NMRK

SEC source: 0001437749-22-024945 · rdgdoc.xml · derivative · entry 1

CANTOR FITZGERALD, L. P. · CIK 0001024896 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 26,498,602

Underlying: Class A or Class B Common Stock, par value $0.01 per share · 194,002 shares

Expires not disclosed

F1 · security: On October 25, 2022, Cantor Fitzgerald, L.P. ("CFLP") purchased from Newmark Holdings, L.P. ("Newmark Holdings") an aggregate of 207,156 exchangeable limited partnership interests in Newmark Holdings (the "Interests") in a transaction exempt pursuant to Rule 16b-3 under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), in accordance with the Amended and Restated Agreement of Limited Partnership of Newmark Holdings, as amended and restated as of December 13, 2017 (as further amended from time to time, the "Newmark Holdings Agreement").

F2 · derivative.exercise_price: The exchange rights with respect to the 207,156 Interests are currently exercisable at any time for an aggregate of 194,002 shares of Class B Common Stock (or, at CFLP's option, an aggregate of 194,002 shares of Class A Common Stock) at the current exchange ratio (which is 0.9365 shares per Interest (subject to adjustment) as of September 30, 2022). The shares of Class B Common Stock are convertible at any time on a one-for-one basis (subject to adjustment) into shares of Class A Common Stock.

F1 · kind: On October 25, 2022, Cantor Fitzgerald, L.P. ("CFLP") purchased from Newmark Holdings, L.P. ("Newmark Holdings") an aggregate of 207,156 exchangeable limited partnership interests in Newmark Holdings (the "Interests") in a transaction exempt pursuant to Rule 16b-3 under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), in accordance with the Amended and Restated Agreement of Limited Partnership of Newmark Holdings, as amended and restated as of December 13, 2017 (as further amended from time to time, the "Newmark Holdings Agreement").

F3 · shares: Includes 104,701 Interests purchased from Newmark Holdings pursuant to Section 12.03 of the Newmark Holdings Agreement as a result of the redemption of 104,701 non-exchangeable founding partner units for an aggregate consideration of $446,647, and 102,454 Interests purchased from Newmark Holdings pursuant to Section 8.08 of the Newmark Holdings Agreement for an aggregate consideration of $272,100 as a result of the exchange of 102,454 exchangeable founding partner units.

F3 · price: Includes 104,701 Interests purchased from Newmark Holdings pursuant to Section 12.03 of the Newmark Holdings Agreement as a result of the redemption of 104,701 non-exchangeable founding partner units for an aggregate consideration of $446,647, and 102,454 Interests purchased from Newmark Holdings pursuant to Section 8.08 of the Newmark Holdings Agreement for an aggregate consideration of $272,100 as a result of the exchange of 102,454 exchangeable founding partner units.

F2 · derivative.exercise_date: The exchange rights with respect to the 207,156 Interests are currently exercisable at any time for an aggregate of 194,002 shares of Class B Common Stock (or, at CFLP's option, an aggregate of 194,002 shares of Class A Common Stock) at the current exchange ratio (which is 0.9365 shares per Interest (subject to adjustment) as of September 30, 2022). The shares of Class B Common Stock are convertible at any time on a one-for-one basis (subject to adjustment) into shares of Class A Common Stock.

F2 · derivative.expiration_date: The exchange rights with respect to the 207,156 Interests are currently exercisable at any time for an aggregate of 194,002 shares of Class B Common Stock (or, at CFLP's option, an aggregate of 194,002 shares of Class A Common Stock) at the current exchange ratio (which is 0.9365 shares per Interest (subject to adjustment) as of September 30, 2022). The shares of Class B Common Stock are convertible at any time on a one-for-one basis (subject to adjustment) into shares of Class A Common Stock.

F2 · derivative.underlying: The exchange rights with respect to the 207,156 Interests are currently exercisable at any time for an aggregate of 194,002 shares of Class B Common Stock (or, at CFLP's option, an aggregate of 194,002 shares of Class A Common Stock) at the current exchange ratio (which is 0.9365 shares per Interest (subject to adjustment) as of September 30, 2022). The shares of Class B Common Stock are convertible at any time on a one-for-one basis (subject to adjustment) into shares of Class A Common Stock.

F2 · derivative.underlying_shares: The exchange rights with respect to the 207,156 Interests are currently exercisable at any time for an aggregate of 194,002 shares of Class B Common Stock (or, at CFLP's option, an aggregate of 194,002 shares of Class A Common Stock) at the current exchange ratio (which is 0.9365 shares per Interest (subject to adjustment) as of September 30, 2022). The shares of Class B Common Stock are convertible at any time on a one-for-one basis (subject to adjustment) into shares of Class A Common Stock.

F4 · balance_after: The exchange rights with respect to the 26,498,602 Interests are currently exercisable at any time for an aggregate of 24,815,941 shares of Class B Common Stock (or, at CFLP's option, an aggregate of 24,815,941 shares of Class A Common Stock) at the current exchange ratio (which is 0.9365 shares per Interest (subject to adjustment) as of September 30, 2022). Includes Interests that may have to be exchanged for an aggregate of 7,284,935 shares of Class A Common Stock to satisfy CFLP's deferred share distribution obligations pursuant to rights provided to certain current and former partners of CFLP on April 1, 2008 and February 14, 2012.

SEC source: 0001437749-22-024943 · rdgdoc.xml · derivative · entry 1

LUTNICK HOWARD W · CIK 0001250975 · Director · Chairman · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 26,498,602

Underlying: Class A or Class B Common Stock, par value $0.01 per share · 194,002 shares

Expires not disclosed

F1 · security: On October 25, 2022, Cantor Fitzgerald, L.P. ("CFLP") purchased from Newmark Holdings, L.P. ("Newmark Holdings") an aggregate of 207,156 exchangeable limited partnership interests in Newmark Holdings (the "Interests") in a transaction exempt pursuant to Rule 16b-3 under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), in accordance with the Amended and Restated Agreement of Limited Partnership of Newmark Holdings, as amended and restated as of December 13, 2017 (as further amended from time to time, the "Newmark Holdings Agreement").

F2 · derivative.exercise_price: The exchange rights with respect to the 207,156 Interests are currently exercisable at any time for an aggregate of 194,002 shares of Class B Common Stock (or, at CFLP's option, an aggregate of 194,002 shares of Class A Common Stock) at the current exchange ratio (which is 0.9365 shares per Interest (subject to adjustment) as of September 30, 2022). The shares of Class B Common Stock are convertible at any time on a one-for-one basis (subject to adjustment) into shares of Class A Common Stock.

F1 · kind: On October 25, 2022, Cantor Fitzgerald, L.P. ("CFLP") purchased from Newmark Holdings, L.P. ("Newmark Holdings") an aggregate of 207,156 exchangeable limited partnership interests in Newmark Holdings (the "Interests") in a transaction exempt pursuant to Rule 16b-3 under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), in accordance with the Amended and Restated Agreement of Limited Partnership of Newmark Holdings, as amended and restated as of December 13, 2017 (as further amended from time to time, the "Newmark Holdings Agreement").

F3 · shares: Includes 104,701 Interests purchased from Newmark Holdings pursuant to Section 12.03 of the Newmark Holdings Agreement as a result of the redemption of 104,701 non-exchangeable founding partner units for an aggregate consideration of $446,647, and 102,454 Interests purchased from Newmark Holdings pursuant to Section 8.08 of the Newmark Holdings Agreement for an aggregate consideration of $272,100 as a result of the exchange of 102,454 exchangeable founding partner units.

F3 · price: Includes 104,701 Interests purchased from Newmark Holdings pursuant to Section 12.03 of the Newmark Holdings Agreement as a result of the redemption of 104,701 non-exchangeable founding partner units for an aggregate consideration of $446,647, and 102,454 Interests purchased from Newmark Holdings pursuant to Section 8.08 of the Newmark Holdings Agreement for an aggregate consideration of $272,100 as a result of the exchange of 102,454 exchangeable founding partner units.

F2 · derivative.exercise_date: The exchange rights with respect to the 207,156 Interests are currently exercisable at any time for an aggregate of 194,002 shares of Class B Common Stock (or, at CFLP's option, an aggregate of 194,002 shares of Class A Common Stock) at the current exchange ratio (which is 0.9365 shares per Interest (subject to adjustment) as of September 30, 2022). The shares of Class B Common Stock are convertible at any time on a one-for-one basis (subject to adjustment) into shares of Class A Common Stock.

F2 · derivative.expiration_date: The exchange rights with respect to the 207,156 Interests are currently exercisable at any time for an aggregate of 194,002 shares of Class B Common Stock (or, at CFLP's option, an aggregate of 194,002 shares of Class A Common Stock) at the current exchange ratio (which is 0.9365 shares per Interest (subject to adjustment) as of September 30, 2022). The shares of Class B Common Stock are convertible at any time on a one-for-one basis (subject to adjustment) into shares of Class A Common Stock.

F2 · derivative.underlying: The exchange rights with respect to the 207,156 Interests are currently exercisable at any time for an aggregate of 194,002 shares of Class B Common Stock (or, at CFLP's option, an aggregate of 194,002 shares of Class A Common Stock) at the current exchange ratio (which is 0.9365 shares per Interest (subject to adjustment) as of September 30, 2022). The shares of Class B Common Stock are convertible at any time on a one-for-one basis (subject to adjustment) into shares of Class A Common Stock.

F2 · derivative.underlying_shares: The exchange rights with respect to the 207,156 Interests are currently exercisable at any time for an aggregate of 194,002 shares of Class B Common Stock (or, at CFLP's option, an aggregate of 194,002 shares of Class A Common Stock) at the current exchange ratio (which is 0.9365 shares per Interest (subject to adjustment) as of September 30, 2022). The shares of Class B Common Stock are convertible at any time on a one-for-one basis (subject to adjustment) into shares of Class A Common Stock.

F4 · balance_after: The exchange rights with respect to the 26,498,602 Interests are currently exercisable at any time for an aggregate of 24,815,941 shares of Class B Common Stock (or, at CFLP's option, an aggregate of 24,815,941 shares of Class A Common Stock) at the current exchange ratio (which is 0.9365 shares per Interest (subject to adjustment) as of September 30, 2022). Includes Interests that may have to be exchanged for an aggregate of 7,284,935 shares of Class A Common Stock to satisfy CFLP's deferred share distribution obligations pursuant to rights provided to certain current and former partners of CFLP on April 1, 2008 and February 14, 2012.

F5 · ownership.nature: CF Group Management, Inc. ("CFGM") is the managing general partner of CFLP, and the reporting person is the Chief Executive Officer and sole stockholder of CFGM. The reporting person disclaims beneficial ownership of all such securities in excess of his pecuniary interest, if any, and this report shall not be deemed an admission that he is the beneficial owner of, or has pecuniary interest in, any such excess securities for purposes of Section 16 of the Exchange Act or for any other purpose.

SEC source: 0001437749-22-024942 · rdgdoc.xml · derivative · entry 1

CF GROUP MANAGEMENT INC · CIK 0001251145 · Director · Managing General Partner CFLP

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 26,498,602

Underlying: Class A or Class B Common Stock, par value $0.01 per share · 194,002 shares

Expires not disclosed

F1 · security: On October 25, 2022, Cantor Fitzgerald, L.P. ("CFLP") purchased from Newmark Holdings, L.P. ("Newmark Holdings") an aggregate of 207,156 exchangeable limited partnership interests in Newmark Holdings (the "Interests") in a transaction exempt pursuant to Rule 16b-3 under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), in accordance with the Amended and Restated Agreement of Limited Partnership of Newmark Holdings, as amended and restated as of December 13, 2017 (as further amended from time to time, the "Newmark Holdings Agreement").

F2 · derivative.exercise_price: The exchange rights with respect to the 207,156 Interests are currently exercisable at any time for an aggregate of 194,002 shares of Class B Common Stock (or, at CFLP's option, an aggregate of 194,002 shares of Class A Common Stock) at the current exchange ratio (which is .9365 shares per Interest (subject to adjustment) as of September 30, 2022). The shares of Class B Common Stock are convertible at any time on a one-for-one basis (subject to adjustment) into shares of Class A Common Stock.

F1 · kind: On October 25, 2022, Cantor Fitzgerald, L.P. ("CFLP") purchased from Newmark Holdings, L.P. ("Newmark Holdings") an aggregate of 207,156 exchangeable limited partnership interests in Newmark Holdings (the "Interests") in a transaction exempt pursuant to Rule 16b-3 under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), in accordance with the Amended and Restated Agreement of Limited Partnership of Newmark Holdings, as amended and restated as of December 13, 2017 (as further amended from time to time, the "Newmark Holdings Agreement").

F3 · shares: Includes 104,701 Interests purchased from Newmark Holdings pursuant to Section 12.03 of the Newmark Holdings Agreement as a result of the redemption of 104,701 non-exchangeable founding partner units for an aggregate consideration of $446,647, and 102,454 Interests purchased from Newmark Holdings pursuant to Section 8.08 of the Newmark Holdings Agreement for an aggregate consideration of $272,100 as a result of the exchange of 102,454 exchangeable founding partner units.

F3 · price: Includes 104,701 Interests purchased from Newmark Holdings pursuant to Section 12.03 of the Newmark Holdings Agreement as a result of the redemption of 104,701 non-exchangeable founding partner units for an aggregate consideration of $446,647, and 102,454 Interests purchased from Newmark Holdings pursuant to Section 8.08 of the Newmark Holdings Agreement for an aggregate consideration of $272,100 as a result of the exchange of 102,454 exchangeable founding partner units.

F2 · derivative.exercise_date: The exchange rights with respect to the 207,156 Interests are currently exercisable at any time for an aggregate of 194,002 shares of Class B Common Stock (or, at CFLP's option, an aggregate of 194,002 shares of Class A Common Stock) at the current exchange ratio (which is .9365 shares per Interest (subject to adjustment) as of September 30, 2022). The shares of Class B Common Stock are convertible at any time on a one-for-one basis (subject to adjustment) into shares of Class A Common Stock.

F2 · derivative.expiration_date: The exchange rights with respect to the 207,156 Interests are currently exercisable at any time for an aggregate of 194,002 shares of Class B Common Stock (or, at CFLP's option, an aggregate of 194,002 shares of Class A Common Stock) at the current exchange ratio (which is .9365 shares per Interest (subject to adjustment) as of September 30, 2022). The shares of Class B Common Stock are convertible at any time on a one-for-one basis (subject to adjustment) into shares of Class A Common Stock.

F2 · derivative.underlying: The exchange rights with respect to the 207,156 Interests are currently exercisable at any time for an aggregate of 194,002 shares of Class B Common Stock (or, at CFLP's option, an aggregate of 194,002 shares of Class A Common Stock) at the current exchange ratio (which is .9365 shares per Interest (subject to adjustment) as of September 30, 2022). The shares of Class B Common Stock are convertible at any time on a one-for-one basis (subject to adjustment) into shares of Class A Common Stock.

F2 · derivative.underlying_shares: The exchange rights with respect to the 207,156 Interests are currently exercisable at any time for an aggregate of 194,002 shares of Class B Common Stock (or, at CFLP's option, an aggregate of 194,002 shares of Class A Common Stock) at the current exchange ratio (which is .9365 shares per Interest (subject to adjustment) as of September 30, 2022). The shares of Class B Common Stock are convertible at any time on a one-for-one basis (subject to adjustment) into shares of Class A Common Stock.

F4 · balance_after: The exchange rights with respect to the 26,498,602 Interests are currently exercisable at any time for an aggregate of 24,815,941 shares of Class B Common Stock (or, at CFLP's option, an aggregate of 24,815,941 shares of Class A Common Stock) at the current exchange ratio (which is 0.9365 shares per Interest (subject to adjustment) as of September 30, 2022). Includes Interests that may have to be exchanged for an aggregate of 7,284,935 shares of Class A Common Stock to satisfy CFLP's deferred share distribution obligations pursuant to rights provided to certain current and former partners of CFLP on April 1, 2008 and February 14, 2012.

F5 · ownership.nature: CF Group Management, Inc. ("CFGM") is the managing general partner of CFLP. CFGM disclaims beneficial ownership of all such securities in excess of its pecuniary interest, if any, and this report shall not be deemed an admission that CFGM is the beneficial owner of, or has pecuniary interest in, any such excess securities for purposes of Section 16 of the Exchange Act or for any other purpose.

SEC source: 0001437749-22-023494 · rdgdoc.xml · derivative · entry 2

Rispoli Michael J. · CIK 0001446936 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,657

Underlying: Class A Common Stock, par value $0.01 per share · Not disclosed shares

Expires not disclosed

F3 · security: Consists of a grant of 20,221 exchange rights with respect to 20,221 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 includes 436 exchangeable Holdings Units held by the reporting person prior to such grant. Exchangeable Holdings Units are exchangeable by the holder at any time into shares of Class A Common Stock at the then-current exchange ratio. The grant was approved by the Compensation Committee of the Board of Directors of the Company and is exempt pursuant to Rule 16b-3 under the Exchange Act.

F3 · derivative.exercise_price: Consists of a grant of 20,221 exchange rights with respect to 20,221 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 includes 436 exchangeable Holdings Units held by the reporting person prior to such grant. Exchangeable Holdings Units are exchangeable by the holder at any time into shares of Class A Common Stock at the then-current exchange ratio. The grant was approved by the Compensation Committee of the Board of Directors of the Company and is exempt pursuant to Rule 16b-3 under the Exchange Act.

