SEC Form 4 · accession 0001437749-18-008727
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
May 3, 2018
Accepted (ET)
May 4, 2018 · 6:41 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 shareF1 | May 3, 2018 | J | 9,342 | $0.00 | A | 32,428 | D | |
| Class A Common Stock, par value $0.01 per shareF1,F2 | May 3, 2018 | J | 6,258 | $0.00 | A | 6,258 | I | By various trusts |
| Class A Common Stock, par value $0.01 per shareF3 | holding | — | — | — | 21,565 | 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 acquired by the reporting person in a transaction exempt under Rule 16a-9(a) under the Securities Exchange Act of 1934, as amended, pursuant to a pro rata distribution by Cantor Fitzgerald, L.P. ("CFLP") to partners of CFLP.
- F2Represents shares of Class A Common Stock held in 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.
- F3Represents shares of Class A Common Stock held in the reporting person's 401(k) account as of April 30, 2018.