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