: 0000899243-17-026833 · doc4.xml · nonDerivative · entry 1

Loeb Daniel S · CIK 0001300345 · Director · 10% owner · See Remarks

Third Point LLC · CIK 0001040273 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See Remarks

Disclosed balance after: 6,664,202

F1 · shares: On November 15, 2017, Daniel S. Loeb was granted 410 shares as quarterly director compensation which are held directly by Mr. Loeb. As a director, Mr. Loeb was entitled to $18,750 in compensation and elected to receive such compensation in the form of shares. The shares were granted at a price equal to $45.66, the closing price of the Issuer's shares on the business day prior to the award.

F2 · ownership.direct: Other than the 2,598 shares granted as quarterly director compensation to Mr. Loeb in the aggregate since August 15, 2016 which are held directly by Mr. Loeb as reported above, the remainder of the securities reported in this Form 4 are held indirectly as described in the remarks below.

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November 06, 2017 Filed Nov 7, 2017 22:04 UTC BAXTER INTERNATIONAL INC NYSE: BAX · Entity 1707 SaleCommon Stock, $1.00 par value ("Common Stock") 5,000,000 $64.23 $321,150,000.00
Disclosure

SEC source: 0000899243-17-025519 · doc4.xml · nonDerivative · entry 1

Third Point LLC · CIK 0001040273 · Director · See Remarks

Loeb Daniel S · CIK 0001300345 · Director · See Remarks

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 36,001,790

F1 · ownership.nature: Except as otherwise noted herein, the securities disclosed in this Form 4 are owned by certain funds (the "Funds") managed by Third Point LLC ("Third Point"). Daniel S. Loeb is the Chief Executive Officer of Third Point. By reason of the provisions of Rule 16a-1 under the Securities Exchange Act of 1934, as amended, Third Point and Mr. Loeb may be deemed to be the beneficial owners of the securities beneficially owned by the Funds. Third Point and Mr. Loeb hereby disclaim beneficial ownership of all securities, except to the extent of any indirect pecuniary interest therein.

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August 15, 2017 Filed Aug 17, 2017 17:25 UTC SOTHEBYS NYSE: BID · Entity 154560 GrantCommon Stock, par value $0.01 per share 391 $47.85 $18,709.35
Disclosure

SEC source: 0000899243-17-020620 · doc4.xml · nonDerivative · entry 1

Loeb Daniel S · CIK 0001300345 · Director · 10% owner · See Remarks

Third Point LLC · CIK 0001040273 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See Remarks

Disclosed balance after: 6,663,792

F1 · shares: On August 15, 2017, Daniel S. Loeb was granted 391 shares as quarterly director compensation which are held directly by Mr. Loeb. As a director, Mr. Loeb was entitled to $18,750 in compensation and elected to receive such compensation in the form of shares. The shares were granted at a price equal to $47.85, the closing price of the Issuer's shares on the business day prior to the award.

F2 · ownership.direct: Other than the 2,188 shares granted as quarterly director compensation to Mr. Loeb in the aggregate since August 15, 2016 which are held directly by Mr. Loeb as reported above, the remainder of the securities reported in this Form 4 are held indirectly as described in the remarks below.

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June 01, 2017 Filed Jun 2, 2017 21:13 UTC BAXTER INTERNATIONAL INC NYSE: BAX · Entity 1707 SaleCommon Stock, $1.00 par value ("Common Stock") 5,000,000 $59.50 $297,500,000.00
Disclosure

SEC source: 0000899243-17-015179 · doc4.xml · nonDerivative · entry 1

Third Point LLC · CIK 0001040273 · Director · See Remarks

Loeb Daniel S · CIK 0001300345 · Director · See Remarks

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 41,001,790

F1 · ownership.nature: Except as otherwise noted herein, the securities disclosed in this Form 4 are owned by certain funds (the "Funds") managed by Third Point LLC ("Third Point"). Daniel S. Loeb is the Chief Executive Officer of Third Point. By reason of the provisions of Rule 16a-1 under the Securities Exchange Act of 1934, as amended, Third Point and Mr. Loeb may be deemed to be the beneficial owners of the securities beneficially owned by the Funds. Third Point and Mr. Loeb hereby disclaim beneficial ownership of all securities, except to the extent of any indirect pecuniary interest therein.

