SEC Form 4 · accession 0001437749-16-042112

BGC Group, Inc. · BGC

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

Reporting owner

Director

Period of report

Nov 10, 2016

Accepted (ET)

Nov 14, 2016 · 6:12 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 share^F1	Nov 10, 2016	M	7,534	$8.87	A	135,935	D
Class A Common Stock, par value $0.01 per share^F2,F1	Nov 10, 2016	G	7,534	$0.00	D	128,401	D
Class A Common Stock, par value $0.01 per share^F2	Nov 10, 2016	G	7,534	$7,534.00	A	7,955	I	By Trust

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
Stock Option (Right to Buy)	$8.87	Nov 10, 2016	M	7,534	D	Dec 14, 2006	Dec 14, 2016	Class A Common Stock, par value $0.01 per share	7,534	0	D

F1Includes (i) 5,650 shares of Class A Common Stock represented by 5,650 restricted stock units ("RSUs") granted under the BGC Partners, Inc. Seventh Amended and Restated Long Term Incentive Plan (the "LTIP") on June 22, 2016, of which 2,825 shares will vest on June 22, 2017, and 2,825 shares will vest on June 22, 2018; and (ii) 2,738 shares of Class A Common Stock represented by 2,738 RSUs granted under the LTIP on June 2, 2015, which will vest on June 2, 2017. Each RSU represents a contingent right to receive one share of Class A Common Stock, provided that the reporting person continues to serve as a member of the Board of Directors on each vesting date.
F2Reflects a gift of shares of Class A Common Stock by the reporting person to a trust for the benefit of the reporting person's family.