NMRK

SEC source: 0001437749-21-010214 · 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: 5,154,180

F1 · shares: On April 27, 2021, a Keogh retirement account for the benefit of the reporting person acquired 5,154 shares of Class A Common Stock, par value $0.01 per share (the "Class A Common Stock"), from Newmark Group, Inc. in a transaction exempt pursuant to Rule 16b-3 under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), at a price per share equal to the closing price of the Class A Common Stock on April 27, 2021. This transaction was approved by the Audit Committee of the Board of Directors.

F1 · balance_after: On April 27, 2021, a Keogh retirement account for the benefit of the reporting person acquired 5,154 shares of Class A Common Stock, par value $0.01 per share (the "Class A Common Stock"), from Newmark Group, Inc. in a transaction exempt pursuant to Rule 16b-3 under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), at a price per share equal to the closing price of the Class A Common Stock on April 27, 2021. This transaction was approved by the Audit Committee of the Board of Directors.

F2 · balance_after: The reporting person's indirect pecuniary interest in 5,154,180 shares of Class A Common Stock following such acquisition consists of : (i) 951,076 shares receivable 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 74,536 shares receivable pursuant to deferred stock distribution rights provided to certain current and former partners of CFLP on February 14, 2012 ("February 2012 distribution rights shares") receivable by CF Group Management, Inc. ("CFGM"), (ii) 1,687,724 shares of Class A Common Stock held in various trust, retirement and custodial accounts consisting of (a) 960,989 shares held in Mr. Lutnick's grantor retained annuity trust (GRAT), (b) 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

F3 · balance_after: (continued from footnote 2) limited powers to remove and replace such trustees, (c) 112,405 shares held in a Keogh retirement account for Mr. Lutnick, (d) 249,498 shares held by trust accounts for the benefit of Mr. Lutnick and members of his immediate family, (e) 37,918 shares held in Mr. Lutnick's personal asset trust, of which he is the sole trustee, (f) 13,268 shares held in other retirement accounts, (g) 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 (h) 4,016 shares of Class A Common Stock 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")),

F4 · balance_after: (continued from footnote 3) (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), (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) 232,327 shares held in the reporting person's 401(k) account as of March 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.

F6 · balance_after: The shares of Class A Common Stock held directly by the reporting person consist of (i) 2,334,940 shares held by the reporting person, and (ii) 4,162,864 shares represented by distribution rights shares receivable by the reporting person (consisting of 3,591,626 April 2008 distribution rights shares and 571,238 February 2012 distribution rights shares).

F1 · ownership.nature: On April 27, 2021, a Keogh retirement account for the benefit of the reporting person acquired 5,154 shares of Class A Common Stock, par value $0.01 per share (the "Class A Common Stock"), from Newmark Group, Inc. in a transaction exempt pursuant to Rule 16b-3 under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), at a price per share equal to the closing price of the Class A Common Stock on April 27, 2021. This transaction was approved by the Audit Committee of the Board of Directors.

F2 · ownership.nature: The reporting person's indirect pecuniary interest in 5,154,180 shares of Class A Common Stock following such acquisition consists of : (i) 951,076 shares receivable 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 74,536 shares receivable pursuant to deferred stock distribution rights provided to certain current and former partners of CFLP on February 14, 2012 ("February 2012 distribution rights shares") receivable by CF Group Management, Inc. ("CFGM"), (ii) 1,687,724 shares of Class A Common Stock held in various trust, retirement and custodial accounts consisting of (a) 960,989 shares held in Mr. Lutnick's grantor retained annuity trust (GRAT), (b) 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

F3 · ownership.nature: (continued from footnote 2) limited powers to remove and replace such trustees, (c) 112,405 shares held in a Keogh retirement account for Mr. Lutnick, (d) 249,498 shares held by trust accounts for the benefit of Mr. Lutnick and members of his immediate family, (e) 37,918 shares held in Mr. Lutnick's personal asset trust, of which he is the sole trustee, (f) 13,268 shares held in other retirement accounts, (g) 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 (h) 4,016 shares of Class A Common Stock 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")),

F4 · ownership.nature: (continued from footnote 3) (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), (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) 232,327 shares held in the reporting person's 401(k) account as of March 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.

F6 · ownership.nature: The shares of Class A Common Stock held directly by the reporting person consist of (i) 2,334,940 shares held by the reporting person, and (ii) 4,162,864 shares represented by distribution rights shares receivable by the reporting person (consisting of 3,591,626 April 2008 distribution rights shares and 571,238 February 2012 distribution rights shares).

SEC source: 0001437749-21-010209 · rdgdoc.xml · nonDerivative · entry 4

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

F4 · shares: On April 27, 2021, the reporting person sold these shares of Class A Common Stock to the Company in an exempt transaction pursuant to Rule 16b-3. The sale price per share was the closing price of the Class A Common Stock on April 27, 2021. The transaction was approved by the Compensation Committee.

SEC source: 0001437749-21-010209 · rdgdoc.xml · nonDerivative · entry 3

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 68,727

F3 · shares: On April 27, 2021, the Company granted to the reporting person 68,727 shares of its Class A Common Stock, following the redemption of an aggregate of 73,387 non-exchangeable limited partnership interests of Newmark Holdings held by the reporting person for zero. The grant was approved by the Compensation Committee and is exempt pursuant to Rule 16b-3.

F3 · price: On April 27, 2021, the Company granted to the reporting person 68,727 shares of its Class A Common Stock, following the redemption of an aggregate of 73,387 non-exchangeable limited partnership interests of Newmark Holdings held by the reporting person for zero. The grant was approved by the Compensation Committee and is exempt pursuant to Rule 16b-3.

SEC source: 0001437749-21-008142 · rdgdoc.xml · derivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,259,977

Underlying: Class A or Class B Common Stock, par value $0.01 per share · 944,660 shares

Expires not disclosed

F1 · security: On March 31, 2021, Cantor Fitzgerald, L.P. ("CFLP") purchased from Newmark Holdings, L.P. ("Newmark Holdings") an aggregate of 1,008,713 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 0.9365 shares per Interest (subject to adjustment) as of March 31, 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 March 31, 2021, Cantor Fitzgerald, L.P. ("CFLP") purchased from Newmark Holdings, L.P. ("Newmark Holdings") an aggregate of 1,008,713 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 273,088 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 273,088 non-exchangeable founding partner units for an aggregate consideration of $1,105,598, and 735,625 Interests purchased from Newmark Holdings pursuant to Section 8.08 of the Newmark Holdings Agreement for an aggregate consideration of $2,918,919 as a result of the exchange of 735,625 non-exchangeable founding partner units.

F3 · price: Includes 273,088 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 273,088 non-exchangeable founding partner units for an aggregate consideration of $1,105,598, and 735,625 Interests purchased from Newmark Holdings pursuant to Section 8.08 of the Newmark Holdings Agreement for an aggregate consideration of $2,918,919 as a result of the exchange of 735,625 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 0.9365 shares per Interest (subject to adjustment) as of March 31, 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 0.9365 shares per Interest (subject to adjustment) as of March 31, 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 0.9365 shares per Interest (subject to adjustment) as of March 31, 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 0.9365 shares per Interest (subject to adjustment) as of March 31, 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 7,309,420 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: 0001437749-21-008144 · 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: 25,259,977

Underlying: Class A or Class B Common Stock, par value $0.01 per share · 944,660 shares

Expires not disclosed

F1 · security: On March 31, 2021, Cantor Fitzgerald, L.P. ("CFLP") purchased from Newmark Holdings, L.P. ("Newmark Holdings") an aggregate of 1,008,713 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 0.9365 shares per Interest (subject to adjustment) as of March 31, 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 March 31, 2021, Cantor Fitzgerald, L.P. ("CFLP") purchased from Newmark Holdings, L.P. ("Newmark Holdings") an aggregate of 1,008,713 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 273,088 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 273,088 non-exchangeable founding partner units for an aggregate consideration of $1,105,598, and 735,625 Interests purchased from Newmark Holdings pursuant to Section 8.08 of the Newmark Holdings Agreement for an aggregate consideration of $2,918,919 as a result of the exchange of 735,625 non-exchangeable founding partner units.

