NMRK

SEC source: 0000899243-18-029727 · doc4.xml · derivative · entry 9

LUTNICK HOWARD W · CIK 0001250975 · Director · Chairman · 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.

F12 · 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.

F5 · 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.

F5 · 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.

F5 · 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.

F12 · 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.

F12 · 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.

F5 · 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.

F12 · 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 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, as well as the President and Chief Executive Officer of CFLP and the Chairman and Chief Executive Officer of BGC. KBCR Management Partners, LLC ("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 LLC ("LFA").

F3 · ownership.nature: (Continued from Footnote 2) The reporting person disclaims beneficial ownership of all shares held by BGC, CFLP, CFGM, KBCR and LFA in excess of his pecuniary interest, if any, and this report shall not be deemed an admission that he is the beneficial owner of, or has pecuniary interest in, any such excess shares for the purposes of Section 16 of the Exchange Act or for any other purpose.

SEC source: 0000899243-18-029727 · doc4.xml · derivative · entry 8

LUTNICK HOWARD W · CIK 0001250975 · Director · Chairman · 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.

F12 · 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 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.

F4 · 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.

F4 · 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.

F12 · 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.

F12 · 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 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.

F12 · 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 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, as well as the President and Chief Executive Officer of CFLP and the Chairman and Chief Executive Officer of BGC. KBCR Management Partners, LLC ("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 LLC ("LFA").

F3 · ownership.nature: (Continued from Footnote 2) The reporting person disclaims beneficial ownership of all shares held by BGC, CFLP, CFGM, KBCR and LFA in excess of his pecuniary interest, if any, and this report shall not be deemed an admission that he is the beneficial owner of, or has pecuniary interest in, any such excess shares for the purposes of Section 16 of the Exchange Act or for any other purpose.

SEC source: 0000899243-18-029727 · doc4.xml · nonDerivative · entry 5

LUTNICK HOWARD W · CIK 0001250975 · Director · Chairman · 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.

F5 · 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.

F12 · 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 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, as well as the President and Chief Executive Officer of CFLP and the Chairman and Chief Executive Officer of BGC. KBCR Management Partners, LLC ("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 LLC ("LFA").

F3 · ownership.nature: (Continued from Footnote 2) The reporting person disclaims beneficial ownership of all shares held by BGC, CFLP, CFGM, KBCR and LFA in excess of his pecuniary interest, if any, and this report shall not be deemed an admission that he is the beneficial owner of, or has pecuniary interest in, any such excess shares for the purposes of Section 16 of the Exchange Act or for any other purpose.

SEC source: 0000899243-18-029727 · doc4.xml · nonDerivative · entry 2

LUTNICK HOWARD W · CIK 0001250975 · Director · Chairman · 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.

F4 · 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.

F12 · 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 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, as well as the President and Chief Executive Officer of CFLP and the Chairman and Chief Executive Officer of BGC. KBCR Management Partners, LLC ("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 LLC ("LFA").

F3 · ownership.nature: (Continued from Footnote 2) The reporting person disclaims beneficial ownership of all shares held by BGC, CFLP, CFGM, KBCR and LFA in excess of his pecuniary interest, if any, and this report shall not be deemed an admission that he is the beneficial owner of, or has pecuniary interest in, any such excess shares for the purposes of Section 16 of the Exchange Act or for any other purpose.

SEC source: 0000899243-18-029727 · doc4.xml · nonDerivative · entry 1

LUTNICK HOWARD W · CIK 0001250975 · Director · Chairman · 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 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, as well as the President and Chief Executive Officer of CFLP and the Chairman and Chief Executive Officer of BGC. KBCR Management Partners, LLC ("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 LLC ("LFA").

F3 · ownership.nature: (Continued from Footnote 2) The reporting person disclaims beneficial ownership of all shares held by BGC, CFLP, CFGM, KBCR and LFA in excess of his pecuniary interest, if any, and this report shall not be deemed an admission that he is the beneficial owner of, or has pecuniary interest in, any such excess shares for the purposes of Section 16 of the Exchange Act or for any other purpose.