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May 15, 2017 Filed May 16, 2017 17:43 UTC SOTHEBYS NYSE: BID · Entity 154560 GrantCommon Stock, par value $0.01 per share 379 $49.45 $18,741.55
Disclosure

SEC source: 0000899243-17-013378 · doc4.xml · nonDerivative · entry 1

Loeb Daniel S · CIK 0001300345 · Director · 10% owner · See Remarks

Third Point LLC · CIK 0001040273 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See Remarks

Disclosed balance after: 6,663,401

F1 · kind: On May 15, 2017, Daniel S. Loeb was granted 379 shares as quarterly director compensation which are held directly by Mr. Loeb. As a director, Mr. Loeb was entitled to $18,750 in compensation and elected to receive such compensation in the form of shares. The shares were granted at a price equal to $49.45, the closing price of the Issuer's shares on the business day prior to the award.

F1 · shares: On May 15, 2017, Daniel S. Loeb was granted 379 shares as quarterly director compensation which are held directly by Mr. Loeb. As a director, Mr. Loeb was entitled to $18,750 in compensation and elected to receive such compensation in the form of shares. The shares were granted at a price equal to $49.45, the closing price of the Issuer's shares on the business day prior to the award.

F2 · ownership.direct: Other than the 1,797 shares granted as quarterly director compensation to Mr. Loeb in the aggregate since August 15, 2016 which are held directly by Mr. Loeb as reported above, the remainder of the securities reported in this Form 4 are held indirectly as described in the remarks below.

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March 13, 2017 Filed Mar 15, 2017 22:35 UTC Kadmon Holdings, Inc. KDMN · Entity 133686 PurchaseWarrant to Purchase Common Stock · Derivative 595,238 Not disclosed Strike: $4.50 Not disclosed
Disclosure

SEC source: 0001140361-17-012177 · doc1.xml · derivative · entry 2

Loeb Daniel S · CIK 0001300345 · 10% owner

Third Point LLC · CIK 0001040273 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 595,238

Underlying: Common Stock · 595,238 shares

Expires 2018-04-13

F2 · price: The reported securities were included with the 1,488,095 shares of common stock purchased by the reporting persons for $3.36 per share. Each such purchased share of common stock was issued with a warrant to purchase 0.40 shares of common stock.

F1 · ownership.nature: The securities subject to the transactions disclosed in this Form 4 are owned by certain funds (the "Funds") managed by Third Point LLC ("Third Point"). Daniel S. Loeb is the Chief Executive Officer of Third Point. By reason of the provisions of Rule 16a-1 under the Securities Exchange Act of 1934, as amended, Third Point and Mr. Loeb may be deemed to be the beneficial owners of the securities beneficially owned by the Funds. Third Point and Mr. Loeb hereby disclaim beneficial ownership of all such securities, except to the extent of any indirect pecuniary interest therein.

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March 13, 2017 Filed Mar 15, 2017 22:35 UTC Kadmon Holdings, Inc. KDMN · Entity 133686 PurchaseCommon Stock, $0.001 par value per share 1,488,095 $3.36 $4,999,999.20
Disclosure

SEC source: 0001140361-17-012177 · doc1.xml · nonDerivative · entry 1

Loeb Daniel S · CIK 0001300345 · 10% owner

Third Point LLC · CIK 0001040273 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 9,407,745

F1 · ownership.nature: The securities subject to the transactions disclosed in this Form 4 are owned by certain funds (the "Funds") managed by Third Point LLC ("Third Point"). Daniel S. Loeb is the Chief Executive Officer of Third Point. By reason of the provisions of Rule 16a-1 under the Securities Exchange Act of 1934, as amended, Third Point and Mr. Loeb may be deemed to be the beneficial owners of the securities beneficially owned by the Funds. Third Point and Mr. Loeb hereby disclaim beneficial ownership of all such securities, except to the extent of any indirect pecuniary interest therein.