F3 · price: Includes 273,088 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 273,088 non-exchangeable founding partner units for an aggregate consideration of $1,105,598, and 735,625 Interests purchased from Newmark Holdings pursuant to Section 8.08 of the Newmark Holdings Agreement for an aggregate consideration of $2,918,919 as a result of the exchange of 735,625 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 0.9365 shares per Interest (subject to adjustment) as of March 31, 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 0.9365 shares per Interest (subject to adjustment) as of March 31, 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 0.9365 shares per Interest (subject to adjustment) as of March 31, 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 7,309,420 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: 0001437749-21-008143 · 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: 25,259,977

Underlying: Class A or Class B Common Stock, par value $0.01 per share · 944,660 shares

Expires not disclosed

F1 · security: On March 31, 2021, Cantor Fitzgerald, L.P. ("CFLP") purchased from Newmark Holdings, L.P. ("Newmark Holdings") an aggregate of 1,008,713 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 0.9365 shares per Interest (subject to adjustment) as of March 31, 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 March 31, 2021, Cantor Fitzgerald, L.P. ("CFLP") purchased from Newmark Holdings, L.P. ("Newmark Holdings") an aggregate of 1,008,713 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 273,088 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 273,088 non-exchangeable founding partner units for an aggregate consideration of $1,105,598, and 735,625 Interests purchased from Newmark Holdings pursuant to Section 8.08 of the Newmark Holdings Agreement for an aggregate consideration of $2,918,919 as a result of the exchange of 735,625 non-exchangeable founding partner units.

F3 · price: Includes 273,088 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 273,088 non-exchangeable founding partner units for an aggregate consideration of $1,105,598, and 735,625 Interests purchased from Newmark Holdings pursuant to Section 8.08 of the Newmark Holdings Agreement for an aggregate consideration of $2,918,919 as a result of the exchange of 735,625 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 0.9365 shares per Interest (subject to adjustment) as of March 31, 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 0.9365 shares per Interest (subject to adjustment) as of March 31, 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 0.9365 shares per Interest (subject to adjustment) as of March 31, 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 7,309,420 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: 0001437749-21-006519 · rdgdoc.xml · derivative · entry 1

Gosin Barry M · CIK 0001388845 · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,149,633

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

Expires not disclosed

F1 · derivative.exercise_price: On March 16, 2021, the reporting person was granted 557,698 exchange rights with respect to 557,698 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 1,591,935 exchangeable Holdings Units held by the reporting person prior to such grant. The exchangeable Holdings Units held by the reporting person are exchangeable, at the option of the holder thereof, into shares of Class A common stock, par value $0.01 per share, of Newmark Group, Inc. ("Class A common stock") at the current exchange ratio of 0.9365 shares of Class A common stock per Holdings Unit (subject to adjustment).

F1 · price: On March 16, 2021, the reporting person was granted 557,698 exchange rights with respect to 557,698 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 1,591,935 exchangeable Holdings Units held by the reporting person prior to such grant. The exchangeable Holdings Units held by the reporting person are exchangeable, at the option of the holder thereof, into shares of Class A common stock, par value $0.01 per share, of Newmark Group, Inc. ("Class A common stock") at the current exchange ratio of 0.9365 shares of Class A common stock per Holdings Unit (subject to adjustment).

F1 · derivative.exercise_date: On March 16, 2021, the reporting person was granted 557,698 exchange rights with respect to 557,698 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 1,591,935 exchangeable Holdings Units held by the reporting person prior to such grant. The exchangeable Holdings Units held by the reporting person are exchangeable, at the option of the holder thereof, into shares of Class A common stock, par value $0.01 per share, of Newmark Group, Inc. ("Class A common stock") at the current exchange ratio of 0.9365 shares of Class A common stock per Holdings Unit (subject to adjustment).

F1 · derivative.expiration_date: On March 16, 2021, the reporting person was granted 557,698 exchange rights with respect to 557,698 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 1,591,935 exchangeable Holdings Units held by the reporting person prior to such grant. The exchangeable Holdings Units held by the reporting person are exchangeable, at the option of the holder thereof, into shares of Class A common stock, par value $0.01 per share, of Newmark Group, Inc. ("Class A common stock") at the current exchange ratio of 0.9365 shares of Class A common stock per Holdings Unit (subject to adjustment).

F1 · derivative.underlying_shares: On March 16, 2021, the reporting person was granted 557,698 exchange rights with respect to 557,698 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 1,591,935 exchangeable Holdings Units held by the reporting person prior to such grant. The exchangeable Holdings Units held by the reporting person are exchangeable, at the option of the holder thereof, into shares of Class A common stock, par value $0.01 per share, of Newmark Group, Inc. ("Class A common stock") at the current exchange ratio of 0.9365 shares of Class A common stock per Holdings Unit (subject to adjustment).

F1 · balance_after: On March 16, 2021, the reporting person was granted 557,698 exchange rights with respect to 557,698 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 1,591,935 exchangeable Holdings Units held by the reporting person prior to such grant. The exchangeable Holdings Units held by the reporting person are exchangeable, at the option of the holder thereof, into shares of Class A common stock, par value $0.01 per share, of Newmark Group, Inc. ("Class A common stock") at the current exchange ratio of 0.9365 shares of Class A common stock per Holdings Unit (subject to adjustment).

SEC source: 0001437749-21-006498 · rdgdoc.xml · derivative · entry 1

Rispoli Michael J. · CIK 0001446936 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 23,559

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

Expires not disclosed

F1 · derivative.exercise_price: On March 16, 2021, the reporting person was granted 6,042 exchange rights with respect to 6,042 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 17,517 exchangeable Holdings Units held by the reporting person prior to such grant. The exchangeable Holdings Units held by the reporting person are exchangeable, at the option of the holder thereof, into shares of Class A common stock, par value $0.01 per share, of Newmark Group, Inc. ("Class A common stock") at the current exchange ratio of 0.9365 shares of Class A common stock per Holdings Unit (subject to adjustment).

F1 · price: On March 16, 2021, the reporting person was granted 6,042 exchange rights with respect to 6,042 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 17,517 exchangeable Holdings Units held by the reporting person prior to such grant. The exchangeable Holdings Units held by the reporting person are exchangeable, at the option of the holder thereof, into shares of Class A common stock, par value $0.01 per share, of Newmark Group, Inc. ("Class A common stock") at the current exchange ratio of 0.9365 shares of Class A common stock per Holdings Unit (subject to adjustment).

F1 · derivative.exercise_date: On March 16, 2021, the reporting person was granted 6,042 exchange rights with respect to 6,042 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 17,517 exchangeable Holdings Units held by the reporting person prior to such grant. The exchangeable Holdings Units held by the reporting person are exchangeable, at the option of the holder thereof, into shares of Class A common stock, par value $0.01 per share, of Newmark Group, Inc. ("Class A common stock") at the current exchange ratio of 0.9365 shares of Class A common stock per Holdings Unit (subject to adjustment).

F1 · derivative.expiration_date: On March 16, 2021, the reporting person was granted 6,042 exchange rights with respect to 6,042 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 17,517 exchangeable Holdings Units held by the reporting person prior to such grant. The exchangeable Holdings Units held by the reporting person are exchangeable, at the option of the holder thereof, into shares of Class A common stock, par value $0.01 per share, of Newmark Group, Inc. ("Class A common stock") at the current exchange ratio of 0.9365 shares of Class A common stock per Holdings Unit (subject to adjustment).

F1 · derivative.underlying_shares: On March 16, 2021, the reporting person was granted 6,042 exchange rights with respect to 6,042 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 17,517 exchangeable Holdings Units held by the reporting person prior to such grant. The exchangeable Holdings Units held by the reporting person are exchangeable, at the option of the holder thereof, into shares of Class A common stock, par value $0.01 per share, of Newmark Group, Inc. ("Class A common stock") at the current exchange ratio of 0.9365 shares of Class A common stock per Holdings Unit (subject to adjustment).

F1 · balance_after: On March 16, 2021, the reporting person was granted 6,042 exchange rights with respect to 6,042 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 17,517 exchangeable Holdings Units held by the reporting person prior to such grant. The exchangeable Holdings Units held by the reporting person are exchangeable, at the option of the holder thereof, into shares of Class A common stock, par value $0.01 per share, of Newmark Group, Inc. ("Class A common stock") at the current exchange ratio of 0.9365 shares of Class A common stock per Holdings Unit (subject to adjustment).