F3 · kind: Consists of a grant of 20,221 exchange rights with respect to 20,221 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 includes 436 exchangeable Holdings Units held by the reporting person prior to such grant. Exchangeable Holdings Units are exchangeable by the holder at any time into shares of Class A Common Stock at the then-current exchange ratio. The grant was approved by the Compensation Committee of the Board of Directors of the Company and is exempt pursuant to Rule 16b-3 under the Exchange Act.

F3 · shares: Consists of a grant of 20,221 exchange rights with respect to 20,221 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 includes 436 exchangeable Holdings Units held by the reporting person prior to such grant. Exchangeable Holdings Units are exchangeable by the holder at any time into shares of Class A Common Stock at the then-current exchange ratio. The grant was approved by the Compensation Committee of the Board of Directors of the Company and is exempt pursuant to Rule 16b-3 under the Exchange Act.

F3 · price: Consists of a grant of 20,221 exchange rights with respect to 20,221 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 includes 436 exchangeable Holdings Units held by the reporting person prior to such grant. Exchangeable Holdings Units are exchangeable by the holder at any time into shares of Class A Common Stock at the then-current exchange ratio. The grant was approved by the Compensation Committee of the Board of Directors of the Company and is exempt pursuant to Rule 16b-3 under the Exchange Act.

F3 · derivative.exercise_date: Consists of a grant of 20,221 exchange rights with respect to 20,221 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 includes 436 exchangeable Holdings Units held by the reporting person prior to such grant. Exchangeable Holdings Units are exchangeable by the holder at any time into shares of Class A Common Stock at the then-current exchange ratio. The grant was approved by the Compensation Committee of the Board of Directors of the Company and is exempt pursuant to Rule 16b-3 under the Exchange Act.

F3 · derivative.expiration_date: Consists of a grant of 20,221 exchange rights with respect to 20,221 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 includes 436 exchangeable Holdings Units held by the reporting person prior to such grant. Exchangeable Holdings Units are exchangeable by the holder at any time into shares of Class A Common Stock at the then-current exchange ratio. The grant was approved by the Compensation Committee of the Board of Directors of the Company and is exempt pursuant to Rule 16b-3 under the Exchange Act.

F3 · derivative.underlying_shares: Consists of a grant of 20,221 exchange rights with respect to 20,221 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 includes 436 exchangeable Holdings Units held by the reporting person prior to such grant. Exchangeable Holdings Units are exchangeable by the holder at any time into shares of Class A Common Stock at the then-current exchange ratio. The grant was approved by the Compensation Committee of the Board of Directors of the Company and is exempt pursuant to Rule 16b-3 under the Exchange Act.

SEC source: 0001437749-22-023494 · rdgdoc.xml · nonDerivative · entry 1

Rispoli Michael J. · CIK 0001446936 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 775,926

F1 · shares: Consists of 500,000 shares of Class A Common Stock, par value $0.01 per share (the "Class A Common Stock"), of Newmark Group, Inc. (the "Company") represented by 500,000 of the Company's restricted stock units ("RSUs") granted in connection with the execution of an employment agreement, divided into tranches of 100,000 RSUs each that vest on a seven-year schedule. The grant was approved by the Compensation Committee of the Board of Directors of the Company and is exempt pursuant to Rule 16b-3 under the Securities Exchange Act of 1934, as amended (the "Exchange Act").

F2 · shares: Also consists of 250,000 shares of Class A Common Stock represented by 250,000 RSUs granted in connection with the execution of an employment agreement, divided in tranches of 50,000 RSUs each that vest on a seven-year schedule. The grant was approved by the Compensation Committee of the Board of Directors of the Company and is exempt pursuant to Rule 16b-3 under the Exchange Act.

F1 · price: Consists of 500,000 shares of Class A Common Stock, par value $0.01 per share (the "Class A Common Stock"), of Newmark Group, Inc. (the "Company") represented by 500,000 of the Company's restricted stock units ("RSUs") granted in connection with the execution of an employment agreement, divided into tranches of 100,000 RSUs each that vest on a seven-year schedule. The grant was approved by the Compensation Committee of the Board of Directors of the Company and is exempt pursuant to Rule 16b-3 under the Securities Exchange Act of 1934, as amended (the "Exchange Act").

F2 · price: Also consists of 250,000 shares of Class A Common Stock represented by 250,000 RSUs granted in connection with the execution of an employment agreement, divided in tranches of 50,000 RSUs each that vest on a seven-year schedule. The grant was approved by the Compensation Committee of the Board of Directors of the Company and is exempt pursuant to Rule 16b-3 under the Exchange Act.

SEC source: 0001437749-22-023317 · rdgdoc.xml · nonDerivative · entry 1

Bauer Virginia S · CIK 0001745441 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 45,937

F1 · shares: The 6,010 shares of Class A Common Stock, par value $0.01 per share (the "Class A Common Stock"), are represented by 6,010 restricted stock units ("RSUs") granted under the Newmark Group, Inc. Long Term Incentive Plan. Each RSU represents a contingent right to receive one share of Class A Common Stock. Of the 6,010 RSUs, 3,005 RSUs will vest on September 28, 2023 and 3,005 RSUs will vest on September 28, 2024, provided that the reporting person continues to serve as a member of the Board of Directors on such dates.

F2 · balance_after: Includes 3,154 RSUs granted on December 17, 2021, 1,577 of which will vest on December 17, 2022 and 1,577 of which will invest on December 17, 2023.

SEC source: 0001437749-22-023319 · rdgdoc.xml · nonDerivative · entry 1

Itzkowitz Jay · CIK 0001635378 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 28,587

F1 · shares: The 6,010 shares of Class A Common Stock, par value $0.01 per share (the "Class A Common Stock"), are represented by 6,010 restricted stock units ("RSUs") granted under the Newmark Group, Inc. Long Term Incentive Plan. Each RSU represents a contingent right to receive one share of Class A Common Stock. Of the 6,010 RSUs, 3,005 RSUs will vest on September 28, 2023, and 3,005 RSUs will vest on September 28, 2024, provided that the reporting person continues to serve as a member of the Board of Directors on such dates.

F2 · balance_after: Also includes 6,481 RSUs granted on August 10, 2022, 3,240 of which will vest on August 10, 2023, and 3,241 RSUs will vest on August 10, 2024.

SEC source: 0001437749-22-023314 · rdgdoc.xml · nonDerivative · entry 1

McIntyre Kenneth A Jr · CIK 0001607290 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 26,678

F1 · shares: The 6,010 shares of Class A Common Stock, par value $0.01 per share (the "Class A Common Stock"), are represented by 6,010 restricted stock units ("RSUs") granted under the Newmark Group, Inc. Long Term Incentive Plan. Each RSU represents a contingent right to receive one share of Class A Common Stock. Of the 6,010 RSUs, 3,005 RSUs will vest on September 28, 2023 and 3,005 RSUs will vest on September 28, 2024, provided that the reporting person continues to serve as a member of the Board of Directors on such dates.

F2 · balance_after: Also includes 3,154 RSUs granted on December 17, 2021, 1577 of which will vest on December 17, 2022 and 1577 RSUs will vest on December 7, 2023.

SEC source: 0001437749-23-013938 · rdgdoc.xml · nonDerivative · entry 1

Bauer Virginia S · CIK 0001745441 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 45,937

F1 · shares: The 6,010 shares of Class A Common Stock, par value $0.01 per share (the "Class A Common Stock"), are represented by 6,010 restricted stock units ("RSUs") granted under the Newmark Group, Inc. Long Term Incentive Plan. Each RSU represents a contingent right to receive one share of Class A Common Stock. Of the 6,010 RSUs, 3,005 RSUs will vest on September 28, 2023 and 3,005 RSUs will vest on September 28, 2024, provided that the reporting person continues to serve as a member of the Board of Directors on such dates.

F2 · balance_after: Also includes 3,154 RSUs granted on December 17, 2021, 1,577 of which vested on December 17, 2022 and 1,577 of which will vest on December 17, 2023.

F3 · balance_after: This amendment is being filed solely to remove an overstated holding of Class A Common Stock which, due to an administrative error, separately reflected vested RSUs that had already been included in the amount of shares beneficially owned.

SEC source: 0001437749-23-013934 · rdgdoc.xml · nonDerivative · entry 1

McIntyre Kenneth A Jr · CIK 0001607290 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 26,678

F1 · shares: The 6,010 shares of Class A Common Stock, par value $0.01 per share (the "Class A Common Stock"), are represented by 6,010 restricted stock units ("RSUs") granted under the Newmark Group, Inc. Long Term Incentive Plan. Each RSU represents a contingent right to receive one share of Class A Common Stock. Of the 6,010 RSUs, 3,005 RSUs will vest on September 28, 2023 and 3,005 RSUs will vest on September 28, 2024, provided that the reporting person continues to serve as a member of the Board of Directors on such dates.

F2 · balance_after: Also includes 3,154 RSUs granted on December 17, 2021, 1,577 of which vested on December 17, 2022 and 1,577 of which will vest on December 17, 2023.

F3 · balance_after: This amendment is being filed solely to remove an overstated holding of Class A Common Stock which, due to an administrative error, separately reflected vested RSUs that had already been included in the amount of securities beneficially owned.

SEC source: 0001437749-22-022629 · rdgdoc.xml · nonDerivative · entry 1

LUTNICK HOWARD W · CIK 0001250975 · Director · Chairman · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnotes

Disclosed balance after: 8,181,684

F1 · kind: Represents a gift of Newmark Group, Inc. Class A Common Stock, par value $0.01 per share (the "Class A Common Stock"), by the reporting person's personal asset trust, of which he is the sole trustee, to a charitable organization.

F2 · balance_after: The reporting person's indirect pecuniary interest in 8,181,684 shares of Class A Common Stock consists of: (i) 1,025,612 shares receivable by CF Group Management, Inc. ("CFGM") pursuant to deferred stock distribution rights provided to certain current and former partners of Cantor Fitzgerald, L.P. ("CFLP") on April 1, 2008 ("April 2008 distribution right shares") and February 14, 2012 ("February 2012 distribution rights shares") (consisting of 951,076 April 2008 distribution rights shares and 74,536 February 2012 distribution rights shares"); (ii) 4,715,125 shares of Class A Common Stock held in various trust, retirement and custodial accounts consisting of (a) 907,803 shares held by a trust for the benefit of the descendants of the reporting person and his immediate family, of which the reporting person's wife is one of two trustees and the reporting person has limited powers to remove and replace such trustees (the "Trust"), (b) 112,405 shares held in a Keogh retirement account

F3 · balance_after: (continued from footnote 2) for Mr. Lutnick, (c) 249,498 shares held by trust accounts for the benefit of Mr. Lutnick and members of his immediate family, (d) 3,417,890 shares held in Mr. Lutnick's personal asset trust, of which he is the sole trustee, (e) 13,268 shares held in other retirement accounts, (f) 7,827 shares held in custodial accounts for the benefit of certain members of Mr. Lutnick's family under the Uniform Gifts to Minors Act, and (g) 4,039 shares held in other retirement accounts for Mr. Lutnick's spouse; (iii) 746,955 April 2008 distribution rights shares receivable by the Trust; (iv) 16,557 shares (representing the proportional interest of the spouse of the reporting person in shares owned by LFA LLC ("LFA")); (v) 82,589 shares represented by such spouse's proportional interest in the distribution rights shares receivable by LFA (consisting of 75,077 April 2008 distribution rights shares and 7,512 February 2012 distribution rights shares)

F4 · balance_after: (continued from footnote 3); (vi) 278,772 shares held by KBCR Management Partners, LLC ("KBCR"); (vii) 1,083,644 distribution rights shares receivable by KBCR (consisting of 950,057 April 2008 distribution rights shares and 133,587 February 2012 distribution rights shares); and (viii) 234,825 shares held in the reporting person's 401(k) account as of July 31, 2022.

F5 · balance_after: CFGM is the Managing General Partner of CFLP, and the reporting person is the Chairman and Chief Executive Officer of CFGM and also the trustee of an entity that is the sole stockholder of CFGM. KBCR is a non-managing General Partner of CFLP, and the reporting person is the managing member of KBCR. The reporting person is the managing member of LFA. The reporting person disclaims beneficial ownership of all shares held by CFLP, CFGM, KBCR and LFA in excess of his pecuniary interest, if any, and this report shall not be deemed an admission that he is the beneficial owner of, or has pecuniary interest in, any such excess shares for the purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

F2 · ownership.nature: The reporting person's indirect pecuniary interest in 8,181,684 shares of Class A Common Stock consists of: (i) 1,025,612 shares receivable by CF Group Management, Inc. ("CFGM") pursuant to deferred stock distribution rights provided to certain current and former partners of Cantor Fitzgerald, L.P. ("CFLP") on April 1, 2008 ("April 2008 distribution right shares") and February 14, 2012 ("February 2012 distribution rights shares") (consisting of 951,076 April 2008 distribution rights shares and 74,536 February 2012 distribution rights shares"); (ii) 4,715,125 shares of Class A Common Stock held in various trust, retirement and custodial accounts consisting of (a) 907,803 shares held by a trust for the benefit of the descendants of the reporting person and his immediate family, of which the reporting person's wife is one of two trustees and the reporting person has limited powers to remove and replace such trustees (the "Trust"), (b) 112,405 shares held in a Keogh retirement account

F3 · ownership.nature: (continued from footnote 2) for Mr. Lutnick, (c) 249,498 shares held by trust accounts for the benefit of Mr. Lutnick and members of his immediate family, (d) 3,417,890 shares held in Mr. Lutnick's personal asset trust, of which he is the sole trustee, (e) 13,268 shares held in other retirement accounts, (f) 7,827 shares held in custodial accounts for the benefit of certain members of Mr. Lutnick's family under the Uniform Gifts to Minors Act, and (g) 4,039 shares held in other retirement accounts for Mr. Lutnick's spouse; (iii) 746,955 April 2008 distribution rights shares receivable by the Trust; (iv) 16,557 shares (representing the proportional interest of the spouse of the reporting person in shares owned by LFA LLC ("LFA")); (v) 82,589 shares represented by such spouse's proportional interest in the distribution rights shares receivable by LFA (consisting of 75,077 April 2008 distribution rights shares and 7,512 February 2012 distribution rights shares)

F4 · ownership.nature: (continued from footnote 3); (vi) 278,772 shares held by KBCR Management Partners, LLC ("KBCR"); (vii) 1,083,644 distribution rights shares receivable by KBCR (consisting of 950,057 April 2008 distribution rights shares and 133,587 February 2012 distribution rights shares); and (viii) 234,825 shares held in the reporting person's 401(k) account as of July 31, 2022.

F5 · ownership.nature: CFGM is the Managing General Partner of CFLP, and the reporting person is the Chairman and Chief Executive Officer of CFGM and also the trustee of an entity that is the sole stockholder of CFGM. KBCR is a non-managing General Partner of CFLP, and the reporting person is the managing member of KBCR. The reporting person is the managing member of LFA. The reporting person disclaims beneficial ownership of all shares held by CFLP, CFGM, KBCR and LFA in excess of his pecuniary interest, if any, and this report shall not be deemed an admission that he is the beneficial owner of, or has pecuniary interest in, any such excess shares for the purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

SEC source: 0001437749-22-021827 · rdgdoc.xml · nonDerivative · entry 1

LUTNICK HOWARD W · CIK 0001250975 · Director · Chairman · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnotes

Disclosed balance after: 8,184,079

F1 · kind: Represents a gift of Newmark Group, Inc. Class A Common Stock, par value $0.01 per share (the "Class A Common Stock"), by the reporting person's personal asset trust, of which he is the sole trustee, to a charitable organization.

F2 · balance_after: The reporting person's indirect pecuniary interest in 8,273,535 shares of Class A Common Stock consists of: (i) 1,025,612 shares receivable by CF Group Management, Inc. ("CFGM") pursuant to deferred stock distribution rights provided to certain current and former partners of Cantor Fitzgerald, L.P. ("CFLP") on April 1, 2008 ("April 2008 distribution right shares") and February 14, 2012 ("February 2012 distribution rights shares") (consisting of 951,076 April 2008 distribution rights shares and 74,536 February 2012 distribution rights shares"); (ii) 4,715,125 shares of Class A Common Stock held in various trust, retirement and custodial accounts consisting of (a) 907,803 shares held by a trust for the benefit of the descendants of the reporting person and his immediate family, of which the reporting person's wife is one of two trustees and the reporting person has limited powers to remove and replace such trustees (the "Trust"), (b) 112,405 shares held in a Keogh retirement account

F3 · balance_after: (continued from footnote 2) for Mr. Lutnick, (c) 249,498 shares held by trust accounts for the benefit of Mr. Lutnick and members of his immediate family, (d) 3,420,285 shares held in Mr. Lutnick's personal asset trust, of which he is the sole trustee, (e) 13,268 shares held in other retirement accounts, (f) 7,827 shares held in custodial accounts for the benefit of certain members of Mr. Lutnick's family under the Uniform Gifts to Minors Act, and (g) 4,039 shares held in other retirement accounts for Mr. Lutnick's spouse; (iii) 746,955 April 2008 distribution rights shares receivable by the Trust; (iv) 16,557 shares (representing the proportional interest of the spouse of the reporting person in shares owned by LFA LLC ("LFA")); (v) 82,589 shares represented by such spouse's proportional interest in the distribution rights shares receivable by LFA (consisting of 75,077 April 2008 distribution rights shares and 7,512 February 2012 distribution rights shares)

F4 · balance_after: (continued from footnote 3); (vi) 278,772 shares held by KBCR Management Partners, LLC ("KBCR"); (vii) 1,083,644 distribution rights shares receivable by KBCR (consisting of 950,057 April 2008 distribution rights shares and 133,587 February 2012 distribution rights shares); and (viii) 234,825 shares held in the reporting person's 401(k) account as of July 31, 2022.