SEC source: 0001437749-18-017490 · rdgdoc.xml · nonDerivative · entry 1

Bauer Virginia S · CIK 0001745441 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,433

F1 · shares: The 4,513 shares of Class A Common Stock, par value $0.01 per share (the "Class A Common Stock") are represented by 4,513 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 4,513 RSUs, 2,257 RSUs will vest on September 25, 2019 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.

F2 · balance_after: Includes 4,920 RSUs granted on June 29, 2018, 2,460 RSUs of which will vest on June 29, 2019 and the remaining 2,460 RSUs 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: 0001437749-18-017533 · rdgdoc.xml · nonDerivative · entry 1

Cervinka Peter F · CIK 0001745442 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,433

F1 · shares: The 4,513 shares of Class A Common Stock, par value $0.01 per share (the "Class A Common Stock") are represented by 4,513 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 4,513 RSUs, 2,257 RSUs will vest on September 25, 2019 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.

F2 · balance_after: Also includes 4,920 RSUs granted on June 29, 2018, of which 2,460 RSUs will vest on June 29, 2019 and 2,460 RSUs 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: 0001437749-18-017532 · rdgdoc.xml · nonDerivative · entry 1

Snow Michael · CIK 0001635637 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,513

F1 · shares: The 4,513 shares of Class A Common Stock, par value $0.01 per share (the "Class A Common Stock"), are represented by 4,513 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 4,513 RSUs, 2,257 RSUs will vest on September 25, 2019 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.

F2 · balance_after: Also includes 5,000 RSUs granted on December 19, 2017, of which 2,500 RSUs will vest on December 19, 2018 and 2,500 RSUs 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: 0001437749-18-012928 · rdgdoc.xml · nonDerivative · entry 1

Bauer Virginia S · CIK 0001745441 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,920

F1 · shares: The 4,920 shares of Class A common stock, par value $0.01 per share (the "Class A common stock") are represented by 4,920 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 4,920 RSUs, 2,460 RSUs will vest on June 29, 2019 and 2,460 RSUs 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: 0001437749-18-012929 · rdgdoc.xml · nonDerivative · entry 1

Cervinka Peter F · CIK 0001745442 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,920

F1 · shares: The 4,920 shares of Class A common stock, par value $0.01 per share (the "Class A common stock") are represented by 4,920 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 4,920 RSUs, 2,460 RSUs will vest on June 29, 2019 and 2,460 RSUs 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: 0000899243-18-030243 · doc4.xml · derivative · entry 1

Gosin Barry M · CIK 0001388845 · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,531,062

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

Expires not disclosed

F1 · derivative.exercise_price: On April 2, 2018, the reporting person was granted 563,765 exchange rights with respect to 563,765 previously awarded units ("Holdings Units") of Newmark Holdings, L.P. that were previously non-exchangeable. The total number of exchangeable Holdings Units held by the reporting person also included 967,297 exchangeable Holdings Units held by the reporting person prior to such grant. The exchangeable Holdings Units held by the reporting person are exchangeable, at the option of the holder thereof, into shares of Class A common stock, par value $0.01 per share, of Newmark Group, Inc. ("Class A common stock") at the current exchange ratio of 0.9793 shares of Class A common stock per Holdings Unit (subject to adjustment).

F1 · price: On April 2, 2018, the reporting person was granted 563,765 exchange rights with respect to 563,765 previously awarded units ("Holdings Units") of Newmark Holdings, L.P. that were previously non-exchangeable. The total number of exchangeable Holdings Units held by the reporting person also included 967,297 exchangeable Holdings Units held by the reporting person prior to such grant. The exchangeable Holdings Units held by the reporting person are exchangeable, at the option of the holder thereof, into shares of Class A common stock, par value $0.01 per share, of Newmark Group, Inc. ("Class A common stock") at the current exchange ratio of 0.9793 shares of Class A common stock per Holdings Unit (subject to adjustment).

