SEC Form 4 · accession 0001437749-16-039346

BGC Group, Inc. · BGC

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

Reporting owner

Officer — EVP, General Counsel and Sec'y

Period of report

Sep 30, 2016

Accepted (ET)

Sep 30, 2016 · 6:06 pm EDT

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 share^F1	Sep 30, 2016	D	16,634	$8.75	D	39,436	D
Class A Common Stock, par value $0.01 per share^F2	Sep 30, 2016	D	4,131	$8.75	D	0	I	By various trusts
Class A Common Stock, par value $0.01 per share^F3	holding	—	—		—	17,301	I	By 401(k) plan
Class A Common Stock, par value $0.01 per share	holding	—	—		—	2,250	I	By reporting person's spouse

No Table II lines on this filing.

F1Represents shares of BGC Partners, Inc. (the "Company") Class A common stock, par value $0.01 per share ( "Class A Common Stock"), 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 "Exchange Act"). This transaction was included in the Company's stock repurchase authorization and was approved by the Audit Committee of the Board of Directors.
F2Represent shares of Class A Common Stock sold by trusts for the benefit of the reporting person's immediately 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, in a transaction exempt pursuant to Rule 16b-3 of the Exchange Act. This transaction was included in the Company's stock repurchase authorization and was approved by the Audit Committee of the Board of Directors.
F3Represents shares of Class A Common Stock held in the reporting person's 401(k) account as of August 31, 2016.