F5 · balance_after: CFGM is the Managing General Partner of CFLP, and the reporting person is the Chairman and Chief Executive Officer of CFGM and also the trustee of an entity that is the sole stockholder of CFGM. KBCR is a non-managing General Partner of CFLP, and the reporting person is the managing member of KBCR. The reporting person is the managing member of LFA. The reporting person disclaims beneficial ownership of all shares held by CFLP, CFGM, KBCR and LFA in excess of his pecuniary interest, if any, and this report shall not be deemed an admission that he is the beneficial owner of, or has pecuniary interest in, any such excess shares for the purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

F2 · ownership.nature: The reporting person's indirect pecuniary interest in 8,273,535 shares of Class A Common Stock consists of: (i) 1,025,612 shares receivable by CF Group Management, Inc. ("CFGM") pursuant to deferred stock distribution rights provided to certain current and former partners of Cantor Fitzgerald, L.P. ("CFLP") on April 1, 2008 ("April 2008 distribution right shares") and February 14, 2012 ("February 2012 distribution rights shares") (consisting of 951,076 April 2008 distribution rights shares and 74,536 February 2012 distribution rights shares"); (ii) 4,715,125 shares of Class A Common Stock held in various trust, retirement and custodial accounts consisting of (a) 907,803 shares held by a trust for the benefit of the descendants of the reporting person and his immediate family, of which the reporting person's wife is one of two trustees and the reporting person has limited powers to remove and replace such trustees (the "Trust"), (b) 112,405 shares held in a Keogh retirement account

F3 · ownership.nature: (continued from footnote 2) for Mr. Lutnick, (c) 249,498 shares held by trust accounts for the benefit of Mr. Lutnick and members of his immediate family, (d) 3,420,285 shares held in Mr. Lutnick's personal asset trust, of which he is the sole trustee, (e) 13,268 shares held in other retirement accounts, (f) 7,827 shares held in custodial accounts for the benefit of certain members of Mr. Lutnick's family under the Uniform Gifts to Minors Act, and (g) 4,039 shares held in other retirement accounts for Mr. Lutnick's spouse; (iii) 746,955 April 2008 distribution rights shares receivable by the Trust; (iv) 16,557 shares (representing the proportional interest of the spouse of the reporting person in shares owned by LFA LLC ("LFA")); (v) 82,589 shares represented by such spouse's proportional interest in the distribution rights shares receivable by LFA (consisting of 75,077 April 2008 distribution rights shares and 7,512 February 2012 distribution rights shares)

F4 · ownership.nature: (continued from footnote 3); (vi) 278,772 shares held by KBCR Management Partners, LLC ("KBCR"); (vii) 1,083,644 distribution rights shares receivable by KBCR (consisting of 950,057 April 2008 distribution rights shares and 133,587 February 2012 distribution rights shares); and (viii) 234,825 shares held in the reporting person's 401(k) account as of July 31, 2022.

F5 · ownership.nature: CFGM is the Managing General Partner of CFLP, and the reporting person is the Chairman and Chief Executive Officer of CFGM and also the trustee of an entity that is the sole stockholder of CFGM. KBCR is a non-managing General Partner of CFLP, and the reporting person is the managing member of KBCR. The reporting person is the managing member of LFA. The reporting person disclaims beneficial ownership of all shares held by CFLP, CFGM, KBCR and LFA in excess of his pecuniary interest, if any, and this report shall not be deemed an admission that he is the beneficial owner of, or has pecuniary interest in, any such excess shares for the purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

SEC source: 0001437749-22-020123 · rdgdoc.xml · nonDerivative · entry 1

Itzkowitz Jay · CIK 0001635378 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 22,577

F1 · shares: The 6,481 shares of Class A Common Stock, par value $0.01 per share (the "Class A Common Stock"), are represented by 6,481 restricted stock units ("RSUs") granted under the Newmark Group, Inc. Long Term Incentive Plan. Each RSU represents a contingent right to receive one share of Class A Common Stock. Of the 6,481 RSUs, 3,240 RSUs will vest on August 10, 2023, and 3,241 RSUs will vest on August 10, 2024, provided that the reporting person continues to serve as a member of the Board of Directors on such dates.

SEC source: 0001437749-22-015162 · rdgdoc.xml · nonDerivative · entry 1

LUTNICK HOWARD W · CIK 0001250975 · Director · Chairman · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · Trust

Disclosed balance after: 8,348,434

F1 · price: This transaction was by a trust for the benefit of descendants of the reporting person and his immediate family (the "Trust"), of which Mr. Lutnick's wife is one of the two trustees and Mr. Lutnick has limited powers to remove and replace such trustees, and was executed in multiple trades at prices ranging from $8.96 to $9.20. The price reported above reflects the weighted-average purchase price. The reporting person hereby undertakes to provide to the Securities and Exchange Commission staff, the issuer or any security holder of the issuer, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote (1).

F1 · ownership.nature: This transaction was by a trust for the benefit of descendants of the reporting person and his immediate family (the "Trust"), of which Mr. Lutnick's wife is one of the two trustees and Mr. Lutnick has limited powers to remove and replace such trustees, and was executed in multiple trades at prices ranging from $8.96 to $9.20. The price reported above reflects the weighted-average purchase price. The reporting person hereby undertakes to provide to the Securities and Exchange Commission staff, the issuer or any security holder of the issuer, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote (1).

F2 · ownership.nature: The reporting person's indirect pecuniary interest in 8,348,434 shares of Class A Common Stock consists of: (i) 1,025,612 shares receivable by CF Group Management, Inc. ("CFGM") pursuant to deterred stock distribution rights provided to certain current and former partners of Cantor Fitzgerald, L.P. ("CFLP") on April 1, 2008 ("April 2008 distribution right shares") and February 14, 2012 ("February 2012 distribution rights shares) (consisting of 951,076 April 2008 distribution rights shares and 74,536 February 2012 distribution rights shares); (ii) 4,880,015 shares of Class A Common Stock held in various trust, retirement and custodial accounts consisting of (a) 907,803 shares held by the Trust, (b) 112,405 shares held in a Keogh retirement account for Mr. Lutnick, (c) 249,498 shares

F3 · ownership.nature: (continued from footnote 2) held by trust accounts for the benefit of Mr. Lutnick and members of his immediate family, (d) 3,585,184 shares held in Mr. Lutnick's personal asset trust, of which he is the sole trustee, (e) 13,268 shares held in other retirement accounts, (f) 7,827 shares held in custodial accounts for the benefit of certain members of Mr. Lutnick's family under the Uniform Gifts to Minors Act, and (g) 4,030 shares held in other retirement accounts for Mr. Lutnick's spouse; (iii) 746,955 shares represented by April 2008 distribution rights shares receivable by the Trust; (iv) 16,557 shares (representing the proportional interest of the spouse of the reporting person in shares owned by LFA LLC ("LFA")); (v) 82,589 shares represented by such spouse's proportional interest in the distribution rights shares receivable by LFA (consisting of 75,077 April 2008 distribution rights shares and 7,512 February 2012 distribution rights shares)

F4 · ownership.nature: (continued from footnote 3); (vi) 278,772 shares held by KBCR Management Partners, LLC ("KBCR"); (vii) 1,083,644 distribution rights shares receivable by KBCR (consisting of 950,057 April 2008 distribution rights shares and 133,587 February 2012 distribution rights shares); and (viii) 234,290 shares held in the reporting person's 401(k) account as of April 30, 2022.

F5 · ownership.nature: CFGM is the Managing General Partner of CFLP, and the reporting person is the Chairman and Chief Executive Officer and also the trustee of an entity that is the sole stockholder of CFGM. KBCR is a non-managing General Partner of CFLP, and the reporting person is the managing member of KBCR. The reporting person is the managing member of LFA. The reporting person disclaims beneficial ownership of all shares held by CFLP, CFGM, KBCR and LFA in excess of his pecuniary interest, if any, and this report shall not be deemed an admission that he is the beneficial owner of, or has pecuniary interest in, any such excess shares for the purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

SEC source: 0001437749-22-013536 · rdgdoc.xml · nonDerivative · entry 1

LUTNICK HOWARD W · CIK 0001250975 · Director · Chairman · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · Trust

Disclosed balance after: 8,019,434

F1 · price: This transaction was by a trust for the benefit of descendants of the reporting person and his immediate family (the "Trust"), of which Mr. Lutnick's wife is one of the two trustees and Mr. Lutnick has limited powers to remove and replace such trustees, and was executed in multiple trades at prices ranging from $10.71 to $10.92. The price reported above reflects the weighted-average purchase price. The reporting person hereby undertakes to provide to the Securities and Exchange Commission staff, the issuer or any security holder of the issuer, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote (1).

F1 · ownership.nature: This transaction was by a trust for the benefit of descendants of the reporting person and his immediate family (the "Trust"), of which Mr. Lutnick's wife is one of the two trustees and Mr. Lutnick has limited powers to remove and replace such trustees, and was executed in multiple trades at prices ranging from $10.71 to $10.92. The price reported above reflects the weighted-average purchase price. The reporting person hereby undertakes to provide to the Securities and Exchange Commission staff, the issuer or any security holder of the issuer, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote (1).

F2 · ownership.nature: The reporting person's indirect pecuniary interest in 8,019,434 shares of Class A Common Stock consists of: (i) 1,025,612 shares receivable by CF Group Management, Inc. ("CFGM") pursuant to deterred stock distribution rights provided to certain current and former partners of Cantor Fitzgerald, L.P. ("CFLP") on April 1, 2008 ("April 2008 distribution right shares") and February 14, 2012 ("February 2012 distribution rights shares) (consisting of 951,076 April 2008 distribution rights shares and 74,536 February 2012 distribution rights shares); (ii) 4,551,015 shares of Class A Common Stock held in various trust, retirement and custodial accounts consisting of (a) 578,803 shares held by the Trust, (b) 112,405 shares held in a Keogh

F3 · ownership.nature: (continued from footnote 2) held by trust accounts for the benefit of Mr. Lutnick and members of his immediate family, (d) 3,585,184 shares held in Mr. Lutnick's personal asset trust, of which he is the sole trustee, (e) 13,268 shares held in other retirement accounts, (f) 7,827 shares held in custodial accounts for the benefit of certain members of Mr. Lutnick's family under the Uniform Gifts to Minors Act, and (g) 4,030 shares held in other retirement accounts for Mr. Lutnick's spouse; (iii) 746,955 shares represented by April 2008 distribution rights shares receivable by the Trust; (iv) 16,557 shares (representing the proportional interest of the spouse of the reporting person in shares owned by LFA LLC ("LFA")); (v) 82,589 shares represented by such spouse's proportional interest in the distribution rights shares receivable by LFA (consisting of 75,077 April 2008 distribution rights shares and 7,512 February 2012 distribution rights shares)

F4 · ownership.nature: (continued from footnote 3); (vi) 278,772 shares held by KBCR Management Partners, LLC ("KBCR"); (vii) 1,083,644 distribution rights shares receivable by KBCR (consisting of 950,057 April 2008 distribution rights shares and 133,587 February 2012 distribution rights shares); and (viii) 234,290 shares held in the reporting person's 401(k) account as of April 30, 2022.

F5 · ownership.nature: CFGM is the Managing General Partner of CFLP, and the reporting person is the Chairman and Chief Executive Officer and also the trustee of an entity that is the sole stockholder of CFGM. KBCR is a non-managing General Partner of CFLP, and the reporting person is the managing member of KBCR. The reporting person is the managing member of LFA. The reporting person disclaims beneficial ownership of all shares held by CFLP, CFGM, KBCR and LFA in excess of his pecuniary interest, if any, and this report shall not be deemed an admission that he is the beneficial owner of, or has pecuniary interest in, any such excess shares for the purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

SEC source: 0001437749-22-012936 · rdgdoc.xml · derivative · entry 1

CANTOR FITZGERALD, L. P. · CIK 0001024896 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 26,291,446

Underlying: Class A or Class B Common Stock, par value $0.01 per share · 196,508 shares

Expires not disclosed

F1 · security: On May 17, 2022, Cantor Fitzgerald, L.P. ("CFLP") purchased from Newmark Holdings, L.P. ("Newmark Holdings") an aggregate of 208,276 exchangeable limited partnership interests in Newmark Holdings (the "Interests") in a transaction exempt pursuant to Rule 16b-3 under the Securities Exchange Act of 1934, as amended, in accordance with the Amended and Restated Agreement of Limited Partnership of Newmark Holdings, as amended and restated as of December 13, 2017 (as further amended from time to time, the "Newmark Holdings Agreement").

F2 · derivative.exercise_price: The exchange rights with respect to the 208,276 Interests are currently exercisable at any time for an aggregate of 196,508 shares of Class B Common Stock (or, at CFLP's option, an aggregate of 196,508 shares of Class A Common Stock) at the current exchange ratio (which is 0.9435 shares per Interest (subject to adjustment) as of March 31, 2022). The shares of Class B Common Stock are convertible at any time on a one-for-one basis (subject to adjustment) into shares of Class A Common Stock.

F1 · kind: On May 17, 2022, Cantor Fitzgerald, L.P. ("CFLP") purchased from Newmark Holdings, L.P. ("Newmark Holdings") an aggregate of 208,276 exchangeable limited partnership interests in Newmark Holdings (the "Interests") in a transaction exempt pursuant to Rule 16b-3 under the Securities Exchange Act of 1934, as amended, in accordance with the Amended and Restated Agreement of Limited Partnership of Newmark Holdings, as amended and restated as of December 13, 2017 (as further amended from time to time, the "Newmark Holdings Agreement").

F3 · shares: Includes 184,714 Interests purchased from Newmark Holdings pursuant to Sections 12.02 and 12.03 of the Newmark Holdings Agreement as a result of the redemption of 184,714 non-exchangeable founding partner units for an aggregate consideration of $763,064, and 23,562 Interests purchased from Newmark Holdings pursuant to Section 8.08 of the Newmark Holdings Agreement for an aggregate consideration of $100,079 as a result of the exchange of 23,562 exchangeable founding partner units.

F3 · price: Includes 184,714 Interests purchased from Newmark Holdings pursuant to Sections 12.02 and 12.03 of the Newmark Holdings Agreement as a result of the redemption of 184,714 non-exchangeable founding partner units for an aggregate consideration of $763,064, and 23,562 Interests purchased from Newmark Holdings pursuant to Section 8.08 of the Newmark Holdings Agreement for an aggregate consideration of $100,079 as a result of the exchange of 23,562 exchangeable founding partner units.

F2 · derivative.exercise_date: The exchange rights with respect to the 208,276 Interests are currently exercisable at any time for an aggregate of 196,508 shares of Class B Common Stock (or, at CFLP's option, an aggregate of 196,508 shares of Class A Common Stock) at the current exchange ratio (which is 0.9435 shares per Interest (subject to adjustment) as of March 31, 2022). The shares of Class B Common Stock are convertible at any time on a one-for-one basis (subject to adjustment) into shares of Class A Common Stock.

F2 · derivative.expiration_date: The exchange rights with respect to the 208,276 Interests are currently exercisable at any time for an aggregate of 196,508 shares of Class B Common Stock (or, at CFLP's option, an aggregate of 196,508 shares of Class A Common Stock) at the current exchange ratio (which is 0.9435 shares per Interest (subject to adjustment) as of March 31, 2022). The shares of Class B Common Stock are convertible at any time on a one-for-one basis (subject to adjustment) into shares of Class A Common Stock.

F2 · derivative.underlying: The exchange rights with respect to the 208,276 Interests are currently exercisable at any time for an aggregate of 196,508 shares of Class B Common Stock (or, at CFLP's option, an aggregate of 196,508 shares of Class A Common Stock) at the current exchange ratio (which is 0.9435 shares per Interest (subject to adjustment) as of March 31, 2022). The shares of Class B Common Stock are convertible at any time on a one-for-one basis (subject to adjustment) into shares of Class A Common Stock.

F2 · derivative.underlying_shares: The exchange rights with respect to the 208,276 Interests are currently exercisable at any time for an aggregate of 196,508 shares of Class B Common Stock (or, at CFLP's option, an aggregate of 196,508 shares of Class A Common Stock) at the current exchange ratio (which is 0.9435 shares per Interest (subject to adjustment) as of March 31, 2022). The shares of Class B Common Stock are convertible at any time on a one-for-one basis (subject to adjustment) into shares of Class A Common Stock.

F4 · balance_after: The exchange rights with respect to the 26,291,446 Interests are currently exercisable at any time for an aggregate of 24,805,979 shares of Class B Common Stock (or, at CFLP's option, an aggregate of 24,805,979 shares of Class A Common Stock) at the current exchange ratio (which is 0.9435 shares per Interest (subject to adjustment) as of March 31, 2022).Includes Interests that may have to be exchanged for an aggregate of 7,284,934 shares of Class A Common Stock to satisfy CFLP's deferred share distribution obligations pursuant to rights provided to certain current and former partners of CFLP on April 1, 2008 and February 14, 2012.

SEC source: 0001437749-22-012926 · rdgdoc.xml · derivative · entry 1

LUTNICK HOWARD W · CIK 0001250975 · Director · Chairman · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 26,291,446

Underlying: Class A or Class B Common Stock, par value $0.01 per share · 196,508 shares

Expires not disclosed

F1 · security: On May 17, 2022, Cantor Fitzgerald, L.P. ("CFLP") purchased from Newmark Holdings, L.P. ("Newmark Holdings") an aggregate of 208,276 exchangeable limited partnership interests in Newmark Holdings (the "Interests") in a transaction exempt pursuant to Rule 16b-3 under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), in accordance with the Amended and Restated Agreement of Limited Partnership of Newmark Holdings, as amended and restated as of December 13, 2017 (as further amended from time to time, the "Newmark Holdings Agreement").

