SEC Form 4 · accession 0000899243-18-030243
NEWMARK GROUP, INC. · NMRK
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Barry M Gosin
Officer — Chief Executive Officer
Period of report
Apr 2, 2018
Accepted (ET)
Dec 6, 2018 · 4:10 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001690680
Table I — non-derivative securities
No Table I lines on this filing.
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Newmark Holdings Exchangeable Limited Partnership UnitsF1 | — | Apr 2, 2018 | A | 563,765 | A | — | — | Class A common stock, par value $0.01 per share | — | 1,531,062 | D |
Explanation of responses
- F1On April 2, 2018, the reporting person was granted 563,765 exchange rights with respect to 563,765 previously awarded units ("Holdings Units") of Newmark Holdings, L.P. that were previously non-exchangeable. The total number of exchangeable Holdings Units held by the reporting person also included 967,297 exchangeable Holdings Units held by the reporting person prior to such grant. The exchangeable Holdings Units held by the reporting person are exchangeable, at the option of the holder thereof, into shares of Class A common stock, par value $0.01 per share, of Newmark Group, Inc. ("Class A common stock") at the current exchange ratio of 0.9793 shares of Class A common stock per Holdings Unit (subject to adjustment).