F1 · derivative.exercise_date: On April 2, 2018, the reporting person was granted 563,765 exchange rights with respect to 563,765 previously awarded units ("Holdings Units") of Newmark Holdings, L.P. that were previously non-exchangeable. The total number of exchangeable Holdings Units held by the reporting person also included 967,297 exchangeable Holdings Units held by the reporting person prior to such grant. The exchangeable Holdings Units held by the reporting person are exchangeable, at the option of the holder thereof, into shares of Class A common stock, par value $0.01 per share, of Newmark Group, Inc. ("Class A common stock") at the current exchange ratio of 0.9793 shares of Class A common stock per Holdings Unit (subject to adjustment).

F1 · derivative.expiration_date: On April 2, 2018, the reporting person was granted 563,765 exchange rights with respect to 563,765 previously awarded units ("Holdings Units") of Newmark Holdings, L.P. that were previously non-exchangeable. The total number of exchangeable Holdings Units held by the reporting person also included 967,297 exchangeable Holdings Units held by the reporting person prior to such grant. The exchangeable Holdings Units held by the reporting person are exchangeable, at the option of the holder thereof, into shares of Class A common stock, par value $0.01 per share, of Newmark Group, Inc. ("Class A common stock") at the current exchange ratio of 0.9793 shares of Class A common stock per Holdings Unit (subject to adjustment).

F1 · derivative.underlying_shares: On April 2, 2018, the reporting person was granted 563,765 exchange rights with respect to 563,765 previously awarded units ("Holdings Units") of Newmark Holdings, L.P. that were previously non-exchangeable. The total number of exchangeable Holdings Units held by the reporting person also included 967,297 exchangeable Holdings Units held by the reporting person prior to such grant. The exchangeable Holdings Units held by the reporting person are exchangeable, at the option of the holder thereof, into shares of Class A common stock, par value $0.01 per share, of Newmark Group, Inc. ("Class A common stock") at the current exchange ratio of 0.9793 shares of Class A common stock per Holdings Unit (subject to adjustment).

F1 · balance_after: On April 2, 2018, the reporting person was granted 563,765 exchange rights with respect to 563,765 previously awarded units ("Holdings Units") of Newmark Holdings, L.P. that were previously non-exchangeable. The total number of exchangeable Holdings Units held by the reporting person also included 967,297 exchangeable Holdings Units held by the reporting person prior to such grant. The exchangeable Holdings Units held by the reporting person are exchangeable, at the option of the holder thereof, into shares of Class A common stock, par value $0.01 per share, of Newmark Group, Inc. ("Class A common stock") at the current exchange ratio of 0.9793 shares of Class A common stock per Holdings Unit (subject to adjustment).

SEC source: 0000899243-18-030177 · doc4.xml · derivative · entry 1

Rispoli Michael J. · CIK 0001446936 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 17,081

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

Expires not disclosed

F1 · derivative.exercise_price: On April 2, 2018, the reporting person was granted 8,093 exchange rights with respect to 8,093 previously awarded units ("Holdings Units") of Newmark Holdings, L.P. that were previously non-exchangeable. The total number of exchangeable Holdings Units held by the reporting person also included 8,989 exchangeable Holdings Units held by the reporting person prior to such grant. The exchangeable Holdings Units held by the reporting person are exchangeable, at the option of the holder thereof, into shares of Class A common stock, par value $0.01 per share, of Newmark Group, Inc. ("Class A common stock") at the current exchange ratio of 0.9793 shares of Class A common stock per Holdings Unit (subject to adjustment).

F1 · price: On April 2, 2018, the reporting person was granted 8,093 exchange rights with respect to 8,093 previously awarded units ("Holdings Units") of Newmark Holdings, L.P. that were previously non-exchangeable. The total number of exchangeable Holdings Units held by the reporting person also included 8,989 exchangeable Holdings Units held by the reporting person prior to such grant. The exchangeable Holdings Units held by the reporting person are exchangeable, at the option of the holder thereof, into shares of Class A common stock, par value $0.01 per share, of Newmark Group, Inc. ("Class A common stock") at the current exchange ratio of 0.9793 shares of Class A common stock per Holdings Unit (subject to adjustment).