SEC source: 0001437749-21-010209 · 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: 0

F2 · shares: On March 16, 2021, the reporting person sold these shares of Class A Common Stock to the Company in an exempt transaction pursuant to Rule 16b-3. The sale price per share was the closing price of the Class A Common Stock on March 16, 2021. The transaction was approved by the Compensation Committee.

SEC source: 0001437749-21-010209 · 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: 28,962

F1 · shares: On March 16, 2021, Newmark Group, Inc. (the "Company") granted to the reporting person 28,962 shares of its Class A Common Stock, par value $0.01 per share (the "Class A Common Stock"), following the redemption of an aggregate of 30,926 non-exchangeable limited partnership interests of Newmark Holdings, L.P. ("Newmark Holdings") 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").

F1 · price: On March 16, 2021, Newmark Group, Inc. (the "Company") granted to the reporting person 28,962 shares of its Class A Common Stock, par value $0.01 per share (the "Class A Common Stock"), following the redemption of an aggregate of 30,926 non-exchangeable limited partnership interests of Newmark Holdings, L.P. ("Newmark Holdings") 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: 0001437749-21-005187 · rdgdoc.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Indirect · By reporting person's spouse

Disclosed balance after: 0

SEC source: 0001437749-20-020115 · rdgdoc.xml · nonDerivative · entry 1

Bauer Virginia S · CIK 0001745441 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 36,773

F1 · shares: The 12,049 shares of Class A Common Stock, par value $0.01 per share (the "Class A Common Stock") are represented by 12,049 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 12,049 RSUs, 6,025 RSUs will vest on September 22, 2021 and 6,024 RSUs 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.

F2 · balance_after: Includes 5,291 RSUs granted on September 24, 2019, 2,646 RSUs of which will vest on September 24, 2020 and 2,645 RSUs will vest on September 24, 2021 and 2,256 RSUs granted on September 25, 2018 all of which will vest on September 25, 2020, provided that the reporting person continues to serve as a member of the Board of Directors on such dates.

SEC source: 0001437749-20-020119 · rdgdoc.xml · nonDerivative · entry 1

McIntyre Kenneth A Jr · CIK 0001607290 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 17,514

F1 · shares: The 12,049 shares of Class A Common Stock, par value $0.01 per share (the "Class A Common Stock") are represented by 12,049 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 12,049 RSUs, 6,025 RSUs will vest on September 22, 2021 and 6,024 RSUs 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.

F2 · balance_after: Includes 5,465 RSUs granted on January 2, 2020, 2,733 RSUs will vest on January 2, 2021 and 2,732 RSUs will vest on January 2, 2022, provided that the reporting person continues to serve as a member of the Board of Directors on such dates.

SEC source: 0001437749-20-020118 · rdgdoc.xml · nonDerivative · entry 1

Snow Michael · CIK 0001635637 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 26,853

F1 · shares: The 12,049 shares of Class A Common Stock, par value $0.01 per share (the "Class A Common Stock") are represented by 12,049 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 12,049 RSUs, 6,025 RSUs will vest on September 22, 2021 and 6,024 RSUs 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.

F2 · balance_after: Includes 5,291 RSUs granted on September 24, 2019, 2,646 RSUs of which will vest on September 24, 2020 and 2,645 RSUs will vest on September 24, 2021 and 2,256 RSUs granted on September 25, 2018 all of which will vest on September 25, 2020, provided that the reporting person continues to serve as a member of the Board of Directors on such dates.

SEC source: 0001437749-20-020114 · rdgdoc.xml · nonDerivative · entry 1

Cervinka Peter F · CIK 0001745442 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 26,773

F1 · shares: The 12,049 shares of Class A Common Stock, par value $0.01 per share (the "Class A Common Stock") are represented by 12,049 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 12,049 RSUs, 6,025 RSUs will vest on September 22, 2021 and 6,024 RSUs 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.

F2 · balance_after: Includes 5,291 RSUs granted on September 24, 2019, 2,646 RSUs of which will vest on September 24, 2020 and 2,645 RSUs will vest on September 24, 2021 and 2,256 RSUs granted on September 25, 2018 all of which will vest on September 25, 2020, provided that the reporting person continues to serve as a member of the Board of Directors on such dates.

SEC source: 0001437749-20-000154 · rdgdoc.xml · nonDerivative · entry 1

McIntyre Kenneth A Jr · CIK 0001607290 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,465

F1 · shares: The 5,465 shares of Class A common stock, par value $0.01 per share (the "Class A common stock") are represented by 5,465 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 5,465 RSUs, 2,733 RSUs will vest on January 2, 2021 and 2,732 RSUs will vest on January 2, 2022, provided that the reporting person continues to serve as a member of the Board of Directors on such dates.

SEC source: 0001437749-19-024742 · rdgdoc.xml · derivative · entry 6

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Class A common stock, par value $0.01 per share · 3,940 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 December 19, 2019, the reporting person exchanged 4,222 exchangeable limited partnership units of Newmark Holdings, L.P. (the "Holdings Units") into 3,940 shares of Newmark Group, Inc. (the "Company") Class A common stock, par value $0.01 per share (the "Class A Common Stock"), at the current exchange ratio of 0.9332 shares of Class A Common Stock per Holdings Unit. 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 December 19, 2019, the reporting person exchanged 4,222 exchangeable limited partnership units of Newmark Holdings, L.P. (the "Holdings Units") into 3,940 shares of Newmark Group, Inc. (the "Company") Class A common stock, par value $0.01 per share (the "Class A Common Stock"), at the current exchange ratio of 0.9332 shares of Class A Common Stock per Holdings Unit. 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 December 19, 2019, the reporting person exchanged 4,222 exchangeable limited partnership units of Newmark Holdings, L.P. (the "Holdings Units") into 3,940 shares of Newmark Group, Inc. (the "Company") Class A common stock, par value $0.01 per share (the "Class A Common Stock"), at the current exchange ratio of 0.9332 shares of Class A Common Stock per Holdings Unit. 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 December 19, 2019, the reporting person exchanged 4,222 exchangeable limited partnership units of Newmark Holdings, L.P. (the "Holdings Units") into 3,940 shares of Newmark Group, Inc. (the "Company") Class A common stock, par value $0.01 per share (the "Class A Common Stock"), at the current exchange ratio of 0.9332 shares of Class A Common Stock per Holdings Unit. 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 December 19, 2019, the reporting person exchanged 4,222 exchangeable limited partnership units of Newmark Holdings, L.P. (the "Holdings Units") into 3,940 shares of Newmark Group, Inc. (the "Company") Class A common stock, par value $0.01 per share (the "Class A Common Stock"), at the current exchange ratio of 0.9332 shares of Class A Common Stock per Holdings Unit. 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 December 19, 2019, the reporting person exchanged 4,222 exchangeable limited partnership units of Newmark Holdings, L.P. (the "Holdings Units") into 3,940 shares of Newmark Group, Inc. (the "Company") Class A common stock, par value $0.01 per share (the "Class A Common Stock"), at the current exchange ratio of 0.9332 shares of Class A Common Stock per Holdings Unit. 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 December 19, 2019, the reporting person exchanged 4,222 exchangeable limited partnership units of Newmark Holdings, L.P. (the "Holdings Units") into 3,940 shares of Newmark Group, Inc. (the "Company") Class A common stock, par value $0.01 per share (the "Class A Common Stock"), at the current exchange ratio of 0.9332 shares of Class A Common Stock per Holdings Unit. 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 December 19, 2019, the reporting person exchanged 4,222 exchangeable limited partnership units of Newmark Holdings, L.P. (the "Holdings Units") into 3,940 shares of Newmark Group, Inc. (the "Company") Class A common stock, par value $0.01 per share (the "Class A Common Stock"), at the current exchange ratio of 0.9332 shares of Class A Common Stock per Holdings Unit. 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 December 19, 2019, the reporting person exchanged 4,222 exchangeable limited partnership units of Newmark Holdings, L.P. (the "Holdings Units") into 3,940 shares of Newmark Group, Inc. (the "Company") Class A common stock, par value $0.01 per share (the "Class A Common Stock"), at the current exchange ratio of 0.9332 shares of Class A Common Stock per Holdings Unit. 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: 0001437749-19-024742 · 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: 0

F2 · shares: These shares of the Class A Common Stock were sold by the reporting person to the Company in a transaction exempt pursuant to Rule 16b-3 under the Securities Exchange Act of 1934, as amended. The sale price per share was the closing price of the Class A Common Stock on December 19, 2019. The transaction was approved by the Audit Committee of the Board of Directors of the Company.