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February 28, 2017 Filed Mar 1, 2017 16:25 UTC BAXTER INTERNATIONAL INC NYSE: BAX · Entity 1707 SaleCommon Stock, $1.00 par value ("Common Stock") 5,901,767 $50.35 $297,153,968.45
Disclosure

SEC source: 0000899243-17-005731 · doc4.xml · nonDerivative · entry 1

Third Point LLC · CIK 0001040273 · Director · See Remarks

Loeb Daniel S · CIK 0001300345 · Director · See Remarks

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 46,001,790

F1 · ownership.nature: Except as otherwise noted herein, the securities disclosed in this Form 4 are owned by certain funds (the "Funds") managed by Third Point LLC ("Third Point"). Daniel S. Loeb is the Chief Executive Officer of Third Point. By reason of the provisions of Rule 16a-1 under the Securities Exchange Act of 1934, as amended, Third Point and Mr. Loeb may be deemed to be the beneficial owners of the securities beneficially owned by the Funds. Third Point and Mr. Loeb hereby disclaim beneficial ownership of all securities, except to the extent of any indirect pecuniary interest therein.

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February 15, 2017 Filed Feb 17, 2017 16:06 UTC SOTHEBYS NYSE: BID · Entity 154560 GrantCommon Stock, par value $0.01 per share 453 $41.38 $18,745.14
Disclosure

SEC source: 0000899243-17-004502 · doc4.xml · nonDerivative · entry 2

Loeb Daniel S · CIK 0001300345 · Director · 10% owner · See Remarks

Third Point LLC · CIK 0001040273 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See Remarks

Disclosed balance after: 6,663,022

F2 · kind: On February 15, 2017, Daniel S. Loeb was granted 453 shares as quarterly director compensation which are held directly by Mr. Loeb. As a director, Mr. Loeb was entitled to $18,750 in compensation and elected to receive such compensation in the form of shares. The shares were granted at a price equal to $41.38, the closing price of the Issuer's shares on the business day prior to the award.

F2 · shares: On February 15, 2017, Daniel S. Loeb was granted 453 shares as quarterly director compensation which are held directly by Mr. Loeb. As a director, Mr. Loeb was entitled to $18,750 in compensation and elected to receive such compensation in the form of shares. The shares were granted at a price equal to $41.38, the closing price of the Issuer's shares on the business day prior to the award.

F3 · ownership.direct: Other than the 1,418 shares granted as quarterly director compensation to Mr. Loeb in the aggregate since August 15, 2016 which are held directly by Mr. Loeb as reported above, the remainder of the securities reported in this Form 4 are held indirectly as described in the remarks below.

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November 15, 2016 Filed Feb 17, 2017 16:06 UTC SOTHEBYS NYSE: BID · Entity 154560 GrantCommon Stock, par value $0.01 per share 495 $37.87 $18,745.65
Disclosure

SEC source: 0000899243-17-004502 · doc4.xml · nonDerivative · entry 1

Loeb Daniel S · CIK 0001300345 · Director · 10% owner · See Remarks

Third Point LLC · CIK 0001040273 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See Remarks

Disclosed balance after: 6,662,569

F1 · kind: On November 15, 2016, Daniel S. Loeb was granted 495 shares as quarterly director compensation which are held directly by Mr. Loeb. As a director, Mr. Loeb was entitled to $18,750 in compensation and elected to receive such compensation in the form of shares. The shares were granted at a price equal to $37.87, the closing price of the Issuer's shares on the business day prior to the award.