F1 · derivative.exercise_date: On April 2, 2018, the reporting person was granted 8,093 exchange rights with respect to 8,093 previously awarded units ("Holdings Units") of Newmark Holdings, L.P. that were previously non-exchangeable. The total number of exchangeable Holdings Units held by the reporting person also included 8,989 exchangeable Holdings Units held by the reporting person prior to such grant. The exchangeable Holdings Units held by the reporting person are exchangeable, at the option of the holder thereof, into shares of Class A common stock, par value $0.01 per share, of Newmark Group, Inc. ("Class A common stock") at the current exchange ratio of 0.9793 shares of Class A common stock per Holdings Unit (subject to adjustment).

F1 · derivative.expiration_date: On April 2, 2018, the reporting person was granted 8,093 exchange rights with respect to 8,093 previously awarded units ("Holdings Units") of Newmark Holdings, L.P. that were previously non-exchangeable. The total number of exchangeable Holdings Units held by the reporting person also included 8,989 exchangeable Holdings Units held by the reporting person prior to such grant. The exchangeable Holdings Units held by the reporting person are exchangeable, at the option of the holder thereof, into shares of Class A common stock, par value $0.01 per share, of Newmark Group, Inc. ("Class A common stock") at the current exchange ratio of 0.9793 shares of Class A common stock per Holdings Unit (subject to adjustment).

F1 · derivative.underlying_shares: On April 2, 2018, the reporting person was granted 8,093 exchange rights with respect to 8,093 previously awarded units ("Holdings Units") of Newmark Holdings, L.P. that were previously non-exchangeable. The total number of exchangeable Holdings Units held by the reporting person also included 8,989 exchangeable Holdings Units held by the reporting person prior to such grant. The exchangeable Holdings Units held by the reporting person are exchangeable, at the option of the holder thereof, into shares of Class A common stock, par value $0.01 per share, of Newmark Group, Inc. ("Class A common stock") at the current exchange ratio of 0.9793 shares of Class A common stock per Holdings Unit (subject to adjustment).

F1 · balance_after: On April 2, 2018, the reporting person was granted 8,093 exchange rights with respect to 8,093 previously awarded units ("Holdings Units") of Newmark Holdings, L.P. that were previously non-exchangeable. The total number of exchangeable Holdings Units held by the reporting person also included 8,989 exchangeable Holdings Units held by the reporting person prior to such grant. The exchangeable Holdings Units held by the reporting person are exchangeable, at the option of the holder thereof, into shares of Class A common stock, par value $0.01 per share, of Newmark Group, Inc. ("Class A common stock") at the current exchange ratio of 0.9793 shares of Class A common stock per Holdings Unit (subject to adjustment).

SEC source: 0001437749-18-004654 · rdgdoc.xml · nonDerivative · entry 1

Gosin Barry M · CIK 0001388845 · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 327,746

F1 · kind: On March 12, 2018, Newmark Group, Inc. (the "Company") issued to the reporting person 327,746 net shares of its Class A Common Stock, par value $0.01 per share (the "Class A Common Stock"), based on the price of $15.57 per share, which was the closing price of the Class A Common Stock on such date, following the redemption and cancellation of an aggregate of 642,261 non-exchangeable limited partnership units of Newmark Holdings, L.P. The transaction was approved by the Compensation Committee of the Board of Directors of the Company and is exempt pursuant to Rule 16b-3 under the Securities Exchange Act of 1934, as amended.