F2 · derivative.exercise_price: The exchange rights with respect to the 208,276 Interests are currently exercisable at any time for an aggregate of 196,508 shares of Class B Common Stock (or, at CFLP's option an aggregate of 196,508 shares of Class A Common Stock) at the current exchange ratio (which is 0.9435 shares per Interest (subject to adjustment) as of March 31, 2022). The shares of Class B Common Stock are convertible at any time on a one-for-one basis (subject to adjustment) into shares of Class A Common Stock.

F1 · kind: On May 17, 2022, Cantor Fitzgerald, L.P. ("CFLP") purchased from Newmark Holdings, L.P. ("Newmark Holdings") an aggregate of 208,276 exchangeable limited partnership interests in Newmark Holdings (the "Interests") in a transaction exempt pursuant to Rule 16b-3 under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), in accordance with the Amended and Restated Agreement of Limited Partnership of Newmark Holdings, as amended and restated as of December 13, 2017 (as further amended from time to time, the "Newmark Holdings Agreement").

F3 · shares: Includes 184,714 Interests purchased from Newmark Holdings pursuant to Sections 12.02 and 12.03 of the Newmark Holdings Agreement as a result of the redemption of 184,714 non-exchangeable founding partner units for an aggregate consideration of $763,064 and 23,562 Interests purchased from Newmark Holdings pursuant to Section 8.08 of the Newmark Holdings Agreement for an aggregate consideration of $100,079 as a result of the exchange of 23,562 exchangeable founding partner units.

F3 · price: Includes 184,714 Interests purchased from Newmark Holdings pursuant to Sections 12.02 and 12.03 of the Newmark Holdings Agreement as a result of the redemption of 184,714 non-exchangeable founding partner units for an aggregate consideration of $763,064 and 23,562 Interests purchased from Newmark Holdings pursuant to Section 8.08 of the Newmark Holdings Agreement for an aggregate consideration of $100,079 as a result of the exchange of 23,562 exchangeable founding partner units.

F2 · derivative.exercise_date: The exchange rights with respect to the 208,276 Interests are currently exercisable at any time for an aggregate of 196,508 shares of Class B Common Stock (or, at CFLP's option an aggregate of 196,508 shares of Class A Common Stock) at the current exchange ratio (which is 0.9435 shares per Interest (subject to adjustment) as of March 31, 2022). The shares of Class B Common Stock are convertible at any time on a one-for-one basis (subject to adjustment) into shares of Class A Common Stock.

F2 · derivative.expiration_date: The exchange rights with respect to the 208,276 Interests are currently exercisable at any time for an aggregate of 196,508 shares of Class B Common Stock (or, at CFLP's option an aggregate of 196,508 shares of Class A Common Stock) at the current exchange ratio (which is 0.9435 shares per Interest (subject to adjustment) as of March 31, 2022). The shares of Class B Common Stock are convertible at any time on a one-for-one basis (subject to adjustment) into shares of Class A Common Stock.

F2 · derivative.underlying_shares: The exchange rights with respect to the 208,276 Interests are currently exercisable at any time for an aggregate of 196,508 shares of Class B Common Stock (or, at CFLP's option an aggregate of 196,508 shares of Class A Common Stock) at the current exchange ratio (which is 0.9435 shares per Interest (subject to adjustment) as of March 31, 2022). The shares of Class B Common Stock are convertible at any time on a one-for-one basis (subject to adjustment) into shares of Class A Common Stock.

F4 · balance_after: The exchange rights with respect to the 26,291,446 Interests are currently exercisable at any time for an aggregate of 24,805,979 shares of Class B Common Stock (or, at CFLP's option, an aggregate of 24,805,979 shares of Class A Common Stock) at the current exchange ratio (which is 0.9435 shares per Interest (subject to adjustment) as of March 31, 2022). Includes Interests that may have to be exchanged for an aggregate of 7,284,934 shares of Class A Common Stock to satisfy CFLP's deferred share distribution obligations pursuant to rights provided to certain current and former partners of CFLP on April 1, 2008 and February 14, 2012.

F5 · ownership.nature: CF Group Management, Inc. ("CFGM") is the managing general partner of CFLP, and the reporting person is the Chief Executive Officer and sole stockholder of CFGM. The reporting person disclaims beneficial ownership of all such securities in excess of his pecuniary interest, if any, and this report shall not be deemed an admission that he is the beneficial owner of, or has pecuniary interest in, any such excess securities for purposes of Section 16 of the Exchange Act or for any other purpose.

SEC source: 0001437749-22-012921 · rdgdoc.xml · derivative · entry 1

CF GROUP MANAGEMENT INC · CIK 0001251145 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 26,291,446

Underlying: Class A or Class B Common Stock, par value $0.01 per share · 196,508 shares

Expires not disclosed

F1 · security: On May 17, 2022, Cantor Fitzgerald, L.P. ("CFLP") purchased from Newmark Holdings, L.P. ("Newmark Holdings") an aggregate of 208,276 exchangeable limited partnership interests in Newmark Holdings (the "Interests") in a transaction exempt pursuant to Rule 16b-3 under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), in accordance with the Amended and Restated Agreement of Limited Partnership of Newmark Holdings, as amended and restated as of December 13, 2017 (as further amended from time to time, the "Newmark Holdings Agreement").

F2 · derivative.exercise_price: The exchange rights with respect to the 208,276 Interests are currently exercisable at any time for an aggregate of 196,508 shares of Class B Common Stock (or, at CFLP's option, an aggregate of 196,508 shares of Class A Common Stock) at the current exchange ratio (which is 0.9435 shares per Interest (subject to adjustment) as of March 31, 2022). The shares of Class B Common Stock are convertible at any time on a one-for-one basis (subject to adjustment) into shares of Class A Common Stock.

F1 · kind: On May 17, 2022, Cantor Fitzgerald, L.P. ("CFLP") purchased from Newmark Holdings, L.P. ("Newmark Holdings") an aggregate of 208,276 exchangeable limited partnership interests in Newmark Holdings (the "Interests") in a transaction exempt pursuant to Rule 16b-3 under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), in accordance with the Amended and Restated Agreement of Limited Partnership of Newmark Holdings, as amended and restated as of December 13, 2017 (as further amended from time to time, the "Newmark Holdings Agreement").

F3 · shares: Includes 184,714 Interests purchased from Newmark Holdings pursuant to Sections 12.02 and 12.03 of the Newmark Holdings Agreement as a result of the redemption of 184,714 non-exchangeable founding partner units for an aggregate consideration of $763,064 and 23,562 Interests purchased from Newmark Holdings pursuant to Section 8.08 of the Newmark Holdings Agreement for an aggregate consideration of $100,079 as a result of the exchange of 23,562 exchangeable founding partner units.

F3 · price: Includes 184,714 Interests purchased from Newmark Holdings pursuant to Sections 12.02 and 12.03 of the Newmark Holdings Agreement as a result of the redemption of 184,714 non-exchangeable founding partner units for an aggregate consideration of $763,064 and 23,562 Interests purchased from Newmark Holdings pursuant to Section 8.08 of the Newmark Holdings Agreement for an aggregate consideration of $100,079 as a result of the exchange of 23,562 exchangeable founding partner units.

F2 · derivative.exercise_date: The exchange rights with respect to the 208,276 Interests are currently exercisable at any time for an aggregate of 196,508 shares of Class B Common Stock (or, at CFLP's option, an aggregate of 196,508 shares of Class A Common Stock) at the current exchange ratio (which is 0.9435 shares per Interest (subject to adjustment) as of March 31, 2022). The shares of Class B Common Stock are convertible at any time on a one-for-one basis (subject to adjustment) into shares of Class A Common Stock.

F2 · derivative.expiration_date: The exchange rights with respect to the 208,276 Interests are currently exercisable at any time for an aggregate of 196,508 shares of Class B Common Stock (or, at CFLP's option, an aggregate of 196,508 shares of Class A Common Stock) at the current exchange ratio (which is 0.9435 shares per Interest (subject to adjustment) as of March 31, 2022). The shares of Class B Common Stock are convertible at any time on a one-for-one basis (subject to adjustment) into shares of Class A Common Stock.

F2 · derivative.underlying_shares: The exchange rights with respect to the 208,276 Interests are currently exercisable at any time for an aggregate of 196,508 shares of Class B Common Stock (or, at CFLP's option, an aggregate of 196,508 shares of Class A Common Stock) at the current exchange ratio (which is 0.9435 shares per Interest (subject to adjustment) as of March 31, 2022). The shares of Class B Common Stock are convertible at any time on a one-for-one basis (subject to adjustment) into shares of Class A Common Stock.

F4 · balance_after: The exchange rights with respect to the 26,291,446 Interests are currently exercisable at any time for an aggregate of 24,805,979 shares of Class B Common Stock (or, at CFLP's option, an aggregate of 24,805,979 shares of Class A Common Stock) at the current exchange ratio which is 0.9435 shares per Interest (subject to adjustment) as of March 31, 2022). Includes Interests that may have to be exchanged for an aggregate of 7,284,934 shares of Class A Common Stock to satisfy CFLP's deferred share distribution obligations pursuant to rights provided to certain current and former partners of CFLP on April 1, 2008 and February 14, 2012.

F5 · ownership.nature: CF Group Management Inc. ("CFGM") is the Managing General Partner of CFLP. CFGM disclaims beneficial ownership of all such securities in excess of its pecuniary interest, if any, and this report shall not be deemed an admission that CFGM is the beneficial owner of, or has pecuniary interest in, any such excess securities for purposes of Section 16 of the Exchange Act or for any other purpose.

SEC source: 0001437749-22-004381 · rdgdoc.xml · nonDerivative · entry 2

LUTNICK HOWARD W · CIK 0001250975 · Director · Chairman · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnotes

Disclosed balance after: 7,742,370

F5 · price: This transaction was executed in multiple trades at prices ranging from $16.47 to $16.75. The price reported above reflects the weighted-average purchase price. The reporting person hereby undertakes to provide to the Securities and Exchange Commission staff, the issuer or any security holder of the issuer, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote (5).

F1 · ownership.nature: The reporting person's indirect pecuniary interest in 7,742,370 shares of Class A Common Stock consists of: (i) 1,025,612 shares receivable by CF Group Management, Inc. ("CFGM") pursuant to deterred stock distribution rights provided to certain current and former partners of Cantor Fitzgerald, L.P. ("CFLP") on April 1, 2008 ("April 2008 distribution right shares") and February 14, 2012 ("February 2012 distribution rights shares) (consisting of 951,076 April 2008 distribution rights shares and 74,536 February 2012 distribution rights shares); (ii) 4,274,001 shares of Class A Common Stock held in various trust, retirement and custodial accounts consisting of (a) 301,803 shares held by a trust for the benefit of descendants of Mr. Lutnick and his immediate family (the "Trust"), of which Mr. Lutnick's wife is one of two trustees and Mr. Lutnick has limited powers to remove and replace such trustees, (b) 112,405 shares held in a Keogh retirement account for Mr. Lutnick, (c) 249,498 shares

F2 · ownership.nature: (continued from footnote 1) held by trust accounts for the benefit of Mr. Lutnick and members of his immediate family, (d) 3,585,184 shares held in Mr. Lutnick's personal asset trust, of which he is the sole trustee, (e) 13,268 shares held in other retirement accounts, (f) 7,827 shares held in custodial accounts for the benefit of certain members of Mr. Lutnick's family under the Uniform Gifts to Minors Act, and (g) 4,016 shares held in other retirement accounts for Mr. Lutnick's spouse; (iii) 746,955 shares represented by April 2008 distribution rights shares receivable by the Trust; (iv) 16,557 shares (representing the proportional interest of the spouse of the reporting person in shares owned by LFA LLC ("LFA")); (v) 82,589 shares represented by such spouse's proportional interest in the distribution rights shares receivable by LFA (consisting of 75,077 April 2008 distribution rights shares and 7,512 February 2012 distribution rights shares)

F3 · ownership.nature: (continued from footnote 2); (vi) 278,772 shares held by KBCR Management Partners, LLC ("KBCR"); (vii) 1,083,644 distribution rights shares receivable by KBCR (consisting of 950,057 April 2008 distribution rights shares and 133,587 February 2012 distribution rights shares); and (viii) 234,240 shares held in the reporting person's 401(k) account as of January 31, 2022.

F4 · ownership.nature: CFGM is the Managing General Partner of CFLP, and the reporting person is the Chairman and Chief Executive Officer and also the trustee of an entity that is the sole stockholder of CFGM. KBCR is a non-managing General Partner of CFLP, and the reporting person is the managing member of KBCR. The reporting person is the managing member of LFA. The reporting person disclaims beneficial ownership of all shares held by CFLP, CFGM, KBCR and LFA in excess of his pecuniary interest, if any, and this report shall not be deemed an admission that he is the beneficial owner of, or has pecuniary interest in, any such excess shares for the purposes of Section 16 of the Exchange Act or for any other purpose.

F5 · ownership.nature: This transaction was executed in multiple trades at prices ranging from $16.47 to $16.75. The price reported above reflects the weighted-average purchase price. The reporting person hereby undertakes to provide to the Securities and Exchange Commission staff, the issuer or any security holder of the issuer, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote (5).

SEC source: 0001437749-22-004381 · rdgdoc.xml · nonDerivative · entry 1

LUTNICK HOWARD W · CIK 0001250975 · Director · Chairman · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnotes

Disclosed balance after: 7,625,670

F1 · ownership.nature: The reporting person's indirect pecuniary interest in 7,742,370 shares of Class A Common Stock consists of: (i) 1,025,612 shares receivable by CF Group Management, Inc. ("CFGM") pursuant to deterred stock distribution rights provided to certain current and former partners of Cantor Fitzgerald, L.P. ("CFLP") on April 1, 2008 ("April 2008 distribution right shares") and February 14, 2012 ("February 2012 distribution rights shares) (consisting of 951,076 April 2008 distribution rights shares and 74,536 February 2012 distribution rights shares); (ii) 4,274,001 shares of Class A Common Stock held in various trust, retirement and custodial accounts consisting of (a) 301,803 shares held by a trust for the benefit of descendants of Mr. Lutnick and his immediate family (the "Trust"), of which Mr. Lutnick's wife is one of two trustees and Mr. Lutnick has limited powers to remove and replace such trustees, (b) 112,405 shares held in a Keogh retirement account for Mr. Lutnick, (c) 249,498 shares

F2 · ownership.nature: (continued from footnote 1) held by trust accounts for the benefit of Mr. Lutnick and members of his immediate family, (d) 3,585,184 shares held in Mr. Lutnick's personal asset trust, of which he is the sole trustee, (e) 13,268 shares held in other retirement accounts, (f) 7,827 shares held in custodial accounts for the benefit of certain members of Mr. Lutnick's family under the Uniform Gifts to Minors Act, and (g) 4,016 shares held in other retirement accounts for Mr. Lutnick's spouse; (iii) 746,955 shares represented by April 2008 distribution rights shares receivable by the Trust; (iv) 16,557 shares (representing the proportional interest of the spouse of the reporting person in shares owned by LFA LLC ("LFA")); (v) 82,589 shares represented by such spouse's proportional interest in the distribution rights shares receivable by LFA (consisting of 75,077 April 2008 distribution rights shares and 7,512 February 2012 distribution rights shares)

F3 · ownership.nature: (continued from footnote 2); (vi) 278,772 shares held by KBCR Management Partners, LLC ("KBCR"); (vii) 1,083,644 distribution rights shares receivable by KBCR (consisting of 950,057 April 2008 distribution rights shares and 133,587 February 2012 distribution rights shares); and (viii) 234,240 shares held in the reporting person's 401(k) account as of January 31, 2022.

F4 · ownership.nature: CFGM is the Managing General Partner of CFLP, and the reporting person is the Chairman and Chief Executive Officer and also the trustee of an entity that is the sole stockholder of CFGM. KBCR is a non-managing General Partner of CFLP, and the reporting person is the managing member of KBCR. The reporting person is the managing member of LFA. The reporting person disclaims beneficial ownership of all shares held by CFLP, CFGM, KBCR and LFA in excess of his pecuniary interest, if any, and this report shall not be deemed an admission that he is the beneficial owner of, or has pecuniary interest in, any such excess shares for the purposes of Section 16 of the Exchange Act or for any other purpose.

SEC source: 0001437749-22-003699 · rdgdoc.xml · nonDerivative · entry 1

LUTNICK HOWARD W · CIK 0001250975 · Director · Chairman · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnotes

Disclosed balance after: 7,615,870

F1 · price: This transaction was executed in multiple trades at prices ranging from $16.26 to $16.78. The price reported above reflects the weighted-average purchase price. The reporting person hereby undertakes to provide to the Securities and Exchange Commission staff, the issuer or any security holder of the issuer, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote (1).

F1 · ownership.nature: This transaction was executed in multiple trades at prices ranging from $16.26 to $16.78. The price reported above reflects the weighted-average purchase price. The reporting person hereby undertakes to provide to the Securities and Exchange Commission staff, the issuer or any security holder of the issuer, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote (1).