F1 · shares: On November 15, 2016, Daniel S. Loeb was granted 495 shares as quarterly director compensation which are held directly by Mr. Loeb. As a director, Mr. Loeb was entitled to $18,750 in compensation and elected to receive such compensation in the form of shares. The shares were granted at a price equal to $37.87, the closing price of the Issuer's shares on the business day prior to the award.

F3 · ownership.direct: Other than the 1,418 shares granted as quarterly director compensation to Mr. Loeb in the aggregate since August 15, 2016 which are held directly by Mr. Loeb as reported above, the remainder of the securities reported in this Form 4 are held indirectly as described in the remarks below.

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November 10, 2016 Filed Nov 15, 2016 20:14 UTC Apigee Corp APIC · Entity 181062 OtherCommon Stock, $0.001 par value per share 3,166,551 $17.40 $55,097,987.40
Disclosure

SEC source: 0001140361-16-086760 · doc1.xml · nonDerivative · entry 1

Loeb Daniel S · CIK 0001300345 · 10% owner

Third Point LLC · CIK 0001040273 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 0

F1 · ownership.nature: The securities subject to the transactions disclosed in this Form 4 are owned by certain funds (the "Funds") managed by Third Point LLC ("Third Point"). Daniel S. Loeb is the Chief Executive Officer of Third Point. By reason of the provisions of Rule 16a-1 under the Securities Exchange Act of 1934, as amended, Third Point and Mr. Loeb may be deemed to be the beneficial owners of the securities beneficially owned by the Funds. Third Point and Mr. Loeb hereby disclaim beneficial ownership of all such securities, except to the extent of any indirect pecuniary interest therein.

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September 14, 2016 Filed Sep 16, 2016 21:20 UTC Kadmon Holdings, Inc. KDMN · Entity 133686 PurchaseCommon Stock, $0.001 par value per share 19,611 $7.79 $152,816.76
Disclosure

SEC source: 0001140361-16-080088 · doc1.xml · nonDerivative · entry 1

Loeb Daniel S · CIK 0001300345 · 10% owner

Third Point LLC · CIK 0001040273 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 7,919,650

F1 · ownership.nature: The securities subject to the transactions disclosed in this Form 4 are owned by certain funds (the "Funds") managed by Third Point LLC ("Third Point"). Daniel S. Loeb is the Chief Executive Officer of Third Point. By reason of the provisions of Rule 16a-1 under the Securities Exchange Act of 1934, as amended, Third Point and Mr. Loeb may be deemed to be the beneficial owners of the securities beneficially owned by the Funds. Third Point and Mr. Loeb hereby disclaim beneficial ownership of all such securities, except to the extent of any indirect pecuniary interest therein.

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September 13, 2016 Filed Sep 13, 2016 21:41 UTC Kadmon Holdings, Inc. KDMN · Entity 133686 PurchaseCommon Stock, $0.001 par value per share 17,529 $7.99 $139,970.82
Disclosure

SEC source: 0001140361-16-079697 · doc1.xml · nonDerivative · entry 3

Loeb Daniel S · CIK 0001300345 · 10% owner

Third Point LLC · CIK 0001040273 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 7,900,039

F1 · ownership.nature: The securities subject to the transactions disclosed in this Form 4 are owned by certain funds (the "Funds") managed by Third Point LLC ("Third Point"). Daniel S. Loeb is the Chief Executive Officer of Third Point. By reason of the provisions of Rule 16a-1 under the Securities Exchange Act of 1934, as amended, Third Point and Mr. Loeb may be deemed to be the beneficial owners of the securities beneficially owned by the Funds. Third Point and Mr. Loeb hereby disclaim beneficial ownership of all such securities, except to the extent of any indirect pecuniary interest therein.

