SEC Form 4 · accession 0001437749-15-022751
BGC Group, Inc. · BGC
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Stephen M Merkel
Officer — EVP, General Counsel and Sec'y
Period of report
Dec 21, 2015
Accepted (ET)
Dec 23, 2015 · 8:42 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001094831
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Class A Common Stock, par value $0.01 per shareF1 | Dec 21, 2015 | J | 21,746 | $0.00 | A | 203,898 | D | |
| Class A Common Stock, par value $0.01 per shareF2 | Dec 22, 2015 | D | 6,357 | $9.73 | D | 0 | I | By various trusts |
| Class A Common Stock, par value $0.01 per share | Dec 22, 2015 | D | 21,746 | $9.73 | D | 182,152 | D | |
| Class A Common Stock, par value $0.01 per shareF1,F2 | Dec 21, 2015 | J | 6,357 | $0.00 | A | 6,357 | I | By various trusts |
| Class A Common Stock, par value $0.01 per shareF3 | holding | — | — | — | 15,933 | I | By 401(k) Plan | |
| Class A Common Stock, par value $0.01 per share | holding | — | — | — | 2,250 | I | By Reporting Person's Spouse |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Represents shares of Class A Common Stock ("Class A Common Stock") of BGC Partners, Inc. ("BGC") received by the reporting person in a pro rata disposition by Cantor Fitzgerald, L.P. ("Cantor") to partners of Cantor in a transaction exempt under Rule 16a-9(a).
- F2Represents shares of Class A Common Stock held in trusts f/b/o 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.
- F3Represents shares of Class A Common Stock held under BGC's 401(k) plan based on a plan statement dated as of November 30, 2015.