F2 · ownership.nature: The reporting person's indirect pecuniary interest in 7,615,870 shares of Class A Common Stock consists of: (i) 1,025,612 shares receivable by CF Group Management, Inc. ("CFGM") pursuant to deterred stock distribution rights provided to certain current and former partners of Cantor Fitzgerald, L.P. ("CFLP") on April 1, 2008 ("April 2008 distribution right shares") and February 14, 2012 ("February 2012 distribution rights shares) (consisting of 951,076 April 2008 distribution rights shares and 74,536 February 2012 distribution rights shares); (ii) 4,147,501 shares of Class A Common Stock held in various trust, retirement and custodial accounts consisting of (a) 301,803 shares held by a trust for the benefit of descendants of Mr. Lutnick and his immediate family (the "Trust"), of which Mr. Lutnick's wife is one of two trustees and Mr. Lutnick has limited powers to remove and replace such trustees, (b) 112,405 shares held in a Keogh retirement account for Mr. Lutnick, (c) 249,498 shares

F3 · ownership.nature: (continued from footnote 2) held by trust accounts for the benefit of Mr. Lutnick and members of his immediate family, (d) 3,458,684 shares held in Mr. Lutnick's personal asset trust, of which he is the sole trustee, (e) 13,268 shares held in other retirement accounts, (f) 7,827 shares held in custodial accounts for the benefit of certain members of Mr. Lutnick's family under the Uniform Gifts to Minors Act, and (g) 4,016 shares held in other retirement accounts for Mr. Lutnick's spouse; (iii) 746,955 shares represented by April 2008 distribution rights shares receivable by the Trust; (iv) 16,557 shares (representing the proportional interest of the spouse of the reporting person in shares owned by LFA LLC ("LFA")); (v) 82,589 shares represented by such spouse's proportional interest in the distribution rights shares receivable by LFA (consisting of 75,077 April 2008 distribution rights shares and 7,512 February 2012 distribution rights shares)

F4 · ownership.nature: (continued from footnote 3); (vi) 278,772 shares held by KBCR Management Partners, LLC ("KBCR"); (vii) 1,083,644 distribution rights shares receivable by KBCR (consisting of 950,057 April 2008 distribution rights shares and 133,587 February 2012 distribution rights shares); and (viii) 234,240 shares held in the reporting person's 401(k) account as of January 31, 2022.

F5 · ownership.nature: CFGM is the Managing General Partner of CFLP, and the reporting person is the Chairman and Chief Executive Officer and also the trustee of an entity that is the sole stockholder of CFGM. KBCR is a non-managing General Partner of CFLP, and the reporting person is the managing member of KBCR. The reporting person is the managing member of LFA. The reporting person disclaims beneficial ownership of all shares held by CFLP, CFGM, KBCR and LFA in excess of his pecuniary interest, if any, and this report shall not be deemed an admission that he is the beneficial owner of, or has pecuniary interest in, any such excess shares for the purposes of Section 16 of the Exchange Act or for any other purpose.

SEC source: 0001437749-22-003451 · rdgdoc.xml · nonDerivative · entry 2

LUTNICK HOWARD W · CIK 0001250975 · Director · Chairman · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnotes

Disclosed balance after: 7,515,870

F2 · price: This transaction was executed in multiple trades at prices ranging from $16.18 to $16.99. The price reported above reflects the weighted-average purchase price. The reporting person hereby undertakes to provide to the SEC staff, the issuer or any security holder of the issuer, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote (2).

F2 · ownership.nature: This transaction was executed in multiple trades at prices ranging from $16.18 to $16.99. The price reported above reflects the weighted-average purchase price. The reporting person hereby undertakes to provide to the SEC staff, the issuer or any security holder of the issuer, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote (2).

F3 · ownership.nature: The reporting person's indirect pecuniary interest in 7,515,870 shares of Class A Common Stock consists of: (i) 1,025,612 shares receivable by CF Group Management, Inc. ("CFGM") pursuant to deterred stock distribution rights provided to certain current and former partners of Cantor Fitzgerald, L.P. ("CFLP") on April 1, 2008 ("April 2008 distribution right shares") and February 14, 2012 ("February 2012 distribution rights shares) (consisting of 951,076 April 2008 distribution rights shares and 74,536 February 2012 distribution rights shares); (ii) 4,047,501 shares of Class A Common Stock held in various trust, retirement and custodial accounts consisting of (a) 301,803 shares held by a trust for the benefit of descendants of Mr. Lutnick and his immediate family (the "Trust"), of which Mr. Lutnick's wife is one of two trustees and Mr. Lutnick has limited powers to remove and replace such trustees, (b) 112,405 shares held in a Keogh retirement account for Mr. Lutnick, (c) 249,498 shares

F4 · ownership.nature: (continued from footnote 3) held by trust accounts for the benefit of Mr. Lutnick and members of his immediate family, (d) 3,358,684 shares held in Mr. Lutnick's personal asset trust, of which he is the sole trustee, (e) 13,268 shares held in other retirement accounts, (f) 7,827 shares held in custodial accounts for the benefit of certain members of Mr. Lutnick's family under the Uniform Gifts to Minors Act, and (g) 4,016 shares held in other retirement accounts for Mr. Lutnick's spouse; (iii) 746,955 shares represented by April 2008 distribution rights shares receivable by the Trust; (iv) 16,557 shares (representing the proportional interest of the spouse of the reporting person in shares owned by LFA LLC ("LFA")); (v) 82,589 shares represented by such spouse's proportional interest in the distribution rights shares receivable by LFA (consisting of 75,077 April 2008 distribution rights shares and 7,512 February 2012 distribution rights shares)

F5 · ownership.nature: (continued from footnote 4); (vi) 278,772 shares held by KBCR Management Partners, LLC ("KBCR"); (vii) 1,083,644 distribution rights shares receivable by KBCR (consisting of 950,057 April 2008 distribution rights shares and 133,587 February 2012 distribution rights shares); and (viii) 234,240 shares held in the reporting person's 401(k) account as of January 31, 2022.

F6 · ownership.nature: CFGM is the Managing General Partner of CFLP, and the reporting person is the Chairman and Chief Executive Officer and also the trustee of an entity that is the sole stockholder of CFGM. KBCR is a non-managing General Partner of CFLP, and the reporting person is the managing member of KBCR. The reporting person is the managing member of LFA. The reporting person disclaims beneficial ownership of all shares held by CFLP, CFGM, KBCR and LFA in excess of his pecuniary interest, if any, and this report shall not be deemed an admission that he is the beneficial owner of, or has pecuniary interest in, any such excess shares for the purposes of Section 16 of the Exchange Act or for any other purpose.

SEC source: 0001437749-22-003451 · rdgdoc.xml · nonDerivative · entry 1

LUTNICK HOWARD W · CIK 0001250975 · Director · Chairman · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnotes

Disclosed balance after: 7,465,870

F1 · price: This transaction was executed in multiple trades at prices ranging from $16.96 to $17.70. The price reported above reflects the weighted-average purchase price. The reporting person hereby undertakes to provide to the Securities and Exchange Commission (the "SEC") staff, the issuer or any security holder of the issuer, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote (1).

F1 · ownership.nature: This transaction was executed in multiple trades at prices ranging from $16.96 to $17.70. The price reported above reflects the weighted-average purchase price. The reporting person hereby undertakes to provide to the Securities and Exchange Commission (the "SEC") staff, the issuer or any security holder of the issuer, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote (1).

F3 · ownership.nature: The reporting person's indirect pecuniary interest in 7,515,870 shares of Class A Common Stock consists of: (i) 1,025,612 shares receivable by CF Group Management, Inc. ("CFGM") pursuant to deterred stock distribution rights provided to certain current and former partners of Cantor Fitzgerald, L.P. ("CFLP") on April 1, 2008 ("April 2008 distribution right shares") and February 14, 2012 ("February 2012 distribution rights shares) (consisting of 951,076 April 2008 distribution rights shares and 74,536 February 2012 distribution rights shares); (ii) 4,047,501 shares of Class A Common Stock held in various trust, retirement and custodial accounts consisting of (a) 301,803 shares held by a trust for the benefit of descendants of Mr. Lutnick and his immediate family (the "Trust"), of which Mr. Lutnick's wife is one of two trustees and Mr. Lutnick has limited powers to remove and replace such trustees, (b) 112,405 shares held in a Keogh retirement account for Mr. Lutnick, (c) 249,498 shares

F4 · ownership.nature: (continued from footnote 3) held by trust accounts for the benefit of Mr. Lutnick and members of his immediate family, (d) 3,358,684 shares held in Mr. Lutnick's personal asset trust, of which he is the sole trustee, (e) 13,268 shares held in other retirement accounts, (f) 7,827 shares held in custodial accounts for the benefit of certain members of Mr. Lutnick's family under the Uniform Gifts to Minors Act, and (g) 4,016 shares held in other retirement accounts for Mr. Lutnick's spouse; (iii) 746,955 shares represented by April 2008 distribution rights shares receivable by the Trust; (iv) 16,557 shares (representing the proportional interest of the spouse of the reporting person in shares owned by LFA LLC ("LFA")); (v) 82,589 shares represented by such spouse's proportional interest in the distribution rights shares receivable by LFA (consisting of 75,077 April 2008 distribution rights shares and 7,512 February 2012 distribution rights shares)

F5 · ownership.nature: (continued from footnote 4); (vi) 278,772 shares held by KBCR Management Partners, LLC ("KBCR"); (vii) 1,083,644 distribution rights shares receivable by KBCR (consisting of 950,057 April 2008 distribution rights shares and 133,587 February 2012 distribution rights shares); and (viii) 234,240 shares held in the reporting person's 401(k) account as of January 31, 2022.

F6 · ownership.nature: CFGM is the Managing General Partner of CFLP, and the reporting person is the Chairman and Chief Executive Officer and also the trustee of an entity that is the sole stockholder of CFGM. KBCR is a non-managing General Partner of CFLP, and the reporting person is the managing member of KBCR. The reporting person is the managing member of LFA. The reporting person disclaims beneficial ownership of all shares held by CFLP, CFGM, KBCR and LFA in excess of his pecuniary interest, if any, and this report shall not be deemed an admission that he is the beneficial owner of, or has pecuniary interest in, any such excess shares for the purposes of Section 16 of the Exchange Act or for any other purpose.

SEC source: 0001437749-22-000614 · rdgdoc.xml · nonDerivative · entry 1

LUTNICK HOWARD W · CIK 0001250975 · Director · Chairman · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnotes

Disclosed balance after: 7,237,016

F1 · kind: Represents a gift of Newmark Group, Inc. Class A common stock, par value $0.01 per share (the "Class A Common Stock"), to a charitable organization.

F1 · balance_after: Represents a gift of Newmark Group, Inc. Class A common stock, par value $0.01 per share (the "Class A Common Stock"), to a charitable organization.

F2 · balance_after: The reporting person's indirect pecuniary interest in 7,237,016 shares of Class A Common Stock consists of: (i) 1,025,612 shares receivable by CF Group Management, Inc. ("CFGM") pursuant to deterred stock distribution rights provided to certain current and former partners of Cantor Fitzgerald, L.P. ("CFLP") on April 1, 2008 ("April 2008 distribution right shares") and February 14, 2012 ("February 2012 distribution rights shares) (consisting of 951,076 April 2008 distribution rights shares and 74,536 February 2012 distribution rights shares); (ii) 3,770,501 shares of Class A Common Stock held in various trust, retirement and custodial accounts consisting of (a) 301,803 shares held by a trust for the benefit of descendants of Mr. Lutnick and his immediate family (the "Trust"), of which Mr. Lutnick's wife is one of two trustees and Mr. Lutnick has limited powers to remove and replace such trustees, (b) 112,405 shares held in a Keogh retirement account for Mr. Lutnick, (c) 249,498 shares

F3 · balance_after: (continued from footnote 2) held by trust accounts for the benefit of Mr. Lutnick and members of his immediate family, (d) 3,081,684 shares held in Mr. Lutnick's personal asset trust, of which he is the sole trustee, (e) 13,268 shares held in other retirement accounts, (f) 7,827 shares held in custodial accounts for the benefit of certain members of Mr. Lutnick's family under the Uniform Gifts to Minors Act, and (g) 4,016 shares held in other retirement accounts for Mr. Lutnick's spouse; (iii) 746,955 shares represented by April 2008 distribution rights shares receivable by the Trust; (iv) 16,557 shares (representing the proportional interest of the spouse of the reporting person in shares owned by LFA LLC ("LFA")); (v) 82,589 shares represented by such spouse's proportional interest in the distribution rights shares receivable by LFA (consisting of 75,077 April 2008 distribution rights shares and 7,512 February 2012 distribution rights shares)

F4 · balance_after: (continued from footnote 3); (vi) 278,772 shares held by KBCR Management Partners, LLC ("KBCR"); (vii) 1,083,644 distribution rights shares receivable by KBCR (consisting of 950,057 April 2008 distribution rights shares and 133,587 February 2012 distribution rights shares); and (viii) 232,386 shares held in the reporting person's 401(k) account as of December 31, 2021.

F5 · balance_after: CFGM is the Managing General Partner of CFLP, and the reporting person is the Chairman and Chief Executive Officer and also the trustee of an entity that is the sole stockholder of CFGM. KBCR is a non-managing General Partner of CFLP, and the reporting person is the managing member of KBCR. The reporting person is the managing member of LFA. The reporting person disclaims beneficial ownership of all shares held by CFLP, CFGM, KBCR and LFA in excess of his pecuniary interest, if any, and this report shall not be deemed an admission that he is the beneficial owner of, or has pecuniary interest in, any such excess shares for the purposes of Section 16 of the Exchange Act or for any other purpose.

F1 · ownership.nature: Represents a gift of Newmark Group, Inc. Class A common stock, par value $0.01 per share (the "Class A Common Stock"), to a charitable organization.

F2 · ownership.nature: The reporting person's indirect pecuniary interest in 7,237,016 shares of Class A Common Stock consists of: (i) 1,025,612 shares receivable by CF Group Management, Inc. ("CFGM") pursuant to deterred stock distribution rights provided to certain current and former partners of Cantor Fitzgerald, L.P. ("CFLP") on April 1, 2008 ("April 2008 distribution right shares") and February 14, 2012 ("February 2012 distribution rights shares) (consisting of 951,076 April 2008 distribution rights shares and 74,536 February 2012 distribution rights shares); (ii) 3,770,501 shares of Class A Common Stock held in various trust, retirement and custodial accounts consisting of (a) 301,803 shares held by a trust for the benefit of descendants of Mr. Lutnick and his immediate family (the "Trust"), of which Mr. Lutnick's wife is one of two trustees and Mr. Lutnick has limited powers to remove and replace such trustees, (b) 112,405 shares held in a Keogh retirement account for Mr. Lutnick, (c) 249,498 shares

F3 · ownership.nature: (continued from footnote 2) held by trust accounts for the benefit of Mr. Lutnick and members of his immediate family, (d) 3,081,684 shares held in Mr. Lutnick's personal asset trust, of which he is the sole trustee, (e) 13,268 shares held in other retirement accounts, (f) 7,827 shares held in custodial accounts for the benefit of certain members of Mr. Lutnick's family under the Uniform Gifts to Minors Act, and (g) 4,016 shares held in other retirement accounts for Mr. Lutnick's spouse; (iii) 746,955 shares represented by April 2008 distribution rights shares receivable by the Trust; (iv) 16,557 shares (representing the proportional interest of the spouse of the reporting person in shares owned by LFA LLC ("LFA")); (v) 82,589 shares represented by such spouse's proportional interest in the distribution rights shares receivable by LFA (consisting of 75,077 April 2008 distribution rights shares and 7,512 February 2012 distribution rights shares)

F4 · ownership.nature: (continued from footnote 3); (vi) 278,772 shares held by KBCR Management Partners, LLC ("KBCR"); (vii) 1,083,644 distribution rights shares receivable by KBCR (consisting of 950,057 April 2008 distribution rights shares and 133,587 February 2012 distribution rights shares); and (viii) 232,386 shares held in the reporting person's 401(k) account as of December 31, 2021.

F5 · ownership.nature: CFGM is the Managing General Partner of CFLP, and the reporting person is the Chairman and Chief Executive Officer and also the trustee of an entity that is the sole stockholder of CFGM. KBCR is a non-managing General Partner of CFLP, and the reporting person is the managing member of KBCR. The reporting person is the managing member of LFA. The reporting person disclaims beneficial ownership of all shares held by CFLP, CFGM, KBCR and LFA in excess of his pecuniary interest, if any, and this report shall not be deemed an admission that he is the beneficial owner of, or has pecuniary interest in, any such excess shares for the purposes of Section 16 of the Exchange Act or for any other purpose.

SEC source: 0001437749-21-029186 · rdgdoc.xml · nonDerivative · entry 1

Gosin Barry M · CIK 0001388845 · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,999,598

F1 · shares: On December 21, 2021, Newmark Group, Inc. (the "Company") granted to the reporting person 446,711 shares of its Class A Common Stock, par value $0.01 per share (the "Class A Common Stock"), following the redemption and cancellation of an aggregate of 478,328 non-exchangeable limited partnership interests of Newmark Holdings, L.P. The grant was approved by the Compensation Committee of the Board of Directors of the Company and is exempt pursuant to Rule 16b-3 under the Securities Exchange Act of 1934, as amended.

F1 · price: On December 21, 2021, Newmark Group, Inc. (the "Company") granted to the reporting person 446,711 shares of its Class A Common Stock, par value $0.01 per share (the "Class A Common Stock"), following the redemption and cancellation of an aggregate of 478,328 non-exchangeable limited partnership interests of Newmark Holdings, L.P. The grant was approved by the Compensation Committee of the Board of Directors of the Company and is exempt pursuant to Rule 16b-3 under the Securities Exchange Act of 1934, as amended.