SEC source: 0001437749-19-024742 · 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: 3,940

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 December 19, 2019, the reporting person exchanged 4,222 exchangeable limited partnership units of Newmark Holdings, L.P. (the "Holdings Units") into 3,940 shares of Newmark Group, Inc. (the "Company") Class A common stock, par value $0.01 per share (the "Class A Common Stock"), at the current exchange ratio of 0.9332 shares of Class A Common Stock per Holdings Unit. 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 December 19, 2019, the reporting person exchanged 4,222 exchangeable limited partnership units of Newmark Holdings, L.P. (the "Holdings Units") into 3,940 shares of Newmark Group, Inc. (the "Company") Class A common stock, par value $0.01 per share (the "Class A Common Stock"), at the current exchange ratio of 0.9332 shares of Class A Common Stock per Holdings Unit. 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 December 19, 2019, the reporting person exchanged 4,222 exchangeable limited partnership units of Newmark Holdings, L.P. (the "Holdings Units") into 3,940 shares of Newmark Group, Inc. (the "Company") Class A common stock, par value $0.01 per share (the "Class A Common Stock"), at the current exchange ratio of 0.9332 shares of Class A Common Stock per Holdings Unit. 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: 0001437749-19-021296 · 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: 0

F1 · shares: These shares of Newmark Group, Inc. (the "Company") Class A Common Stock, par value $0.01 per share ("Class A Common Stock"), were sold by the reporting person to the Company in an exempt transaction pursuant to Rule 16b-3 under the Securities Exchange Act of 1934, as amended. The sale price per share for the stock buyback was the closing price of the Class A Common Stock on October 30, 2019. The transaction was approved by the Audit Committee of the Board of Directors of the Company.

SEC source: 0001437749-19-019045 · rdgdoc.xml · nonDerivative · entry 1

Snow Michael · CIK 0001635637 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,804

F1 · shares: The 5,291 shares of Class A Common Stock, par value $0.01 per share (the "Class A Common Stock"), are represented by 5,291 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 5,291 RSUs, 2,646 RSUs will vest on September 24, 2020 and 2,645 RSUs will vest on September 24, 2021, provided that the reporting person continues to serve as a member of the Board of Directors on such dates.

F2 · balance_after: Includes 4,513 RSUs granted on September 25, 2018, 2,257 RSUs of which will vest on September 25, 2019 and 2,256 RSUs will vest on September 25, 2020 and 2,500 RSUs granted on December 19, 2017 all of which will vest on December 19, 2019, provided that the reporting person continues to serve as a member of the Board of Directors on such dates.

SEC source: 0001437749-19-019047 · rdgdoc.xml · nonDerivative · entry 1

Bauer Virginia S · CIK 0001745441 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 24,724

F1 · shares: The 5,291 shares of Class A Common Stock, par value $0.01 per share (the "Class A Common Stock") are represented by 5,291 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 5,291 RSUs, 2,646 RSUs will vest on September 24, 2020 and 2,645 RSUs will vest on September 24, 2021, provided that the reporting person continues to serve as a member of the Board of Directors on such dates.

F2 · balance_after: Includes 4,513 RSUs granted on September 25, 2018, 2,257 RSUs of which will vest on September 25, 2019 and 2,256 RSUs will vest on September 25, 2020 and 2,460 RSUs granted on June 29, 2018 all of which will vest on June 29, 2020, provided that the reporting person continues to serve as a member of the Board of Directors on such dates.

SEC source: 0001437749-19-019049 · rdgdoc.xml · nonDerivative · entry 1

Cervinka Peter F · CIK 0001745442 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,724

F1 · shares: The 5,291 shares of Class A Common Stock, par value $0.01 per share (the "Class A Common Stock") are represented by 5,291 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 5,291 RSUs, 2,646 RSUs will vest on September 24, 2020 and 2,645 RSUs will vest on September 24, 2021, provided that the reporting person continues to serve as a member of the Board of Directors on such dates.

F2 · balance_after: Includes 4,513 RSUs granted on September 25, 2018, 2,257 RSUs of which will vest on September 25, 2019 and 2,256 RSUs will vest on September 25, 2020 and 2,460 RSUs granted on June 29, 2018 all of which will vest on June 29, 2020, provided that the reporting person continues to serve as a member of the Board of Directors on such dates.

SEC source: 0001437749-19-010303 · rdgdoc.xml · nonDerivative · entry 1

Gosin Barry M · CIK 0001388845 · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,771,662

F1 · price: This transaction was executed in multiple trades at prices ranging from $7.95 to $8.00. 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).

SEC source: 0001437749-19-009862 · rdgdoc.xml · nonDerivative · entry 3

Gosin Barry M · CIK 0001388845 · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,770,462

F3 · price: This transaction was executed in multiple trades at prices ranging from $7.72 to $8.00. 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 (3).

SEC source: 0001437749-19-009862 · rdgdoc.xml · nonDerivative · entry 2

Gosin Barry M · CIK 0001388845 · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,699,776

F2 · price: This transaction was executed in multiple trades at prices ranging from $7.39 to $7.75. 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).

SEC source: 0001437749-19-009862 · rdgdoc.xml · nonDerivative · entry 1

Gosin Barry M · CIK 0001388845 · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,405,603

F1 · price: This transaction was executed in multiple trades at prices ranging from $7.31 to $7.78. 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).

SEC source: 0001437749-19-003950 · 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: 55,193

F1 · shares: On February 28, 2019, Newmark Group, Inc. (the "Company") granted to the reporting person 42,864 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 50,000 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 February 28, 2019, Newmark Group, Inc. (the "Company") granted to the reporting person 42,864 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 50,000 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: 0001437749-18-021944 · rdgdoc.xml · nonDerivative · entry 1

Gosin Barry M · CIK 0001388845 · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,209,378

F1 · price: This transaction was executed in multiple trades at prices ranging from $9.23 to $9.25. 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 sold at each separate price within the range set forth in this footnote (1).

SEC source: 0001437749-18-021916 · rdgdoc.xml · nonDerivative · entry 1

Gosin Barry M · CIK 0001388845 · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,106,582

F1 · price: This transaction was executed in multiple trades at prices ranging from $9.17 to $9.25. 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 sold at each separate price within the range set forth in this footnote (1).

SEC source: 0001437749-18-021855 · rdgdoc.xml · nonDerivative · entry 1

Gosin Barry M · CIK 0001388845 · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,522,015

F1 · price: This transaction was executed in multiple trades at prices ranging from $8.58 to $8.60. 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 sold at each separate price within the range set forth in this footnote (1).

SEC source: 0001437749-18-021790 · rdgdoc.xml · nonDerivative · entry 1

Bauer Virginia S · CIK 0001745441 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 19,433

F1 · balance_after: Includes 9,433 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, par value $0.01 per share. Of the 9,433 RSUs, 2,460 RSUs will vest on June 29, 2019, 2,257 RSUs will vest on September 25, 2019, 2,460 RSUs will vest on June 29, 2020 and 2,256 RSUs will vest on September 25, 2020, provided that the reporting person continues to serve as a member of the Board of Directors on such dates.

SEC source: 0000899243-18-029725 · doc4.xml · derivative · entry 8

BGC Partners, Inc. · CIK 0001094831 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

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

Expires not disclosed

F7 · derivative.exercise_price: On November 30, 2018, BGC will cause its subsidiary, BGC Holdings, L.P. ("BGCH"), to distribute all of the 1,458,931 exchangeable Holdings Units held by BGCH to its partners of record as of November 23, 2018 on a pro rata basis. Of those 1,458,931 exchangeable Holdings Units, 449,917 Holdings Units are exchangeable into shares of Class A common stock or Class B common stock of Newmark, and 1,009,014 Holdings Units are exchangeable into shares of Class A common stock, at the election of the partner receiving such Holdings Units, at the current exchange ratio of 0.9793 (subject to adjustment).

F7 · kind: On November 30, 2018, BGC will cause its subsidiary, BGC Holdings, L.P. ("BGCH"), to distribute all of the 1,458,931 exchangeable Holdings Units held by BGCH to its partners of record as of November 23, 2018 on a pro rata basis. Of those 1,458,931 exchangeable Holdings Units, 449,917 Holdings Units are exchangeable into shares of Class A common stock or Class B common stock of Newmark, and 1,009,014 Holdings Units are exchangeable into shares of Class A common stock, at the election of the partner receiving such Holdings Units, at the current exchange ratio of 0.9793 (subject to adjustment).

