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