SEC source: 0001437749-21-029185 · rdgdoc.xml · nonDerivative · entry 1

LUTNICK HOWARD W · CIK 0001250975 · Director · Chairman · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,761,409

F1 · shares: On December 21, 2021, Newmark Group, Inc. (the "Company") granted to the reporting person 267,572 shares of its Class A Common Stock, par value $0.01 per share (the "Class A Common Stock"), following the redemption and cancellation of an aggregate of 286,511 non-exchangeable limited partnership interests of Newmark Holdings, L.P. The grant was approved by the Compensation Committee of the Board of Directors of the Company and is exempt pursuant to Rule 16b-3 under the Securities Exchange Act of 1934, as amended.

F1 · price: On December 21, 2021, Newmark Group, Inc. (the "Company") granted to the reporting person 267,572 shares of its Class A Common Stock, par value $0.01 per share (the "Class A Common Stock"), following the redemption and cancellation of an aggregate of 286,511 non-exchangeable limited partnership interests of Newmark Holdings, L.P. The grant was approved by the Compensation Committee of the Board of Directors of the Company and is exempt pursuant to Rule 16b-3 under the Securities Exchange Act of 1934, as amended.

F1 · balance_after: On December 21, 2021, Newmark Group, Inc. (the "Company") granted to the reporting person 267,572 shares of its Class A Common Stock, par value $0.01 per share (the "Class A Common Stock"), following the redemption and cancellation of an aggregate of 286,511 non-exchangeable limited partnership interests of Newmark Holdings, L.P. The grant was approved by the Compensation Committee of the Board of Directors of the Company and is exempt pursuant to Rule 16b-3 under the Securities Exchange Act of 1934, as amended.

F2 · balance_after: The shares of Class A Common Stock held directly by the reporting person following the transaction herein consists of (i) 2,598,545 shares held by the reporting person, and (ii) 4,162,864 shares receivable by the reporting person pursuant to deferred stock distribution rights provided to certain current and former partners of Cantor Fitzgerald, L.P. ("CFLP") on April 1, 2008 ("April 2008 distribution rights shares") and February 14, 2012 ("February 2012 distribution rights shares") (consisting of 3,591,626 April 2008 distribution rights shares and 571,238 February 2012 distribution rights shares).

SEC source: 0001437749-21-028967 · rdgdoc.xml · nonDerivative · entry 1

Bauer Virginia S · CIK 0001745441 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 39,927

F1 · shares: The 3,154 shares of Class A Common Stock, par value $0.01 per share (the "Class A Common Stock"), are represented by 3,154 restricted stock units ("RSUs") granted under the Newmark Group, Inc. Long Term Incentive Plan. Each RSU represents a contingent right to receive one share of Class A Common Stock. Of the 3,154 RSUs, 1,577 RSUs will vest on December 17, 2022 and 1,577 RSUs will vest on December 17, 2023, provided that the reporting person continues to serve as a member of the Board of Directors on such dates.

F2 · balance_after: Also includes 6,024 RSUs granted on September 22, 2020 that will vest on September 22, 2022, provided that the reporting person continues to serve as a member of the Board of Directors on such date.

SEC source: 0001437749-21-028977 · rdgdoc.xml · nonDerivative · entry 1

McIntyre Kenneth A Jr · CIK 0001607290 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,668

F1 · shares: The 3,154 shares of Class A Common Stock, par value $0.01 per share (the "Class A Common Stock"), are represented by 3,154 restricted stock units ("RSUs") granted under the Newmark Group, Inc. Long Term Incentive Plan. Each RSU represents a contingent right to receive one share of Class A Common Stock. Of the 3,154 RSUs, 1,577 RSUs will vest on December 17, 2022 and 1,577 RSUs will vest on December 17, 2023, provided that the reporting person continues to serve as a member of the Board of Directors on such dates.

F2 · balance_after: Also includes 2,733 RSUs granted on January 2, 2020 that will vest on January 2, 2022, and 6,024 RSUs granted on September 22, 2020 that will vest on September 22, 2022, provided that the reporting person continues to serve as a member of the Board of Directors on such dates.

SEC source: 0001437749-21-028968 · rdgdoc.xml · nonDerivative · entry 1

Snow Michael · CIK 0001635637 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 30,007

F1 · shares: The 3,154 shares of Class A Common Stock, par value $0.01 per share (the "Class A Common Stock"), are represented by 3,154 restricted stock units ("RSUs") granted under the Newmark Group, Inc. Long Term Incentive Plan. Each RSU represents a contingent right to receive one share of Class A Common Stock. Of the 3,154 RSUs, 1,577 RSUs will vest on December 17, 2022 and 1,577 RSUs will vest on December 17, 2023, provided that the reporting person continues to serve as a member of the Board of Directors on such dates.

F2 · balance_after: Also includes 6,024 RSUs granted on September 22, 2020 that will vest on September 22, 2022, provided that the reporting person continues to serve as a member of the Board of Directors on such date.

SEC source: 0001437749-21-024764 · rdgdoc.xml · derivative · entry 1

CANTOR FITZGERALD, L. P. · CIK 0001024896 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 26,083,170

Underlying: Class A or Class B Common Stock, par value $0.01 per share · 768,779 shares

Expires not disclosed

F1 · security: On October 28, 2021, Cantor Fitzgerald, L.P. ("CFLP") purchased from Newmark Holdings, L.P. ("Newmark Holdings") an aggregate of 823,193 exchangeable limited partnership interests in Newmark Holdings (the "Interests") in a transaction exempt pursuant to Rule 16b-3 under the Securities Exchange Act of 1934, as amended, in accordance with the Amended and Restated Agreement of Limited Partnership of Newmark Holdings, as amended and restated as of December 13, 2017 (as further amended from time to time, the "Newmark Holdings Agreement").

F2 · derivative.exercise_price: The exchange rights with respect to the Interests are exercisable at any time for shares of Class B Common Stock (or, at CFLP's option, shares of Class A Common Stock) at the exchange ratio in effect at the time of the exchange (which is 0.9339 shares per Interest (subject to adjustment) as of September 30, 2021). The shares of Class B Common Stock are convertible at any time on a one-for-one basis (subject to adjustment) into shares of Class A Common Stock.

F1 · kind: On October 28, 2021, Cantor Fitzgerald, L.P. ("CFLP") purchased from Newmark Holdings, L.P. ("Newmark Holdings") an aggregate of 823,193 exchangeable limited partnership interests in Newmark Holdings (the "Interests") in a transaction exempt pursuant to Rule 16b-3 under the Securities Exchange Act of 1934, as amended, in accordance with the Amended and Restated Agreement of Limited Partnership of Newmark Holdings, as amended and restated as of December 13, 2017 (as further amended from time to time, the "Newmark Holdings Agreement").

F3 · shares: Includes 299,910 Interests purchased from Newmark Holdings pursuant to Sections 12.02 and 12.03 of the Newmark Holdings Agreement as a result of the redemption of 299,910 non-exchangeable founding partner units for an aggregate consideration of $975,064, and 523,284 Interests purchased from Newmark Holdings pursuant to Section 8.08 of the Newmark Holdings Agreement for an aggregate consideration of $1,898,363 as a result of the exchange of 523,284 non-exchangeable founding partner units.

F3 · price: Includes 299,910 Interests purchased from Newmark Holdings pursuant to Sections 12.02 and 12.03 of the Newmark Holdings Agreement as a result of the redemption of 299,910 non-exchangeable founding partner units for an aggregate consideration of $975,064, and 523,284 Interests purchased from Newmark Holdings pursuant to Section 8.08 of the Newmark Holdings Agreement for an aggregate consideration of $1,898,363 as a result of the exchange of 523,284 non-exchangeable founding partner units.

F2 · derivative.exercise_date: The exchange rights with respect to the Interests are exercisable at any time for shares of Class B Common Stock (or, at CFLP's option, shares of Class A Common Stock) at the exchange ratio in effect at the time of the exchange (which is 0.9339 shares per Interest (subject to adjustment) as of September 30, 2021). The shares of Class B Common Stock are convertible at any time on a one-for-one basis (subject to adjustment) into shares of Class A Common Stock.

F2 · derivative.expiration_date: The exchange rights with respect to the Interests are exercisable at any time for shares of Class B Common Stock (or, at CFLP's option, shares of Class A Common Stock) at the exchange ratio in effect at the time of the exchange (which is 0.9339 shares per Interest (subject to adjustment) as of September 30, 2021). The shares of Class B Common Stock are convertible at any time on a one-for-one basis (subject to adjustment) into shares of Class A Common Stock.

F2 · derivative.underlying: The exchange rights with respect to the Interests are exercisable at any time for shares of Class B Common Stock (or, at CFLP's option, shares of Class A Common Stock) at the exchange ratio in effect at the time of the exchange (which is 0.9339 shares per Interest (subject to adjustment) as of September 30, 2021). The shares of Class B Common Stock are convertible at any time on a one-for-one basis (subject to adjustment) into shares of Class A Common Stock.

F2 · derivative.underlying_shares: The exchange rights with respect to the Interests are exercisable at any time for shares of Class B Common Stock (or, at CFLP's option, shares of Class A Common Stock) at the exchange ratio in effect at the time of the exchange (which is 0.9339 shares per Interest (subject to adjustment) as of September 30, 2021). The shares of Class B Common Stock are convertible at any time on a one-for-one basis (subject to adjustment) into shares of Class A Common Stock.

F4 · balance_after: Includes Interests that may have to be exchanged at the then current exchange ratio for an aggregate of 7,309,410 shares of Class A Common Stock to satisfy CFLP's deferred share distribution obligations pursuant to rights provided to certain current and former partners of CFLP on April 1, 2008 and February 14, 2012.

SEC source: 0001437749-21-024765 · rdgdoc.xml · derivative · entry 1

CF GROUP MANAGEMENT INC · CIK 0001251145 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 26,083,170

Underlying: Class A or Class B Common Stock, par value $0.01 per share · 768,779 shares

Expires not disclosed

F1 · security: On October 28, 2021, Cantor Fitzgerald, L.P. ("CFLP") purchased from Newmark Holdings, L.P. ("Newmark Holdings") an aggregate of 823,193 exchangeable limited partnership interests in Newmark Holdings (the "Interests") in a transaction exempt pursuant to Rule 16b-3 under the Securities Exchange Act of 1934, as amended, in accordance with the Amended and Restated Agreement of Limited Partnership of Newmark Holdings, as amended and restated as of December 13, 2017 (as further amended from time to time, the "Newmark Holdings Agreement").

F2 · derivative.exercise_price: The exchange rights with respect to the Interests are exercisable at any time for shares of Class B Common Stock (or, at CFLP's option, shares of Class A Common Stock) at the exchange ratio in effect at the time of the exchange (which is 0.9339 shares per Interest (subject to adjustment) as of September 30, 2021). The shares of Class B Common Stock are convertible at any time on a one-for-one basis (subject to adjustment) into shares of Class A Common Stock.

F1 · kind: On October 28, 2021, Cantor Fitzgerald, L.P. ("CFLP") purchased from Newmark Holdings, L.P. ("Newmark Holdings") an aggregate of 823,193 exchangeable limited partnership interests in Newmark Holdings (the "Interests") in a transaction exempt pursuant to Rule 16b-3 under the Securities Exchange Act of 1934, as amended, in accordance with the Amended and Restated Agreement of Limited Partnership of Newmark Holdings, as amended and restated as of December 13, 2017 (as further amended from time to time, the "Newmark Holdings Agreement").

F3 · shares: Includes 299,910 Interests purchased from Newmark Holdings pursuant to Sections 12.02 and 12.03 of the Newmark Holdings Agreement as a result of the redemption of 299,910 non-exchangeable founding partner units for an aggregate consideration of $975,064, and 523,284 Interests purchased from Newmark Holdings pursuant to Section 8.08 of the Newmark Holdings Agreement for an aggregate consideration of $1,898,363 as a result of the exchange of 523,284 non-exchangeable founding partner units.

F3 · price: Includes 299,910 Interests purchased from Newmark Holdings pursuant to Sections 12.02 and 12.03 of the Newmark Holdings Agreement as a result of the redemption of 299,910 non-exchangeable founding partner units for an aggregate consideration of $975,064, and 523,284 Interests purchased from Newmark Holdings pursuant to Section 8.08 of the Newmark Holdings Agreement for an aggregate consideration of $1,898,363 as a result of the exchange of 523,284 non-exchangeable founding partner units.

F2 · derivative.exercise_date: The exchange rights with respect to the Interests are exercisable at any time for shares of Class B Common Stock (or, at CFLP's option, shares of Class A Common Stock) at the exchange ratio in effect at the time of the exchange (which is 0.9339 shares per Interest (subject to adjustment) as of September 30, 2021). The shares of Class B Common Stock are convertible at any time on a one-for-one basis (subject to adjustment) into shares of Class A Common Stock.

F2 · derivative.expiration_date: The exchange rights with respect to the Interests are exercisable at any time for shares of Class B Common Stock (or, at CFLP's option, shares of Class A Common Stock) at the exchange ratio in effect at the time of the exchange (which is 0.9339 shares per Interest (subject to adjustment) as of September 30, 2021). The shares of Class B Common Stock are convertible at any time on a one-for-one basis (subject to adjustment) into shares of Class A Common Stock.

F2 · derivative.underlying_shares: The exchange rights with respect to the Interests are exercisable at any time for shares of Class B Common Stock (or, at CFLP's option, shares of Class A Common Stock) at the exchange ratio in effect at the time of the exchange (which is 0.9339 shares per Interest (subject to adjustment) as of September 30, 2021). The shares of Class B Common Stock are convertible at any time on a one-for-one basis (subject to adjustment) into shares of Class A Common Stock.

F4 · balance_after: Includes Interests that may have to be exchanged at the then current exchange ratio for an aggregate of 7,309,410 shares of Class A Common Stock to satisfy CFLP's deferred share distribution obligations pursuant to rights provided to certain current and former partners of CFLP on April 1, 2008 and February 14, 2012.

F5 · ownership.nature: CF Group Management Inc. ("CFGM") is the Managing General Partner of CFLP. CFGM disclaims beneficial ownership of all such securities in excess of its pecuniary interest, if any, and this report shall not be deemed an admission that CFGM is the beneficial owner of, or has pecuniary interest in, any such excess securities for purposes of Section 16 of the Securities Exchange Act of 1934 or for any other purpose.

SEC source: 0001437749-21-024766 · rdgdoc.xml · derivative · entry 1

LUTNICK HOWARD W · CIK 0001250975 · Director · Chairman · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 26,083,170

Underlying: Class A or Class B Common Stock, par value $0.01 per share · 768,779 shares

Expires not disclosed

F1 · security: On October 28, 2021, Cantor Fitzgerald, L.P. ("CFLP") purchased from Newmark Holdings, L.P. ("Newmark Holdings") an aggregate of 823,193 exchangeable limited partnership interests in Newmark Holdings (the "Interests") in a transaction exempt pursuant to Rule 16b-3 under the Securities Exchange Act of 1934, as amended, in accordance with the Amended and Restated Agreement of Limited Partnership of Newmark Holdings, as amended and restated as of December 13, 2017 (as further amended from time to time, the "Newmark Holdings Agreement").

F2 · derivative.exercise_price: The exchange rights with respect to the Interests are exercisable at any time for shares of Class B Common Stock (or, at CFLP's option, shares of Class A Common Stock) at the exchange ratio in effect at the time of the exchange (which is 0.9339 shares per Interest (subject to adjustment) as of September 30, 2021). The shares of Class B Common Stock are convertible at any time on a one-for-one basis (subject to adjustment) into shares of Class A Common Stock.

F1 · kind: On October 28, 2021, Cantor Fitzgerald, L.P. ("CFLP") purchased from Newmark Holdings, L.P. ("Newmark Holdings") an aggregate of 823,193 exchangeable limited partnership interests in Newmark Holdings (the "Interests") in a transaction exempt pursuant to Rule 16b-3 under the Securities Exchange Act of 1934, as amended, in accordance with the Amended and Restated Agreement of Limited Partnership of Newmark Holdings, as amended and restated as of December 13, 2017 (as further amended from time to time, the "Newmark Holdings Agreement").

F3 · shares: Includes 299,910 Interests purchased from Newmark Holdings pursuant to Sections 12.02 and 12.03 of the Newmark Holdings Agreement as a result of the redemption of 299,910 non-exchangeable founding partner units for an aggregate consideration of $975,064, and 523,284 Interests purchased from Newmark Holdings pursuant to Section 8.08 of the Newmark Holdings Agreement for an aggregate consideration of $1,898,363 as a result of the exchange of 523,284 non-exchangeable founding partner units.

F3 · price: Includes 299,910 Interests purchased from Newmark Holdings pursuant to Sections 12.02 and 12.03 of the Newmark Holdings Agreement as a result of the redemption of 299,910 non-exchangeable founding partner units for an aggregate consideration of $975,064, and 523,284 Interests purchased from Newmark Holdings pursuant to Section 8.08 of the Newmark Holdings Agreement for an aggregate consideration of $1,898,363 as a result of the exchange of 523,284 non-exchangeable founding partner units.

F2 · derivative.exercise_date: The exchange rights with respect to the Interests are exercisable at any time for shares of Class B Common Stock (or, at CFLP's option, shares of Class A Common Stock) at the exchange ratio in effect at the time of the exchange (which is 0.9339 shares per Interest (subject to adjustment) as of September 30, 2021). The shares of Class B Common Stock are convertible at any time on a one-for-one basis (subject to adjustment) into shares of Class A Common Stock.