F7 · price: On November 30, 2018, BGC will cause its subsidiary, BGC Holdings, L.P. ("BGCH"), to distribute all of the 1,458,931 exchangeable Holdings Units held by BGCH to its partners of record as of November 23, 2018 on a pro rata basis. Of those 1,458,931 exchangeable Holdings Units, 449,917 Holdings Units are exchangeable into shares of Class A common stock or Class B common stock of Newmark, and 1,009,014 Holdings Units are exchangeable into shares of Class A common stock, at the election of the partner receiving such Holdings Units, at the current exchange ratio of 0.9793 (subject to adjustment).

F7 · derivative.exercise_date: On November 30, 2018, BGC will cause its subsidiary, BGC Holdings, L.P. ("BGCH"), to distribute all of the 1,458,931 exchangeable Holdings Units held by BGCH to its partners of record as of November 23, 2018 on a pro rata basis. Of those 1,458,931 exchangeable Holdings Units, 449,917 Holdings Units are exchangeable into shares of Class A common stock or Class B common stock of Newmark, and 1,009,014 Holdings Units are exchangeable into shares of Class A common stock, at the election of the partner receiving such Holdings Units, at the current exchange ratio of 0.9793 (subject to adjustment).

F7 · derivative.expiration_date: On November 30, 2018, BGC will cause its subsidiary, BGC Holdings, L.P. ("BGCH"), to distribute all of the 1,458,931 exchangeable Holdings Units held by BGCH to its partners of record as of November 23, 2018 on a pro rata basis. Of those 1,458,931 exchangeable Holdings Units, 449,917 Holdings Units are exchangeable into shares of Class A common stock or Class B common stock of Newmark, and 1,009,014 Holdings Units are exchangeable into shares of Class A common stock, at the election of the partner receiving such Holdings Units, at the current exchange ratio of 0.9793 (subject to adjustment).

F7 · derivative.underlying_shares: On November 30, 2018, BGC will cause its subsidiary, BGC Holdings, L.P. ("BGCH"), to distribute all of the 1,458,931 exchangeable Holdings Units held by BGCH to its partners of record as of November 23, 2018 on a pro rata basis. Of those 1,458,931 exchangeable Holdings Units, 449,917 Holdings Units are exchangeable into shares of Class A common stock or Class B common stock of Newmark, and 1,009,014 Holdings Units are exchangeable into shares of Class A common stock, at the election of the partner receiving such Holdings Units, at the current exchange ratio of 0.9793 (subject to adjustment).

SEC source: 0000899243-18-029725 · doc4.xml · derivative · entry 7

BGC Partners, Inc. · CIK 0001094831 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,458,931

Underlying: Class A or Class B 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.

F6 · derivative.exercise_price: The Holdings Units were exchangeable, at the option of the holder thereof, into shares of Class A common stock or Class B common stock of Newmark, at the then-current exchange ratio of 0.9793 shares of Class A common stock or Class B common stock per Holdings Unit.

F3 · kind: Pursuant to the Holdings LPA, BGC exchanged 5,560,592 exchangeable Holdings Units for 5,445,488 shares of Class B common stock, par value $0.01 per share ("Class B common stock"), of Newmark at the then-current exchange ratio of shares of Class B common stock per Holdings Unit, in a transaction exempt pursuant to Rules 16b-3 and 16b-6(b) under the Exchange Act. Shares of Class B common stock are convertible at any time on a one-for-one basis into shares of Class A common stock.

F3 · shares: Pursuant to the Holdings LPA, BGC exchanged 5,560,592 exchangeable Holdings Units for 5,445,488 shares of Class B common stock, par value $0.01 per share ("Class B common stock"), of Newmark at the then-current exchange ratio of shares of Class B common stock per Holdings Unit, in a transaction exempt pursuant to Rules 16b-3 and 16b-6(b) under the Exchange Act. Shares of Class B common stock are convertible at any time on a one-for-one basis into shares of Class A common stock.

F3 · price: Pursuant to the Holdings LPA, BGC exchanged 5,560,592 exchangeable Holdings Units for 5,445,488 shares of Class B common stock, par value $0.01 per share ("Class B common stock"), of Newmark at the then-current exchange ratio of shares of Class B common stock per Holdings Unit, in a transaction exempt pursuant to Rules 16b-3 and 16b-6(b) under the Exchange Act. Shares of Class B common stock are convertible at any time on a one-for-one basis into shares of Class A common stock.

F6 · derivative.exercise_date: The Holdings Units were exchangeable, at the option of the holder thereof, into shares of Class A common stock or Class B common stock of Newmark, at the then-current exchange ratio of 0.9793 shares of Class A common stock or Class B common stock per Holdings Unit.

F6 · derivative.expiration_date: The Holdings Units were exchangeable, at the option of the holder thereof, into shares of Class A common stock or Class B common stock of Newmark, at the then-current exchange ratio of 0.9793 shares of Class A common stock or Class B common stock per Holdings Unit.

F3 · derivative.underlying_shares: Pursuant to the Holdings LPA, BGC exchanged 5,560,592 exchangeable Holdings Units for 5,445,488 shares of Class B common stock, par value $0.01 per share ("Class B common stock"), of Newmark at the then-current exchange ratio of shares of Class B common stock per Holdings Unit, in a transaction exempt pursuant to Rules 16b-3 and 16b-6(b) under the Exchange Act. Shares of Class B common stock are convertible at any time on a one-for-one basis into shares of Class A common stock.

F6 · derivative.underlying_shares: The Holdings Units were exchangeable, at the option of the holder thereof, into shares of Class A common stock or Class B common stock of Newmark, at the then-current exchange ratio of 0.9793 shares of Class A common stock or Class B common stock per Holdings Unit.

SEC source: 0000899243-18-029725 · doc4.xml · derivative · entry 6

BGC Partners, Inc. · CIK 0001094831 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,019,523

Underlying: Class A or Class B 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.

F6 · derivative.exercise_price: The Holdings Units were exchangeable, at the option of the holder thereof, into shares of Class A common stock or Class B common stock of Newmark, at the then-current exchange ratio of 0.9793 shares of Class A common stock or Class B common stock per Holdings Unit.

F2 · kind: Pursuant to the Second Amended and Restated Agreement of Limited Partnership of Newmark Holdings, L.P. ("Newmark Holdings"), dated as of June 20, 2018 (the "Holdings LPA"), BGC exchanged 9,587,203 exchangeable units of Newmark Holdings ("Holdings Units") for 9,388,747 shares of Class A common stock of Newmark, at the then-current exchange ratio of shares of Class A common stock per Holdings Unit, in a transaction exempt pursuant to Rules 16b-3 and 16b-6(b) under the Exchange Act.

F2 · shares: Pursuant to the Second Amended and Restated Agreement of Limited Partnership of Newmark Holdings, L.P. ("Newmark Holdings"), dated as of June 20, 2018 (the "Holdings LPA"), BGC exchanged 9,587,203 exchangeable units of Newmark Holdings ("Holdings Units") for 9,388,747 shares of Class A common stock of Newmark, at the then-current exchange ratio of shares of Class A common stock per Holdings Unit, in a transaction exempt pursuant to Rules 16b-3 and 16b-6(b) under the Exchange Act.

F2 · price: Pursuant to the Second Amended and Restated Agreement of Limited Partnership of Newmark Holdings, L.P. ("Newmark Holdings"), dated as of June 20, 2018 (the "Holdings LPA"), BGC exchanged 9,587,203 exchangeable units of Newmark Holdings ("Holdings Units") for 9,388,747 shares of Class A common stock of Newmark, at the then-current exchange ratio of shares of Class A common stock per Holdings Unit, in a transaction exempt pursuant to Rules 16b-3 and 16b-6(b) under the Exchange Act.

F6 · derivative.exercise_date: The Holdings Units were exchangeable, at the option of the holder thereof, into shares of Class A common stock or Class B common stock of Newmark, at the then-current exchange ratio of 0.9793 shares of Class A common stock or Class B common stock per Holdings Unit.