F1 · shares: On March 12, 2018, Newmark Group, Inc. (the "Company") issued to the reporting person 327,746 net shares of its Class A Common Stock, par value $0.01 per share (the "Class A Common Stock"), based on the price of $15.57 per share, which was the closing price of the Class A Common Stock on such date, following the redemption and cancellation of an aggregate of 642,261 non-exchangeable limited partnership units of Newmark Holdings, L.P. The transaction 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 March 12, 2018, Newmark Group, Inc. (the "Company") issued to the reporting person 327,746 net shares of its Class A Common Stock, par value $0.01 per share (the "Class A Common Stock"), based on the price of $15.57 per share, which was the closing price of the Class A Common Stock on such date, following the redemption and cancellation of an aggregate of 642,261 non-exchangeable limited partnership units of Newmark Holdings, L.P. The transaction was approved by the Compensation Committee of the Board of Directors of the Company and is exempt pursuant to Rule 16b-3 under the Securities Exchange Act of 1934, as amended.

F1 · balance_after: On March 12, 2018, Newmark Group, Inc. (the "Company") issued to the reporting person 327,746 net shares of its Class A Common Stock, par value $0.01 per share (the "Class A Common Stock"), based on the price of $15.57 per share, which was the closing price of the Class A Common Stock on such date, following the redemption and cancellation of an aggregate of 642,261 non-exchangeable limited partnership units of Newmark Holdings, L.P. The transaction 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: 0001437749-18-004245 · rdgdoc.xml · derivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,606,726

Underlying: Class A or Class B common stock, par value $0.01 per share · 16,606,726 shares

Expires not disclosed

F1 · security: 1. As previously disclosed, on March 6, 2018, BGC Partners, Inc. ("BGC"), including through its subsidiary, BGC Partners, L.P. ("BGC OpCo") entered into an agreement to purchase an aggregate of 16,606,726 newly issued exchangeable limited partnership units (the "Units") of Newmark Holdings, L.P. ("Newmark Holdings") for approximately $242.0 million (the "Investment"). In the Investment, BGC acquired 7,750,487 Units and BGC OpCo acquired 8,856,239 Units. The price per Unit was based on the $14.57 closing price of the Issuer's Class A common stock, par value $0.01 per share (the "Class A common stock"), on March 6, 2018, as reported on the NASDAQ Global Select Market. The closing occurred on March 7, 2018. The Units are exchangeable, at BGC's discretion, on a one-for-one basis, subject to adjustment, into either shares of Class A common stock or shares of the Issuer's Class B common stock, par value $0.01 per share (the "Class B common stock"). (Continued on footnote 2)

F2 · security: 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 · derivative.exercise_price: 1. As previously disclosed, on March 6, 2018, BGC Partners, Inc. ("BGC"), including through its subsidiary, BGC Partners, L.P. ("BGC OpCo") entered into an agreement to purchase an aggregate of 16,606,726 newly issued exchangeable limited partnership units (the "Units") of Newmark Holdings, L.P. ("Newmark Holdings") for approximately $242.0 million (the "Investment"). In the Investment, BGC acquired 7,750,487 Units and BGC OpCo acquired 8,856,239 Units. The price per Unit was based on the $14.57 closing price of the Issuer's Class A common stock, par value $0.01 per share (the "Class A common stock"), on March 6, 2018, as reported on the NASDAQ Global Select Market. The closing occurred on March 7, 2018. The Units are exchangeable, at BGC's discretion, on a one-for-one basis, subject to adjustment, into either shares of Class A common stock or shares of the Issuer's Class B common stock, par value $0.01 per share (the "Class B common stock"). (Continued on footnote 2)

F2 · derivative.exercise_price: 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: 1. As previously disclosed, on March 6, 2018, BGC Partners, Inc. ("BGC"), including through its subsidiary, BGC Partners, L.P. ("BGC OpCo") entered into an agreement to purchase an aggregate of 16,606,726 newly issued exchangeable limited partnership units (the "Units") of Newmark Holdings, L.P. ("Newmark Holdings") for approximately $242.0 million (the "Investment"). In the Investment, BGC acquired 7,750,487 Units and BGC OpCo acquired 8,856,239 Units. The price per Unit was based on the $14.57 closing price of the Issuer's Class A common stock, par value $0.01 per share (the "Class A common stock"), on March 6, 2018, as reported on the NASDAQ Global Select Market. The closing occurred on March 7, 2018. The Units are exchangeable, at BGC's discretion, on a one-for-one basis, subject to adjustment, into either shares of Class A common stock or shares of the Issuer's Class B common stock, par value $0.01 per share (the "Class B common stock"). (Continued on footnote 2)