F2 · derivative.expiration_date: The exchange rights with respect to the Interests are exercisable at any time for shares of Class B Common Stock (or, at CFLP's option, shares of Class A Common Stock) at the exchange ratio in effect at the time of the exchange (which is 0.9339 shares per Interest (subject to adjustment) as of September 30, 2021). The shares of Class B Common Stock are convertible at any time on a one-for-one basis (subject to adjustment) into shares of Class A Common Stock.

F2 · derivative.underlying_shares: The exchange rights with respect to the Interests are exercisable at any time for shares of Class B Common Stock (or, at CFLP's option, shares of Class A Common Stock) at the exchange ratio in effect at the time of the exchange (which is 0.9339 shares per Interest (subject to adjustment) as of September 30, 2021). The shares of Class B Common Stock are convertible at any time on a one-for-one basis (subject to adjustment) into shares of Class A Common Stock.

F4 · balance_after: Includes Interests that may have to be exchanged at the then current exchange ratio for an aggregate of 7,309,410 shares of Class A Common Stock to satisfy CFLP's deferred share distribution obligations pursuant to rights provided to certain current and former partners of CFLP on April 1, 2008 and February 14, 2012.

F5 · ownership.nature: CF Group Management, Inc. ("CFGM") is the managing general partner of CFLP, and the reporting person is the Chief Executive Officer and sole stockholder of CFGM. The reporting person disclaims beneficial ownership of all such securities in excess of his pecuniary interest, if any, and this report shall not be deemed an admission that he is the beneficial owner of, or has pecuniary interest in, any such excess securities for purposes of Section 16 of the Securities Exchange Act of 1934 or for any other purpose.

SEC source: 0001437749-21-017386 · rdgdoc.xml · nonDerivative · entry 1

LUTNICK HOWARD W · CIK 0001250975 · Director · Chairman · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,310,024

F1 · kind: Represents a gift of Newmark Group, Inc. Class A common stock, par value $0.01 per share (the "Class A Common Stock"), by the reporting person to a charitable organization.

F1 · balance_after: Represents a gift of Newmark Group, Inc. Class A common stock, par value $0.01 per share (the "Class A Common Stock"), by the reporting person to a charitable organization.

F2 · balance_after: The shares of Class A Common Stock held directly by the reporting person following the gift represented herein consist of (i) 4,147,160 shares held by the reporting person, and (ii) 4,162,864 shares receivable by the reporting person pursuant to deferred stock distribution rights provided to certain current and former partners of Cantor Fitzgerald, L.P. ("CFLP") on April 1, 2008 ("April 2008 distribution rights shares") and February 14, 2012 ("February 2012 distribution rights shares") (consisting of 3,591,626 April 2008 distribution rights shares and 571,238 February 2012 distribution rights shares).

SEC source: 0001437749-21-016102 · rdgdoc.xml · derivative · entry 4

Gosin Barry M · CIK 0001388845 · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 618,572

Underlying: Class A common stock, par value $0.01 per share · Not disclosed shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · security: On June 28, 2021, 1,531,061 exchangeable limited partnership units of Newmark Holdings, L.P. ("Holdings Units") held by the reporting person were exchanged into 1,439,658 shares of Newmark Group, Inc. (the "Company") Class A common stock, par value $0.01 per share ("Class A Common Stock"), at the current exchange ratio of 0.9403 shares of Class A Common Stock per Holdings Unit. Exchangeable Holdings Units are exchangeable by the holder at any time into shares of Class A Common Stock at the then-current exchange ratio.

F1 · derivative.exercise_price: On June 28, 2021, 1,531,061 exchangeable limited partnership units of Newmark Holdings, L.P. ("Holdings Units") held by the reporting person were exchanged into 1,439,658 shares of Newmark Group, Inc. (the "Company") Class A common stock, par value $0.01 per share ("Class A Common Stock"), at the current exchange ratio of 0.9403 shares of Class A Common Stock per Holdings Unit. Exchangeable Holdings Units are exchangeable by the holder at any time into shares of Class A Common Stock at the then-current exchange ratio.

F1 · kind: On June 28, 2021, 1,531,061 exchangeable limited partnership units of Newmark Holdings, L.P. ("Holdings Units") held by the reporting person were exchanged into 1,439,658 shares of Newmark Group, Inc. (the "Company") Class A common stock, par value $0.01 per share ("Class A Common Stock"), at the current exchange ratio of 0.9403 shares of Class A Common Stock per Holdings Unit. Exchangeable Holdings Units are exchangeable by the holder at any time into shares of Class A Common Stock at the then-current exchange ratio.

F1 · shares: On June 28, 2021, 1,531,061 exchangeable limited partnership units of Newmark Holdings, L.P. ("Holdings Units") held by the reporting person were exchanged into 1,439,658 shares of Newmark Group, Inc. (the "Company") Class A common stock, par value $0.01 per share ("Class A Common Stock"), at the current exchange ratio of 0.9403 shares of Class A Common Stock per Holdings Unit. Exchangeable Holdings Units are exchangeable by the holder at any time into shares of Class A Common Stock at the then-current exchange ratio.

F1 · price: On June 28, 2021, 1,531,061 exchangeable limited partnership units of Newmark Holdings, L.P. ("Holdings Units") held by the reporting person were exchanged into 1,439,658 shares of Newmark Group, Inc. (the "Company") Class A common stock, par value $0.01 per share ("Class A Common Stock"), at the current exchange ratio of 0.9403 shares of Class A Common Stock per Holdings Unit. Exchangeable Holdings Units are exchangeable by the holder at any time into shares of Class A Common Stock at the then-current exchange ratio.

F1 · derivative.exercise_date: On June 28, 2021, 1,531,061 exchangeable limited partnership units of Newmark Holdings, L.P. ("Holdings Units") held by the reporting person were exchanged into 1,439,658 shares of Newmark Group, Inc. (the "Company") Class A common stock, par value $0.01 per share ("Class A Common Stock"), at the current exchange ratio of 0.9403 shares of Class A Common Stock per Holdings Unit. Exchangeable Holdings Units are exchangeable by the holder at any time into shares of Class A Common Stock at the then-current exchange ratio.

F1 · derivative.expiration_date: On June 28, 2021, 1,531,061 exchangeable limited partnership units of Newmark Holdings, L.P. ("Holdings Units") held by the reporting person were exchanged into 1,439,658 shares of Newmark Group, Inc. (the "Company") Class A common stock, par value $0.01 per share ("Class A Common Stock"), at the current exchange ratio of 0.9403 shares of Class A Common Stock per Holdings Unit. Exchangeable Holdings Units are exchangeable by the holder at any time into shares of Class A Common Stock at the then-current exchange ratio.

F1 · derivative.underlying: On June 28, 2021, 1,531,061 exchangeable limited partnership units of Newmark Holdings, L.P. ("Holdings Units") held by the reporting person were exchanged into 1,439,658 shares of Newmark Group, Inc. (the "Company") Class A common stock, par value $0.01 per share ("Class A Common Stock"), at the current exchange ratio of 0.9403 shares of Class A Common Stock per Holdings Unit. Exchangeable Holdings Units are exchangeable by the holder at any time into shares of Class A Common Stock at the then-current exchange ratio.

F1 · derivative.underlying_shares: On June 28, 2021, 1,531,061 exchangeable limited partnership units of Newmark Holdings, L.P. ("Holdings Units") held by the reporting person were exchanged into 1,439,658 shares of Newmark Group, Inc. (the "Company") Class A common stock, par value $0.01 per share ("Class A Common Stock"), at the current exchange ratio of 0.9403 shares of Class A Common Stock per Holdings Unit. Exchangeable Holdings Units are exchangeable by the holder at any time into shares of Class A Common Stock at the then-current exchange ratio.

SEC source: 0001437749-21-016102 · rdgdoc.xml · nonDerivative · entry 3

Gosin Barry M · CIK 0001388845 · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,552,887

F3 · kind: In connection with the transactions described above, 670,933 shares of Class A Common Stock were withheld to pay taxes on the transactions described above.

F3 · shares: In connection with the transactions described above, 670,933 shares of Class A Common Stock were withheld to pay taxes on the transactions described above.

F3 · price: In connection with the transactions described above, 670,933 shares of Class A Common Stock were withheld to pay taxes on the transactions described above.

SEC source: 0001437749-21-016102 · rdgdoc.xml · nonDerivative · entry 2

Gosin Barry M · CIK 0001388845 · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,223,820

F2 · kind: On June 28, 2021, the Company granted to the reporting person 12,500 shares of Class A Common Stock. The grant was approved by the Compensation Committee of the Board of Directors of the Company and is exempt pursuant to Rule 16b-3 under the Securities Exchange Act of 1934, as amended.

F2 · shares: On June 28, 2021, the Company granted to the reporting person 12,500 shares of Class A Common Stock. The grant was approved by the Compensation Committee of the Board of Directors of the Company and is exempt pursuant to Rule 16b-3 under the Securities Exchange Act of 1934, as amended.

F2 · price: On June 28, 2021, the Company granted to the reporting person 12,500 shares of Class A Common Stock. The grant was approved by the Compensation Committee of the Board of Directors of the Company and is exempt pursuant to Rule 16b-3 under the Securities Exchange Act of 1934, as amended.

SEC source: 0001437749-21-016102 · rdgdoc.xml · nonDerivative · entry 1

Gosin Barry M · CIK 0001388845 · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,211,320

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · kind: On June 28, 2021, 1,531,061 exchangeable limited partnership units of Newmark Holdings, L.P. ("Holdings Units") held by the reporting person were exchanged into 1,439,658 shares of Newmark Group, Inc. (the "Company") Class A common stock, par value $0.01 per share ("Class A Common Stock"), at the current exchange ratio of 0.9403 shares of Class A Common Stock per Holdings Unit. Exchangeable Holdings Units are exchangeable by the holder at any time into shares of Class A Common Stock at the then-current exchange ratio.

F1 · shares: On June 28, 2021, 1,531,061 exchangeable limited partnership units of Newmark Holdings, L.P. ("Holdings Units") held by the reporting person were exchanged into 1,439,658 shares of Newmark Group, Inc. (the "Company") Class A common stock, par value $0.01 per share ("Class A Common Stock"), at the current exchange ratio of 0.9403 shares of Class A Common Stock per Holdings Unit. Exchangeable Holdings Units are exchangeable by the holder at any time into shares of Class A Common Stock at the then-current exchange ratio.

F1 · price: On June 28, 2021, 1,531,061 exchangeable limited partnership units of Newmark Holdings, L.P. ("Holdings Units") held by the reporting person were exchanged into 1,439,658 shares of Newmark Group, Inc. (the "Company") Class A common stock, par value $0.01 per share ("Class A Common Stock"), at the current exchange ratio of 0.9403 shares of Class A Common Stock per Holdings Unit. Exchangeable Holdings Units are exchangeable by the holder at any time into shares of Class A Common Stock at the then-current exchange ratio.

SEC source: 0001437749-21-016097 · rdgdoc.xml · nonDerivative · entry 2

MERKEL STEPHEN M · CIK 0001251144 · EVP and Chief Legal Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 35,006

F2 · kind: In connection with the transaction described above, 13,066 shares of Class A Common Stock were withheld to pay taxes on the transaction described above.

F2 · shares: In connection with the transaction described above, 13,066 shares of Class A Common Stock were withheld to pay taxes on the transaction described above.

F2 · price: In connection with the transaction described above, 13,066 shares of Class A Common Stock were withheld to pay taxes on the transaction described above.

SEC source: 0001437749-21-016097 · rdgdoc.xml · nonDerivative · entry 1

MERKEL STEPHEN M · CIK 0001251144 · EVP and Chief Legal Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 48,072

F1 · kind: On June 28, 2021, Newmark Group, Inc. (the "Company") granted to the reporting person 48,072 shares of its Class A Common Stock, par value $0.01 per share ("Class A Common Stock"), following the redemption of an aggregate of 51,124 non-exchangeable limited partnership interests of Newmark Holdings, L.P. held by the reporting person for zero. The grant was approved by the Compensation Committee of the Board of Directors of the Company and is exempt pursuant to Rule 16b-3 under the Securities Exchange Act of 1934, as amended.

F1 · shares: On June 28, 2021, Newmark Group, Inc. (the "Company") granted to the reporting person 48,072 shares of its Class A Common Stock, par value $0.01 per share ("Class A Common Stock"), following the redemption of an aggregate of 51,124 non-exchangeable limited partnership interests of Newmark Holdings, L.P. held by the reporting person for zero. The grant was approved by the Compensation Committee of the Board of Directors of the Company and is exempt pursuant to Rule 16b-3 under the Securities Exchange Act of 1934, as amended.

F1 · price: On June 28, 2021, Newmark Group, Inc. (the "Company") granted to the reporting person 48,072 shares of its Class A Common Stock, par value $0.01 per share ("Class A Common Stock"), following the redemption of an aggregate of 51,124 non-exchangeable limited partnership interests of Newmark Holdings, L.P. held by the reporting person for zero. The grant was approved by the Compensation Committee of the Board of Directors of the Company and is exempt pursuant to Rule 16b-3 under the Securities Exchange Act of 1934, as amended.

SEC source: 0001437749-21-016090 · rdgdoc.xml · derivative · entry 5

Rispoli Michael J. · CIK 0001446936 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 436

Underlying: Class A common stock, par value $0.01 per share · Not disclosed shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · security: On June 28, 2021, 23,124 exchangeable limited partnership units of Newmark Holdings, L.P. ("Holdings Units") held by the reporting person were exchanged into 21,744 shares of Newmark Group, Inc. (the "Company") Class A common stock, par value $0.01 per share ("Class A Common Stock"), at the current exchange ratio of 0.9403 shares of Class A Common Stock per Holdings Unit. Exchangable Holdings Units are exchangeable by the holder at any time into shares of Class A Common Stock at the then-current exchange ratio.

F1 · derivative.exercise_price: On June 28, 2021, 23,124 exchangeable limited partnership units of Newmark Holdings, L.P. ("Holdings Units") held by the reporting person were exchanged into 21,744 shares of Newmark Group, Inc. (the "Company") Class A common stock, par value $0.01 per share ("Class A Common Stock"), at the current exchange ratio of 0.9403 shares of Class A Common Stock per Holdings Unit. Exchangable Holdings Units are exchangeable by the holder at any time into shares of Class A Common Stock at the then-current exchange ratio.

F1 · kind: On June 28, 2021, 23,124 exchangeable limited partnership units of Newmark Holdings, L.P. ("Holdings Units") held by the reporting person were exchanged into 21,744 shares of Newmark Group, Inc. (the "Company") Class A common stock, par value $0.01 per share ("Class A Common Stock"), at the current exchange ratio of 0.9403 shares of Class A Common Stock per Holdings Unit. Exchangable Holdings Units are exchangeable by the holder at any time into shares of Class A Common Stock at the then-current exchange ratio.

F1 · shares: On June 28, 2021, 23,124 exchangeable limited partnership units of Newmark Holdings, L.P. ("Holdings Units") held by the reporting person were exchanged into 21,744 shares of Newmark Group, Inc. (the "Company") Class A common stock, par value $0.01 per share ("Class A Common Stock"), at the current exchange ratio of 0.9403 shares of Class A Common Stock per Holdings Unit. Exchangable Holdings Units are exchangeable by the holder at any time into shares of Class A Common Stock at the then-current exchange ratio.

F1 · price: On June 28, 2021, 23,124 exchangeable limited partnership units of Newmark Holdings, L.P. ("Holdings Units") held by the reporting person were exchanged into 21,744 shares of Newmark Group, Inc. (the "Company") Class A common stock, par value $0.01 per share ("Class A Common Stock"), at the current exchange ratio of 0.9403 shares of Class A Common Stock per Holdings Unit. Exchangable Holdings Units are exchangeable by the holder at any time into shares of Class A Common Stock at the then-current exchange ratio.

F1 · derivative.exercise_date: On June 28, 2021, 23,124 exchangeable limited partnership units of Newmark Holdings, L.P. ("Holdings Units") held by the reporting person were exchanged into 21,744 shares of Newmark Group, Inc. (the "Company") Class A common stock, par value $0.01 per share ("Class A Common Stock"), at the current exchange ratio of 0.9403 shares of Class A Common Stock per Holdings Unit. Exchangable Holdings Units are exchangeable by the holder at any time into shares of Class A Common Stock at the then-current exchange ratio.

F1 · derivative.expiration_date: On June 28, 2021, 23,124 exchangeable limited partnership units of Newmark Holdings, L.P. ("Holdings Units") held by the reporting person were exchanged into 21,744 shares of Newmark Group, Inc. (the "Company") Class A common stock, par value $0.01 per share ("Class A Common Stock"), at the current exchange ratio of 0.9403 shares of Class A Common Stock per Holdings Unit. Exchangable Holdings Units are exchangeable by the holder at any time into shares of Class A Common Stock at the then-current exchange ratio.

F1 · derivative.underlying: On June 28, 2021, 23,124 exchangeable limited partnership units of Newmark Holdings, L.P. ("Holdings Units") held by the reporting person were exchanged into 21,744 shares of Newmark Group, Inc. (the "Company") Class A common stock, par value $0.01 per share ("Class A Common Stock"), at the current exchange ratio of 0.9403 shares of Class A Common Stock per Holdings Unit. Exchangable Holdings Units are exchangeable by the holder at any time into shares of Class A Common Stock at the then-current exchange ratio.