F6 · derivative.expiration_date: The Holdings Units were exchangeable, at the option of the holder thereof, into shares of Class A common stock or Class B common stock of Newmark, at the then-current exchange ratio of 0.9793 shares of Class A common stock or Class B common stock per Holdings Unit.

F2 · derivative.underlying_shares: Pursuant to the Second Amended and Restated Agreement of Limited Partnership of Newmark Holdings, L.P. ("Newmark Holdings"), dated as of June 20, 2018 (the "Holdings LPA"), BGC exchanged 9,587,203 exchangeable units of Newmark Holdings ("Holdings Units") for 9,388,747 shares of Class A common stock of Newmark, at the then-current exchange ratio of shares of Class A common stock per Holdings Unit, in a transaction exempt pursuant to Rules 16b-3 and 16b-6(b) under the Exchange Act.

F6 · derivative.underlying_shares: The Holdings Units were exchangeable, at the option of the holder thereof, into shares of Class A common stock or Class B common stock of Newmark, at the then-current exchange ratio of 0.9793 shares of Class A common stock or Class B common stock per Holdings Unit.

SEC source: 0000899243-18-029725 · doc4.xml · nonDerivative · entry 5

BGC Partners, Inc. · CIK 0001094831 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

F5 · kind: On November 30, 2018, BGC will distribute all of the 21,285,537 shares of Class B common stock of Newmark held by it to the holders of record of its Class B common stock as of November 23, 2018 on a pro rata basis.

F5 · price: On November 30, 2018, BGC will distribute all of the 21,285,537 shares of Class B common stock of Newmark held by it to the holders of record of its Class B common stock as of November 23, 2018 on a pro rata basis.

SEC source: 0000899243-18-029725 · doc4.xml · nonDerivative · entry 4

BGC Partners, Inc. · CIK 0001094831 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

F4 · kind: On November 30, 2018, BGC will distribute all of the 131,886,408 shares of Class A common stock of Newmark held by it to the holders of record of its Class A common stock as of November 23, 2018 on a pro rata basis.

F4 · price: On November 30, 2018, BGC will distribute all of the 131,886,408 shares of Class A common stock of Newmark held by it to the holders of record of its Class A common stock as of November 23, 2018 on a pro rata basis.

SEC source: 0000899243-18-029725 · doc4.xml · nonDerivative · entry 3

BGC Partners, Inc. · CIK 0001094831 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 21,285,537

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.

F3 · price: Pursuant to the Holdings LPA, BGC exchanged 5,560,592 exchangeable Holdings Units for 5,445,488 shares of Class B common stock, par value $0.01 per share ("Class B common stock"), of Newmark at the then-current exchange ratio of shares of Class B common stock per Holdings Unit, in a transaction exempt pursuant to Rules 16b-3 and 16b-6(b) under the Exchange Act. Shares of Class B common stock are convertible at any time on a one-for-one basis into shares of Class A common stock.

F6 · price: The Holdings Units were exchangeable, at the option of the holder thereof, into shares of Class A common stock or Class B common stock of Newmark, at the then-current exchange ratio of 0.9793 shares of Class A common stock or Class B common stock per Holdings Unit.

SEC source: 0000899243-18-029725 · doc4.xml · nonDerivative · entry 2

BGC Partners, Inc. · CIK 0001094831 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 131,886,409

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.

F2 · price: Pursuant to the Second Amended and Restated Agreement of Limited Partnership of Newmark Holdings, L.P. ("Newmark Holdings"), dated as of June 20, 2018 (the "Holdings LPA"), BGC exchanged 9,587,203 exchangeable units of Newmark Holdings ("Holdings Units") for 9,388,747 shares of Class A common stock of Newmark, at the then-current exchange ratio of shares of Class A common stock per Holdings Unit, in a transaction exempt pursuant to Rules 16b-3 and 16b-6(b) under the Exchange Act.

F6 · price: The Holdings Units were exchangeable, at the option of the holder thereof, into shares of Class A common stock or Class B common stock of Newmark, at the then-current exchange ratio of 0.9793 shares of Class A common stock or Class B common stock per Holdings Unit.

SEC source: 0000899243-18-029725 · doc4.xml · nonDerivative · entry 1

BGC Partners, Inc. · CIK 0001094831 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 122,497,661

F1 · price: Pursuant to the Amended and Restated Separation and Distribution Agreement, dated as of November 23, 2018, by and among BGC Partners, Inc. ("BGC"), Newmark Group, Inc. ("Newmark") and the other parties thereto, and the Contribution and Issuance Agreement, by and between BGC and Newmark, dated November 23, 2018, BGC contributed 7,049,807 units of Newmark Partners, L.P. ("OpCo Units") in exchange for the issuance by Newmark of 6,903,875 shares of Class A common stock, par value $0.01 per share ("Class A common stock"), of Newmark at an exchange ratio of 0.9793 shares of Class A common stock per OpCo Unit, in a transaction exempt pursuant to Rule 16b-3 under the Securities Exchange Act of 1934, as amended (the "Exchange Act").

SEC source: 0000899243-18-029724 · doc4.xml · derivative · entry 7

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 1,458,931

Underlying: Class A or Class B 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.

F7 · derivative.exercise_price: The Holdings Units were exchangeable, at the option of the holder thereof, into shares of Class A common stock or Class B common stock of Newmark, at the then-current exchange ratio of 0.9793 shares of Class A common stock or Class B common stock per Holdings Unit.

F4 · kind: Pursuant to the Holdings LPA, BGC exchanged 5,560,592 exchangeable Holdings Units for 5,445,488 shares of Class B common stock, par value $0.01 per share ("Class B common stock"), of Newmark, at the then-current exchange ratio of shares of Class B common stock per Holdings Unit, in a transaction exempt pursuant to Rules 16b-3 and 16b-6(b) under the Exchange Act. Shares of Class B common stock are convertible at any time on a one-for-one basis into shares of Class A common stock.

F4 · price: Pursuant to the Holdings LPA, BGC exchanged 5,560,592 exchangeable Holdings Units for 5,445,488 shares of Class B common stock, par value $0.01 per share ("Class B common stock"), of Newmark, at the then-current exchange ratio of shares of Class B common stock per Holdings Unit, in a transaction exempt pursuant to Rules 16b-3 and 16b-6(b) under the Exchange Act. Shares of Class B common stock are convertible at any time on a one-for-one basis into shares of Class A common stock.

F7 · derivative.exercise_date: The Holdings Units were exchangeable, at the option of the holder thereof, into shares of Class A common stock or Class B common stock of Newmark, at the then-current exchange ratio of 0.9793 shares of Class A common stock or Class B common stock per Holdings Unit.

F7 · derivative.expiration_date: The Holdings Units were exchangeable, at the option of the holder thereof, into shares of Class A common stock or Class B common stock of Newmark, at the then-current exchange ratio of 0.9793 shares of Class A common stock or Class B common stock per Holdings Unit.

F4 · derivative.underlying_shares: Pursuant to the Holdings LPA, BGC exchanged 5,560,592 exchangeable Holdings Units for 5,445,488 shares of Class B common stock, par value $0.01 per share ("Class B common stock"), of Newmark, at the then-current exchange ratio of shares of Class B common stock per Holdings Unit, in a transaction exempt pursuant to Rules 16b-3 and 16b-6(b) under the Exchange Act. Shares of Class B common stock are convertible at any time on a one-for-one basis into shares of Class A common stock.

F7 · derivative.underlying_shares: The Holdings Units were exchangeable, at the option of the holder thereof, into shares of Class A common stock or Class B common stock of Newmark, at the then-current exchange ratio of 0.9793 shares of Class A common stock or Class B common stock per Holdings Unit.

F1 · balance_after: Pursuant to the Amended and Restated Separation and Distribution Agreement, dated as of November 23, 2018, by and among BGC Partners, Inc. ("BGC"), Newmark Group, Inc. ("Newmark") and the other parties thereto, and the Contribution and Issuance Agreement, by and between BGC and Newmark, dated November 23, 2018, BGC contributed 7,049,807 units of Newmark Partners, L.P. ("OpCo Units") in exchange for the issuance by Newmark of 6,903,875 shares of Class A common stock, par value $0.01 per share ("Class A common stock"), of Newmark at an exchange ratio of 0.9793 shares of Class A common stock per OpCo Unit, in a transaction exempt pursuant to Rule 16b-3 under the Securities Exchange Act of 1934, as amended (the "Exchange Act").