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September 12, 2016 Filed Sep 13, 2016 21:41 UTC Kadmon Holdings, Inc. KDMN · Entity 133686 PurchaseCommon Stock, $0.001 par value per share 35,410 $8.32 $294,682.02
Disclosure

SEC source: 0001140361-16-079697 · doc1.xml · nonDerivative · entry 2

Loeb Daniel S · CIK 0001300345 · 10% owner

Third Point LLC · CIK 0001040273 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 7,882,510

F1 · ownership.nature: The securities subject to the transactions disclosed in this Form 4 are owned by certain funds (the "Funds") managed by Third Point LLC ("Third Point"). Daniel S. Loeb is the Chief Executive Officer of Third Point. By reason of the provisions of Rule 16a-1 under the Securities Exchange Act of 1934, as amended, Third Point and Mr. Loeb may be deemed to be the beneficial owners of the securities beneficially owned by the Funds. Third Point and Mr. Loeb hereby disclaim beneficial ownership of all such securities, except to the extent of any indirect pecuniary interest therein.

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September 09, 2016 Filed Sep 13, 2016 21:41 UTC Kadmon Holdings, Inc. KDMN · Entity 133686 PurchaseCommon Stock, $0.001 par value per share 15,715 $8.74 $137,375.82
Disclosure

SEC source: 0001140361-16-079697 · doc1.xml · nonDerivative · entry 1

Loeb Daniel S · CIK 0001300345 · 10% owner

Third Point LLC · CIK 0001040273 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 7,847,100

F1 · ownership.nature: The securities subject to the transactions disclosed in this Form 4 are owned by certain funds (the "Funds") managed by Third Point LLC ("Third Point"). Daniel S. Loeb is the Chief Executive Officer of Third Point. By reason of the provisions of Rule 16a-1 under the Securities Exchange Act of 1934, as amended, Third Point and Mr. Loeb may be deemed to be the beneficial owners of the securities beneficially owned by the Funds. Third Point and Mr. Loeb hereby disclaim beneficial ownership of all such securities, except to the extent of any indirect pecuniary interest therein.

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September 06, 2016 Filed Sep 6, 2016 21:08 UTC Kadmon Holdings, Inc. KDMN · Entity 133686 PurchaseCommon Stock, $0.001 par value per share 4,540 $9.23 $41,893.76
Disclosure

SEC source: 0001140361-16-078957 · doc1.xml · nonDerivative · entry 2

Loeb Daniel S · CIK 0001300345 · 10% owner

Third Point LLC · CIK 0001040273 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 7,831,385

F1 · ownership.nature: The securities subject to the transactions disclosed in this Form 4 are owned by certain funds (the "Funds") managed by Third Point LLC ("Third Point"). Daniel S. Loeb is the Chief Executive Officer of Third Point. By reason of the provisions of Rule 16a-1 under the Securities Exchange Act of 1934, as amended, Third Point and Mr. Loeb may be deemed to be the beneficial owners of the securities beneficially owned by the Funds. Third Point and Mr. Loeb hereby disclaim beneficial ownership of all such securities, except to the extent of any indirect pecuniary interest therein.

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September 01, 2016 Filed Sep 6, 2016 21:08 UTC Kadmon Holdings, Inc. KDMN · Entity 133686 PurchaseCommon Stock, $0.001 par value per share 77,241 $9.40 $725,717.82
Disclosure

SEC source: 0001140361-16-078957 · doc1.xml · nonDerivative · entry 1

Loeb Daniel S · CIK 0001300345 · 10% owner

Third Point LLC · CIK 0001040273 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 7,826,845

F1 · ownership.nature: The securities subject to the transactions disclosed in this Form 4 are owned by certain funds (the "Funds") managed by Third Point LLC ("Third Point"). Daniel S. Loeb is the Chief Executive Officer of Third Point. By reason of the provisions of Rule 16a-1 under the Securities Exchange Act of 1934, as amended, Third Point and Mr. Loeb may be deemed to be the beneficial owners of the securities beneficially owned by the Funds. Third Point and Mr. Loeb hereby disclaim beneficial ownership of all such securities, except to the extent of any indirect pecuniary interest therein.

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Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.