F1 · derivative.underlying_shares: On June 28, 2021, 23,124 exchangeable limited partnership units of Newmark Holdings, L.P. ("Holdings Units") held by the reporting person were exchanged into 21,744 shares of Newmark Group, Inc. (the "Company") Class A common stock, par value $0.01 per share ("Class A Common Stock"), at the current exchange ratio of 0.9403 shares of Class A Common Stock per Holdings Unit. Exchangable Holdings Units are exchangeable by the holder at any time into shares of Class A Common Stock at the then-current exchange ratio.

SEC source: 0001437749-21-016090 · rdgdoc.xml · nonDerivative · entry 4

Rispoli Michael J. · CIK 0001446936 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,926

F4 · kind: In connection with the transactions described above, 3,805 shares of Class A Common Stock were withheld to pay taxes on the transactions described above.

F4 · shares: In connection with the transactions described above, 3,805 shares of Class A Common Stock were withheld to pay taxes on the transactions described above.

F4 · price: In connection with the transactions described above, 3,805 shares of Class A Common Stock were withheld to pay taxes on the transactions described above.

SEC source: 0001437749-21-016090 · rdgdoc.xml · nonDerivative · entry 3

Rispoli Michael J. · CIK 0001446936 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 29,731

F3 · kind: On June 28, 2021, the Company granted to the reporting person 383 shares of Class A Common Stock. The grant was approved by the Compensation Committee and is exempt pursuant to Rule 16b-3.

F3 · shares: On June 28, 2021, the Company granted to the reporting person 383 shares of Class A Common Stock. The grant was approved by the Compensation Committee and is exempt pursuant to Rule 16b-3.

F3 · price: On June 28, 2021, the Company granted to the reporting person 383 shares of Class A Common Stock. The grant was approved by the Compensation Committee and is exempt pursuant to Rule 16b-3.

SEC source: 0001437749-21-016090 · rdgdoc.xml · nonDerivative · entry 2

Rispoli Michael J. · CIK 0001446936 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 29,348

F2 · kind: On June 28, 2021, the Company granted to the reporting person 5,642 shares of its Class A Common Stock following the redemption of an aggregate of 6,000 non-exchangeable Holding Units held by the reporting person for zero. The grant was approved by the Compensation Committee of the Board of Directors of the Company (the "Compensation Committee") and is exempt pursuant to Rule 16b-3 under the Securities Exchange Act of 1934, as amended ("Rule 16b-3").

F2 · shares: On June 28, 2021, the Company granted to the reporting person 5,642 shares of its Class A Common Stock following the redemption of an aggregate of 6,000 non-exchangeable Holding Units held by the reporting person for zero. The grant was approved by the Compensation Committee of the Board of Directors of the Company (the "Compensation Committee") and is exempt pursuant to Rule 16b-3 under the Securities Exchange Act of 1934, as amended ("Rule 16b-3").

F2 · price: On June 28, 2021, the Company granted to the reporting person 5,642 shares of its Class A Common Stock following the redemption of an aggregate of 6,000 non-exchangeable Holding Units held by the reporting person for zero. The grant was approved by the Compensation Committee of the Board of Directors of the Company (the "Compensation Committee") and is exempt pursuant to Rule 16b-3 under the Securities Exchange Act of 1934, as amended ("Rule 16b-3").

SEC source: 0001437749-21-016090 · rdgdoc.xml · nonDerivative · entry 1

Rispoli Michael J. · CIK 0001446936 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 23,706

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · kind: On June 28, 2021, 23,124 exchangeable limited partnership units of Newmark Holdings, L.P. ("Holdings Units") held by the reporting person were exchanged into 21,744 shares of Newmark Group, Inc. (the "Company") Class A common stock, par value $0.01 per share ("Class A Common Stock"), at the current exchange ratio of 0.9403 shares of Class A Common Stock per Holdings Unit. Exchangable Holdings Units are exchangeable by the holder at any time into shares of Class A Common Stock at the then-current exchange ratio.

F1 · shares: On June 28, 2021, 23,124 exchangeable limited partnership units of Newmark Holdings, L.P. ("Holdings Units") held by the reporting person were exchanged into 21,744 shares of Newmark Group, Inc. (the "Company") Class A common stock, par value $0.01 per share ("Class A Common Stock"), at the current exchange ratio of 0.9403 shares of Class A Common Stock per Holdings Unit. Exchangable Holdings Units are exchangeable by the holder at any time into shares of Class A Common Stock at the then-current exchange ratio.

F1 · price: On June 28, 2021, 23,124 exchangeable limited partnership units of Newmark Holdings, L.P. ("Holdings Units") held by the reporting person were exchanged into 21,744 shares of Newmark Group, Inc. (the "Company") Class A common stock, par value $0.01 per share ("Class A Common Stock"), at the current exchange ratio of 0.9403 shares of Class A Common Stock per Holdings Unit. Exchangable Holdings Units are exchangeable by the holder at any time into shares of Class A Common Stock at the then-current exchange ratio.

SEC source: 0001437749-21-016200 · rdgdoc.xml · derivative · entry 6

LUTNICK HOWARD W · CIK 0001250975 · Director · Chairman · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 279,725

Underlying: Class A common Stock, par value $0.01 per share · Not disclosed shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · security: On June 28, 2021, 279,275 exchangeable limited partnership units of Newmark Holdings, L.P. ("Holdings Units") held by the reporting person were exchanged into 263,025 shares of Newmark Group, Inc. (the "Company") Class A common stock, par value $0.01 per share ("Class A Common Stock"), at the current exchange ratio of 0.9403 shares of Class A Common Stock per Holdings Unit. Exchangable Holdings Units are exchangeable by the holder at any time into shares of Class A Common Stock at the then-current exchange ratio.

F1 · derivative.exercise_price: On June 28, 2021, 279,275 exchangeable limited partnership units of Newmark Holdings, L.P. ("Holdings Units") held by the reporting person were exchanged into 263,025 shares of Newmark Group, Inc. (the "Company") Class A common stock, par value $0.01 per share ("Class A Common Stock"), at the current exchange ratio of 0.9403 shares of Class A Common Stock per Holdings Unit. Exchangable Holdings Units are exchangeable by the holder at any time into shares of Class A Common Stock at the then-current exchange ratio.

F1 · kind: On June 28, 2021, 279,275 exchangeable limited partnership units of Newmark Holdings, L.P. ("Holdings Units") held by the reporting person were exchanged into 263,025 shares of Newmark Group, Inc. (the "Company") Class A common stock, par value $0.01 per share ("Class A Common Stock"), at the current exchange ratio of 0.9403 shares of Class A Common Stock per Holdings Unit. Exchangable Holdings Units are exchangeable by the holder at any time into shares of Class A Common Stock at the then-current exchange ratio.

F1 · shares: On June 28, 2021, 279,275 exchangeable limited partnership units of Newmark Holdings, L.P. ("Holdings Units") held by the reporting person were exchanged into 263,025 shares of Newmark Group, Inc. (the "Company") Class A common stock, par value $0.01 per share ("Class A Common Stock"), at the current exchange ratio of 0.9403 shares of Class A Common Stock per Holdings Unit. Exchangable Holdings Units are exchangeable by the holder at any time into shares of Class A Common Stock at the then-current exchange ratio.

F1 · price: On June 28, 2021, 279,275 exchangeable limited partnership units of Newmark Holdings, L.P. ("Holdings Units") held by the reporting person were exchanged into 263,025 shares of Newmark Group, Inc. (the "Company") Class A common stock, par value $0.01 per share ("Class A Common Stock"), at the current exchange ratio of 0.9403 shares of Class A Common Stock per Holdings Unit. Exchangable Holdings Units are exchangeable by the holder at any time into shares of Class A Common Stock at the then-current exchange ratio.

F1 · derivative.exercise_date: On June 28, 2021, 279,275 exchangeable limited partnership units of Newmark Holdings, L.P. ("Holdings Units") held by the reporting person were exchanged into 263,025 shares of Newmark Group, Inc. (the "Company") Class A common stock, par value $0.01 per share ("Class A Common Stock"), at the current exchange ratio of 0.9403 shares of Class A Common Stock per Holdings Unit. Exchangable Holdings Units are exchangeable by the holder at any time into shares of Class A Common Stock at the then-current exchange ratio.

F1 · derivative.expiration_date: On June 28, 2021, 279,275 exchangeable limited partnership units of Newmark Holdings, L.P. ("Holdings Units") held by the reporting person were exchanged into 263,025 shares of Newmark Group, Inc. (the "Company") Class A common stock, par value $0.01 per share ("Class A Common Stock"), at the current exchange ratio of 0.9403 shares of Class A Common Stock per Holdings Unit. Exchangable Holdings Units are exchangeable by the holder at any time into shares of Class A Common Stock at the then-current exchange ratio.

F1 · derivative.underlying: On June 28, 2021, 279,275 exchangeable limited partnership units of Newmark Holdings, L.P. ("Holdings Units") held by the reporting person were exchanged into 263,025 shares of Newmark Group, Inc. (the "Company") Class A common stock, par value $0.01 per share ("Class A Common Stock"), at the current exchange ratio of 0.9403 shares of Class A Common Stock per Holdings Unit. Exchangable Holdings Units are exchangeable by the holder at any time into shares of Class A Common Stock at the then-current exchange ratio.

F1 · derivative.underlying_shares: On June 28, 2021, 279,275 exchangeable limited partnership units of Newmark Holdings, L.P. ("Holdings Units") held by the reporting person were exchanged into 263,025 shares of Newmark Group, Inc. (the "Company") Class A common stock, par value $0.01 per share ("Class A Common Stock"), at the current exchange ratio of 0.9403 shares of Class A Common Stock per Holdings Unit. Exchangable Holdings Units are exchangeable by the holder at any time into shares of Class A Common Stock at the then-current exchange ratio.

SEC source: 0001437749-21-016200 · rdgdoc.xml · nonDerivative · entry 4

LUTNICK HOWARD W · CIK 0001250975 · Director · Chairman · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,312,091

F5 · kind: In connection with the transactions described in footnotes (1), (3) and (4) above, the amount of Class A Common Stock held directly by the reporting person was reduced by 1,212,000 shares of Class A Common Stock to pay taxes on the transactions described above.

F5 · shares: In connection with the transactions described in footnotes (1), (3) and (4) above, the amount of Class A Common Stock held directly by the reporting person was reduced by 1,212,000 shares of Class A Common Stock to pay taxes on the transactions described above.

F5 · price: In connection with the transactions described in footnotes (1), (3) and (4) above, the amount of Class A Common Stock held directly by the reporting person was reduced by 1,212,000 shares of Class A Common Stock to pay taxes on the transactions described above.

F2 · balance_after: The shares of Class A Common Stock held directly by the reporting person following the transactions represented herein consist of (i) 4,149,227 shares held by the reporting person, and (ii) 4,162,864 shares receivable by the reporting person pursuant to deferred stock distribution rights provided to certain current and former partners of Cantor Fitzgerald, L.P. ("CFLP") on April 1, 2008 ("April 2008 distribution rights shares") and February 14, 2012 ("February 2012 distribution rights shares") (consisting of 3,591,626 April 2008 distribution rights shares and 571,238 February 2012 distribution rights shares).

SEC source: 0001437749-21-016200 · rdgdoc.xml · nonDerivative · entry 3

LUTNICK HOWARD W · CIK 0001250975 · Director · Chairman · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,524,091

F4 · kind: On June 28, 2021, the Company granted to the reporting person 29,059 shares of its Class A Common Stock. The grant was approved by the Compensation Committee and is exempt pursuant to Rule 16b-3 under the Exchange Act.

F4 · shares: On June 28, 2021, the Company granted to the reporting person 29,059 shares of its Class A Common Stock. The grant was approved by the Compensation Committee and is exempt pursuant to Rule 16b-3 under the Exchange Act.

F4 · price: On June 28, 2021, the Company granted to the reporting person 29,059 shares of its Class A Common Stock. The grant was approved by the Compensation Committee and is exempt pursuant to Rule 16b-3 under the Exchange Act.

F2 · balance_after: The shares of Class A Common Stock held directly by the reporting person following the transactions represented herein consist of (i) 4,149,227 shares held by the reporting person, and (ii) 4,162,864 shares receivable by the reporting person pursuant to deferred stock distribution rights provided to certain current and former partners of Cantor Fitzgerald, L.P. ("CFLP") on April 1, 2008 ("April 2008 distribution rights shares") and February 14, 2012 ("February 2012 distribution rights shares") (consisting of 3,591,626 April 2008 distribution rights shares and 571,238 February 2012 distribution rights shares).

SEC source: 0001437749-21-016200 · rdgdoc.xml · nonDerivative · entry 2

LUTNICK HOWARD W · CIK 0001250975 · Director · Chairman · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,495,032

F3 · kind: On June 28, 2021, the Company granted to the reporting person 2,736,103 shares of Class A Common Stock following the redemption of 2,909,819 non-exchangeable Holding Units held by the reporting person. The grant was approved by the Compensation Committee of the Board of Directors of the Company (the "Compensation Committee") and is exempt pursuant to Rule 16b-3 under the Securities Exchange Act of 1934, as amended (the "Exchange Act").

F3 · shares: On June 28, 2021, the Company granted to the reporting person 2,736,103 shares of Class A Common Stock following the redemption of 2,909,819 non-exchangeable Holding Units held by the reporting person. The grant was approved by the Compensation Committee of the Board of Directors of the Company (the "Compensation Committee") and is exempt pursuant to Rule 16b-3 under the Securities Exchange Act of 1934, as amended (the "Exchange Act").

F3 · price: On June 28, 2021, the Company granted to the reporting person 2,736,103 shares of Class A Common Stock following the redemption of 2,909,819 non-exchangeable Holding Units held by the reporting person. The grant was approved by the Compensation Committee of the Board of Directors of the Company (the "Compensation Committee") and is exempt pursuant to Rule 16b-3 under the Securities Exchange Act of 1934, as amended (the "Exchange Act").

F2 · balance_after: The shares of Class A Common Stock held directly by the reporting person following the transactions represented herein consist of (i) 4,149,227 shares held by the reporting person, and (ii) 4,162,864 shares receivable by the reporting person pursuant to deferred stock distribution rights provided to certain current and former partners of Cantor Fitzgerald, L.P. ("CFLP") on April 1, 2008 ("April 2008 distribution rights shares") and February 14, 2012 ("February 2012 distribution rights shares") (consisting of 3,591,626 April 2008 distribution rights shares and 571,238 February 2012 distribution rights shares).

SEC source: 0001437749-21-016200 · rdgdoc.xml · nonDerivative · entry 1

LUTNICK HOWARD W · CIK 0001250975 · Director · Chairman · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,758,929

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · kind: On June 28, 2021, 279,275 exchangeable limited partnership units of Newmark Holdings, L.P. ("Holdings Units") held by the reporting person were exchanged into 263,025 shares of Newmark Group, Inc. (the "Company") Class A common stock, par value $0.01 per share ("Class A Common Stock"), at the current exchange ratio of 0.9403 shares of Class A Common Stock per Holdings Unit. Exchangable Holdings Units are exchangeable by the holder at any time into shares of Class A Common Stock at the then-current exchange ratio.

F1 · shares: On June 28, 2021, 279,275 exchangeable limited partnership units of Newmark Holdings, L.P. ("Holdings Units") held by the reporting person were exchanged into 263,025 shares of Newmark Group, Inc. (the "Company") Class A common stock, par value $0.01 per share ("Class A Common Stock"), at the current exchange ratio of 0.9403 shares of Class A Common Stock per Holdings Unit. Exchangable Holdings Units are exchangeable by the holder at any time into shares of Class A Common Stock at the then-current exchange ratio.

F1 · price: On June 28, 2021, 279,275 exchangeable limited partnership units of Newmark Holdings, L.P. ("Holdings Units") held by the reporting person were exchanged into 263,025 shares of Newmark Group, Inc. (the "Company") Class A common stock, par value $0.01 per share ("Class A Common Stock"), at the current exchange ratio of 0.9403 shares of Class A Common Stock per Holdings Unit. Exchangable Holdings Units are exchangeable by the holder at any time into shares of Class A Common Stock at the then-current exchange ratio.

F2 · balance_after: The shares of Class A Common Stock held directly by the reporting person following the transactions represented herein consist of (i) 4,149,227 shares held by the reporting person, and (ii) 4,162,864 shares receivable by the reporting person pursuant to deferred stock distribution rights provided to certain current and former partners of Cantor Fitzgerald, L.P. ("CFLP") on April 1, 2008 ("April 2008 distribution rights shares") and February 14, 2012 ("February 2012 distribution rights shares") (consisting of 3,591,626 April 2008 distribution rights shares and 571,238 February 2012 distribution rights shares).

SEC source: 0001437749-21-013042 · rdgdoc.xml · nonDerivative · entry 1

LUTNICK HOWARD W · CIK 0001250975 · Director · Chairman · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,495,904

F1 · kind: Represents a gift of Newmark Group, Inc. Class A common stock, par value $0.01 per share (the "Class A Common Stock"), by the reporting person to a charitable organization.

F1 · balance_after: Represents a gift of Newmark Group, Inc. Class A common stock, par value $0.01 per share (the "Class A Common Stock"), by the reporting person to a charitable organization.

F2 · balance_after: The shares of Class A Common Stock held directly by the reporting person following such gift represented herein consist of (i) 2,333,040 shares held by the reporting person, and (ii) 4,162,864 shares receivable by the reporting person pursuant to deferred stock distribution rights provided to certain current and former partners of Cantor Fitzgerald, L.P. ("CFLP") on April 1, 2008 ("April 2008 distribution rights shares") and February 14, 2012 ("February 2012 distribution rights shares") (consisting of 3,591,626 April 2008 distribution rights shares and 571,238 February 2012 distribution rights shares).