F2 · ownership.nature: A majority of the voting power of BGC is held by Cantor Fitzgerald, L.P. ("CFLP") and its affiliates. CFLP 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 CFLP 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: 0000899243-18-029724 · doc4.xml · derivative · entry 6

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 7,019,523

Underlying: Class A or Class B 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.

F7 · derivative.exercise_price: The Holdings Units were exchangeable, at the option of the holder thereof, into shares of Class A common stock or Class B common stock of Newmark, at the then-current exchange ratio of 0.9793 shares of Class A common stock or Class B common stock per Holdings Unit.

F3 · kind: Pursuant to the Second Amended and Restated Agreement of Limited Partnership of Newmark Holdings, L.P. ("Newmark Holdings"), dated as of June 20, 2018 (the "Holdings LPA"), BGC exchanged 9,587,203 exchangeable units of Newmark Holdings ("Holdings Units") for 9,388,748 shares of Class A common stock of Newmark, at the then-current exchange ratio of shares of Class A common stock per Holdings Unit, in a transaction exempt pursuant to Rules 16b-3 and 16b-6(b) under the Exchange Act.

F3 · price: Pursuant to the Second Amended and Restated Agreement of Limited Partnership of Newmark Holdings, L.P. ("Newmark Holdings"), dated as of June 20, 2018 (the "Holdings LPA"), BGC exchanged 9,587,203 exchangeable units of Newmark Holdings ("Holdings Units") for 9,388,748 shares of Class A common stock of Newmark, at the then-current exchange ratio of shares of Class A common stock per Holdings Unit, in a transaction exempt pursuant to Rules 16b-3 and 16b-6(b) under the Exchange Act.

F7 · derivative.exercise_date: The Holdings Units were exchangeable, at the option of the holder thereof, into shares of Class A common stock or Class B common stock of Newmark, at the then-current exchange ratio of 0.9793 shares of Class A common stock or Class B common stock per Holdings Unit.

F7 · derivative.expiration_date: The Holdings Units were exchangeable, at the option of the holder thereof, into shares of Class A common stock or Class B common stock of Newmark, at the then-current exchange ratio of 0.9793 shares of Class A common stock or Class B common stock per Holdings Unit.

F3 · derivative.underlying_shares: Pursuant to the Second Amended and Restated Agreement of Limited Partnership of Newmark Holdings, L.P. ("Newmark Holdings"), dated as of June 20, 2018 (the "Holdings LPA"), BGC exchanged 9,587,203 exchangeable units of Newmark Holdings ("Holdings Units") for 9,388,748 shares of Class A common stock of Newmark, at the then-current exchange ratio of shares of Class A common stock per Holdings Unit, in a transaction exempt pursuant to Rules 16b-3 and 16b-6(b) under the Exchange Act.

F7 · derivative.underlying_shares: The Holdings Units were exchangeable, at the option of the holder thereof, into shares of Class A common stock or Class B common stock of Newmark, at the then-current exchange ratio of 0.9793 shares of Class A common stock or Class B common stock per Holdings Unit.

F3 · balance_after: Pursuant to the Second Amended and Restated Agreement of Limited Partnership of Newmark Holdings, L.P. ("Newmark Holdings"), dated as of June 20, 2018 (the "Holdings LPA"), BGC exchanged 9,587,203 exchangeable units of Newmark Holdings ("Holdings Units") for 9,388,748 shares of Class A common stock of Newmark, at the then-current exchange ratio of shares of Class A common stock per Holdings Unit, in a transaction exempt pursuant to Rules 16b-3 and 16b-6(b) under the Exchange Act.

F2 · ownership.nature: A majority of the voting power of BGC is held by Cantor Fitzgerald, L.P. ("CFLP") and its affiliates. CFLP 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 CFLP 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: 0000899243-18-029724 · doc4.xml · nonDerivative · entry 4

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 21,285,537

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.

F4 · price: Pursuant to the Holdings LPA, BGC exchanged 5,560,592 exchangeable Holdings Units for 5,445,488 shares of Class B common stock, par value $0.01 per share ("Class B common stock"), of Newmark, at the then-current exchange ratio of shares of Class B common stock per Holdings Unit, in a transaction exempt pursuant to Rules 16b-3 and 16b-6(b) under the Exchange Act. Shares of Class B common stock are convertible at any time on a one-for-one basis into shares of Class A common stock.

F7 · price: The Holdings Units were exchangeable, at the option of the holder thereof, into shares of Class A common stock or Class B common stock of Newmark, at the then-current exchange ratio of 0.9793 shares of Class A common stock or Class B common stock per Holdings Unit.

F2 · ownership.nature: A majority of the voting power of BGC is held by Cantor Fitzgerald, L.P. ("CFLP") and its affiliates. CFLP 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 CFLP 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: 0000899243-18-029724 · doc4.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 131,886,409

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.

F3 · price: Pursuant to the Second Amended and Restated Agreement of Limited Partnership of Newmark Holdings, L.P. ("Newmark Holdings"), dated as of June 20, 2018 (the "Holdings LPA"), BGC exchanged 9,587,203 exchangeable units of Newmark Holdings ("Holdings Units") for 9,388,748 shares of Class A common stock of Newmark, at the then-current exchange ratio of shares of Class A common stock per Holdings Unit, in a transaction exempt pursuant to Rules 16b-3 and 16b-6(b) under the Exchange Act.

F7 · price: The Holdings Units were exchangeable, at the option of the holder thereof, into shares of Class A common stock or Class B common stock of Newmark, at the then-current exchange ratio of 0.9793 shares of Class A common stock or Class B common stock per Holdings Unit.

F2 · ownership.nature: A majority of the voting power of BGC is held by Cantor Fitzgerald, L.P. ("CFLP") and its affiliates. CFLP 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 CFLP 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: 0000899243-18-029724 · doc4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 122,497,661

F1 · price: Pursuant to the Amended and Restated Separation and Distribution Agreement, dated as of November 23, 2018, by and among BGC Partners, Inc. ("BGC"), Newmark Group, Inc. ("Newmark") and the other parties thereto, and the Contribution and Issuance Agreement, by and between BGC and Newmark, dated November 23, 2018, BGC contributed 7,049,807 units of Newmark Partners, L.P. ("OpCo Units") in exchange for the issuance by Newmark of 6,903,875 shares of Class A common stock, par value $0.01 per share ("Class A common stock"), of Newmark at an exchange ratio of 0.9793 shares of Class A common stock per OpCo Unit, in a transaction exempt pursuant to Rule 16b-3 under the Securities Exchange Act of 1934, as amended (the "Exchange Act").

F2 · ownership.nature: A majority of the voting power of BGC is held by Cantor Fitzgerald, L.P. ("CFLP") and its affiliates. CFLP 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 CFLP 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: 0000899243-18-029723 · doc4.xml · derivative · entry 8

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 1,458,931

Underlying: Class A or Class B 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.

F7 · derivative.exercise_price: The Holdings Units were exchangeable, at the option of the holder thereof, into shares of Class A common stock or Class B common stock of Newmark, at the then-current exchange ratio of 0.9793 shares of Class A common stock or Class B common stock per Holdings Unit.

F4 · kind: Pursuant to the Holdings LPA, BGC exchanged 5,560,592 exchangeable Holdings Units for 5,445,488 shares of Class B common stock, par value $0.01 per share ("Class B common stock"), of Newmark at the then-current exchange ratio of shares of Class B common stock per Holdings Unit, in a transaction exempt pursuant to Rules 16b-3 and 16b-6(b) under the Exchange Act. Shares of Class B common stock are convertible at any time on a one-for-one basis into shares of Class A common stock.

F4 · shares: Pursuant to the Holdings LPA, BGC exchanged 5,560,592 exchangeable Holdings Units for 5,445,488 shares of Class B common stock, par value $0.01 per share ("Class B common stock"), of Newmark at the then-current exchange ratio of shares of Class B common stock per Holdings Unit, in a transaction exempt pursuant to Rules 16b-3 and 16b-6(b) under the Exchange Act. Shares of Class B common stock are convertible at any time on a one-for-one basis into shares of Class A common stock.

