0001437749-21-010209.txt : 20210429 0001437749-21-010209.hdr.sgml : 20210429 20210429160803 ACCESSION NUMBER: 0001437749-21-010209 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20210316 FILED AS OF DATE: 20210429 DATE AS OF CHANGE: 20210429 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: 21870552 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 2021-03-16 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 2021-03-16 4 A 0 28962 A 28962 D Class A common stock, par value $0.01 per share 2021-03-16 4 D 0 28962 11.09 D 0 D Class A common stock, par value $0.01 per share 2021-04-27 4 A 0 68727 A 68727 D Class A common stock, par value $0.01 per share 2021-04-27 4 D 0 68727 10.67 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 10976 I By 401(k) Plan On March 16, 2021, Newmark Group, Inc. (the "Company") granted to the reporting person 28,962 shares of its Class A Common Stock, par value $0.01 per share (the "Class A Common Stock"), following the redemption of an aggregate of 30,926 non-exchangeable limited partnership interests of Newmark Holdings, L.P. ("Newmark Holdings") held by the reporting person for zero. The grant was approved by the Compensation Committee of the Board of Directors of the Company (the "Compensation Committee") and is exempt pursuant to Rule 16b-3 under the Securities Exchange Act of 1934, as amended ("Rule 16b-3"). On March 16, 2021, the reporting person sold these shares of Class A Common Stock to the Company in an exempt transaction pursuant to Rule 16b-3. The sale price per share was the closing price of the Class A Common Stock on March 16, 2021. The transaction was approved by the Compensation Committee. On April 27, 2021, the Company granted to the reporting person 68,727 shares of its Class A Common Stock, following the redemption of an aggregate of 73,387 non-exchangeable limited partnership interests of Newmark Holdings held by the reporting person for zero. The grant was approved by the Compensation Committee and is exempt pursuant to Rule 16b-3. On April 27, 2021, the reporting person sold these shares of Class A Common Stock to the Company in an exempt transaction pursuant to Rule 16b-3. The sale price per share was the closing price of the Class A Common Stock on April 27, 2021. The transaction was approved by the Compensation Committee. Represents shares of 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 Class A Common Stock held in the reporting person's 401(k) account as of March 31, 2021. /s/ Stephen M. Merkel 2021-04-29