0001437749-19-024742.txt : 20191220
0001437749-19-024742.hdr.sgml : 20191220
20191220181704
ACCESSION NUMBER: 0001437749-19-024742
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20191219
FILED AS OF DATE: 20191220
DATE AS OF CHANGE: 20191220
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: MERKEL STEPHEN M
CENTRAL INDEX KEY: 0001251144
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-38329
FILM NUMBER: 191303026
MAIL ADDRESS:
STREET 1: C/O BGC PARTNERS, INC.
STREET 2: 499 PARK AVENUE
CITY: NEW YORK
STATE: NY
ZIP: 10022
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: NEWMARK GROUP, INC.
CENTRAL INDEX KEY: 0001690680
STANDARD INDUSTRIAL CLASSIFICATION: REAL ESTATE AGENTS & MANAGERS (FOR OTHERS) [6531]
IRS NUMBER: 814467492
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
BUSINESS ADDRESS:
STREET 1: 499 PARK AVENUE
CITY: NEW YORK
STATE: NY
ZIP: 10022
BUSINESS PHONE: 2128294775
MAIL ADDRESS:
STREET 1: 499 PARK AVENUE
CITY: NEW YORK
STATE: NY
ZIP: 10022
FORMER COMPANY:
FORMER CONFORMED NAME: NRE DELAWARE, INC.
DATE OF NAME CHANGE: 20161122
4
1
rdgdoc.xml
FORM 4
X0306
4
2019-12-19
0001690680
NEWMARK GROUP, INC.
NMRK
0001251144
MERKEL STEPHEN M
C/O NEWMARK GROUP, INC.
125 PARK AVENUE
NEW YORK
NY
10017
1
EVP and Chief Legal Officer
Class A common stock, par value $0.01 per share
2019-12-19
4
M
0
3940
A
3940
D
Class A common stock, par value $0.01 per share
2019-12-19
4
D
0
3940
13.61
D
0
D
Class A common stock, par value $0.01 per share
2901
I
By various trusts
Class A common stock, par value $0.01 per share
10410
I
By 401(k) plan
Class A common stock, par value $0.01 per share
1043
I
By reporting person's spouse
Newmark Holdings Exchangeable Limited Partnership Units
2019-12-19
4
M
0
4222
D
Class A common stock, par value $0.01 per share
3940
0
D
On December 19, 2019, the reporting person exchanged 4,222 exchangeable limited partnership units of Newmark Holdings, L.P. (the "Holdings Units") into 3,940 shares of Newmark Group, Inc. (the "Company") Class A common stock, par value $0.01 per share (the "Class A Common Stock"), at the current exchange ratio of 0.9332 shares of Class A Common Stock per Holdings Unit. Holdings Units are exchangeable by the holder at any time into shares of Class A Common Stock at the then current exchange ratio.
These shares of the Class A Common Stock were sold by the reporting person to the Company in a transaction exempt pursuant to Rule 16b-3 under the Securities Exchange Act of 1934, as amended. The sale price per share was the closing price of the Class A Common Stock on December 19, 2019. The transaction was approved by the Audit Committee of the Board of Directors of the Company.
Represents shares of the Class A Common Stock held in trusts for the benefit of the reporting person's immediate family, of which the reporting person's spouse is the sole trustee of each trust and the reporting person has the power to remove and replace such trustee.
Represents shares of the Class A Common Stock held in the reporting person's 401(k) account as of November 30, 2019.
/s/ Stephen M. Merkel
2019-12-20