F4 · price: Pursuant to the Holdings LPA, BGC exchanged 5,560,592 exchangeable Holdings Units for 5,445,488 shares of Class B common stock, par value $0.01 per share ("Class B common stock"), of Newmark at the then-current exchange ratio of shares of Class B common stock per Holdings Unit, in a transaction exempt pursuant to Rules 16b-3 and 16b-6(b) under the Exchange Act. Shares of Class B common stock are convertible at any time on a one-for-one basis into shares of Class A common stock.

F7 · derivative.exercise_date: The Holdings Units were exchangeable, at the option of the holder thereof, into shares of Class A common stock or Class B common stock of Newmark, at the then-current exchange ratio of 0.9793 shares of Class A common stock or Class B common stock per Holdings Unit.

F7 · derivative.expiration_date: The Holdings Units were exchangeable, at the option of the holder thereof, into shares of Class A common stock or Class B common stock of Newmark, at the then-current exchange ratio of 0.9793 shares of Class A common stock or Class B common stock per Holdings Unit.

F4 · derivative.underlying_shares: Pursuant to the Holdings LPA, BGC exchanged 5,560,592 exchangeable Holdings Units for 5,445,488 shares of Class B common stock, par value $0.01 per share ("Class B common stock"), of Newmark at the then-current exchange ratio of shares of Class B common stock per Holdings Unit, in a transaction exempt pursuant to Rules 16b-3 and 16b-6(b) under the Exchange Act. Shares of Class B common stock are convertible at any time on a one-for-one basis into shares of Class A common stock.

F7 · derivative.underlying_shares: The Holdings Units were exchangeable, at the option of the holder thereof, into shares of Class A common stock or Class B common stock of Newmark, at the then-current exchange ratio of 0.9793 shares of Class A common stock or Class B common stock per Holdings Unit.

F2 · ownership.nature: A majority of the voting power of BGC is held by Cantor Fitzgerald, L.P. ("CFLP") and its affiliates. Cantor Fitzgerald 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: 0000899243-18-029723 · doc4.xml · derivative · entry 7

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 7,019,523

Underlying: Class A or Class B 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.

F7 · derivative.exercise_price: The Holdings Units were exchangeable, at the option of the holder thereof, into shares of Class A common stock or Class B common stock of Newmark, at the then-current exchange ratio of 0.9793 shares of Class A common stock or Class B common stock per Holdings Unit.

F3 · kind: Pursuant to the Second Amended and Restated Agreement of Limited Partnership of Newmark Holdings, L.P. ("Newmark Holdings"), dated as of June 20, 2018 (the "Holdings LPA"), BGC exchanged 9,587,203 exchangeable units of Newmark Holdings ("Holdings Units") for 9,388,748 shares of Class A common stock of Newmark, at the then-current exchange ratio of shares of Class A common stock per Holdings Unit, in a transaction exempt pursuant to Rules 16b-3 and 16b-6(b) under the Exchange Act.

F3 · shares: Pursuant to the Second Amended and Restated Agreement of Limited Partnership of Newmark Holdings, L.P. ("Newmark Holdings"), dated as of June 20, 2018 (the "Holdings LPA"), BGC exchanged 9,587,203 exchangeable units of Newmark Holdings ("Holdings Units") for 9,388,748 shares of Class A common stock of Newmark, at the then-current exchange ratio of shares of Class A common stock per Holdings Unit, in a transaction exempt pursuant to Rules 16b-3 and 16b-6(b) under the Exchange Act.

F3 · price: Pursuant to the Second Amended and Restated Agreement of Limited Partnership of Newmark Holdings, L.P. ("Newmark Holdings"), dated as of June 20, 2018 (the "Holdings LPA"), BGC exchanged 9,587,203 exchangeable units of Newmark Holdings ("Holdings Units") for 9,388,748 shares of Class A common stock of Newmark, at the then-current exchange ratio of shares of Class A common stock per Holdings Unit, in a transaction exempt pursuant to Rules 16b-3 and 16b-6(b) under the Exchange Act.

F7 · derivative.exercise_date: The Holdings Units were exchangeable, at the option of the holder thereof, into shares of Class A common stock or Class B common stock of Newmark, at the then-current exchange ratio of 0.9793 shares of Class A common stock or Class B common stock per Holdings Unit.

F7 · derivative.expiration_date: The Holdings Units were exchangeable, at the option of the holder thereof, into shares of Class A common stock or Class B common stock of Newmark, at the then-current exchange ratio of 0.9793 shares of Class A common stock or Class B common stock per Holdings Unit.

F3 · derivative.underlying_shares: Pursuant to the Second Amended and Restated Agreement of Limited Partnership of Newmark Holdings, L.P. ("Newmark Holdings"), dated as of June 20, 2018 (the "Holdings LPA"), BGC exchanged 9,587,203 exchangeable units of Newmark Holdings ("Holdings Units") for 9,388,748 shares of Class A common stock of Newmark, at the then-current exchange ratio of shares of Class A common stock per Holdings Unit, in a transaction exempt pursuant to Rules 16b-3 and 16b-6(b) under the Exchange Act.

F7 · derivative.underlying_shares: The Holdings Units were exchangeable, at the option of the holder thereof, into shares of Class A common stock or Class B common stock of Newmark, at the then-current exchange ratio of 0.9793 shares of Class A common stock or Class B common stock per Holdings Unit.

F2 · ownership.nature: A majority of the voting power of BGC is held by Cantor Fitzgerald, L.P. ("CFLP") and its affiliates. Cantor Fitzgerald 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: 0000899243-18-029723 · doc4.xml · nonDerivative · entry 4

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 21,285,537

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.

F4 · price: Pursuant to the Holdings LPA, BGC exchanged 5,560,592 exchangeable Holdings Units for 5,445,488 shares of Class B common stock, par value $0.01 per share ("Class B common stock"), of Newmark at the then-current exchange ratio of shares of Class B common stock per Holdings Unit, in a transaction exempt pursuant to Rules 16b-3 and 16b-6(b) under the Exchange Act. Shares of Class B common stock are convertible at any time on a one-for-one basis into shares of Class A common stock.

F7 · price: The Holdings Units were exchangeable, at the option of the holder thereof, into shares of Class A common stock or Class B common stock of Newmark, at the then-current exchange ratio of 0.9793 shares of Class A common stock or Class B common stock per Holdings Unit.

F2 · ownership.nature: A majority of the voting power of BGC is held by Cantor Fitzgerald, L.P. ("CFLP") and its affiliates. Cantor Fitzgerald 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: 0000899243-18-029723 · doc4.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 131,886,409

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.

F3 · price: Pursuant to the Second Amended and Restated Agreement of Limited Partnership of Newmark Holdings, L.P. ("Newmark Holdings"), dated as of June 20, 2018 (the "Holdings LPA"), BGC exchanged 9,587,203 exchangeable units of Newmark Holdings ("Holdings Units") for 9,388,748 shares of Class A common stock of Newmark, at the then-current exchange ratio of shares of Class A common stock per Holdings Unit, in a transaction exempt pursuant to Rules 16b-3 and 16b-6(b) under the Exchange Act.

F7 · price: The Holdings Units were exchangeable, at the option of the holder thereof, into shares of Class A common stock or Class B common stock of Newmark, at the then-current exchange ratio of 0.9793 shares of Class A common stock or Class B common stock per Holdings Unit.

F2 · ownership.nature: A majority of the voting power of BGC is held by Cantor Fitzgerald, L.P. ("CFLP") and its affiliates. Cantor Fitzgerald 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: 0000899243-18-029723 · doc4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 122,497,661

F1 · price: Pursuant to the Amended and Restated Separation and Distribution Agreement, dated as of November 23, 2018, by and among BGC Partners, Inc. ("BGC"), Newmark Group, Inc. ("Newmark") and the other parties thereto, and the Contribution and Issuance Agreement, by and between BGC and Newmark, dated November 23, 2018, BGC contributed 7,049,807 units of Newmark Partners, L.P. ("OpCo Units") in exchange for the issuance by Newmark of 6,903,875 shares of Class A common stock, par value $0.01 per share ("Class A common stock"), of Newmark at an exchange ratio of 0.9793 shares of Class A common stock per OpCo Unit, in a transaction exempt pursuant to Rule 16b-3 under the Securities Exchange Act of 1934, as amended (the "Exchange Act").

F2 · ownership.nature: A majority of the voting power of BGC is held by Cantor Fitzgerald, L.P. ("CFLP") and its affiliates. Cantor Fitzgerald 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.