F2 · kind: 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 · shares: 1. As previously disclosed, on March 6, 2018, BGC Partners, Inc. ("BGC"), including through its subsidiary, BGC Partners, L.P. ("BGC OpCo") entered into an agreement to purchase an aggregate of 16,606,726 newly issued exchangeable limited partnership units (the "Units") of Newmark Holdings, L.P. ("Newmark Holdings") for approximately $242.0 million (the "Investment"). In the Investment, BGC acquired 7,750,487 Units and BGC OpCo acquired 8,856,239 Units. The price per Unit was based on the $14.57 closing price of the Issuer's Class A common stock, par value $0.01 per share (the "Class A common stock"), on March 6, 2018, as reported on the NASDAQ Global Select Market. The closing occurred on March 7, 2018. The Units are exchangeable, at BGC's discretion, on a one-for-one basis, subject to adjustment, into either shares of Class A common stock or shares of the Issuer's Class B common stock, par value $0.01 per share (the "Class B common stock"). (Continued on footnote 2)

F2 · shares: 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 · price: 1. As previously disclosed, on March 6, 2018, BGC Partners, Inc. ("BGC"), including through its subsidiary, BGC Partners, L.P. ("BGC OpCo") entered into an agreement to purchase an aggregate of 16,606,726 newly issued exchangeable limited partnership units (the "Units") of Newmark Holdings, L.P. ("Newmark Holdings") for approximately $242.0 million (the "Investment"). In the Investment, BGC acquired 7,750,487 Units and BGC OpCo acquired 8,856,239 Units. The price per Unit was based on the $14.57 closing price of the Issuer's Class A common stock, par value $0.01 per share (the "Class A common stock"), on March 6, 2018, as reported on the NASDAQ Global Select Market. The closing occurred on March 7, 2018. The Units are exchangeable, at BGC's discretion, on a one-for-one basis, subject to adjustment, into either shares of Class A common stock or shares of the Issuer's Class B common stock, par value $0.01 per share (the "Class B common stock"). (Continued on footnote 2)

F2 · price: 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 · derivative.exercise_date: 1. As previously disclosed, on March 6, 2018, BGC Partners, Inc. ("BGC"), including through its subsidiary, BGC Partners, L.P. ("BGC OpCo") entered into an agreement to purchase an aggregate of 16,606,726 newly issued exchangeable limited partnership units (the "Units") of Newmark Holdings, L.P. ("Newmark Holdings") for approximately $242.0 million (the "Investment"). In the Investment, BGC acquired 7,750,487 Units and BGC OpCo acquired 8,856,239 Units. The price per Unit was based on the $14.57 closing price of the Issuer's Class A common stock, par value $0.01 per share (the "Class A common stock"), on March 6, 2018, as reported on the NASDAQ Global Select Market. The closing occurred on March 7, 2018. The Units are exchangeable, at BGC's discretion, on a one-for-one basis, subject to adjustment, into either shares of Class A common stock or shares of the Issuer's Class B common stock, par value $0.01 per share (the "Class B common stock"). (Continued on footnote 2)

F2 · derivative.exercise_date: 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 · derivative.expiration_date: 1. As previously disclosed, on March 6, 2018, BGC Partners, Inc. ("BGC"), including through its subsidiary, BGC Partners, L.P. ("BGC OpCo") entered into an agreement to purchase an aggregate of 16,606,726 newly issued exchangeable limited partnership units (the "Units") of Newmark Holdings, L.P. ("Newmark Holdings") for approximately $242.0 million (the "Investment"). In the Investment, BGC acquired 7,750,487 Units and BGC OpCo acquired 8,856,239 Units. The price per Unit was based on the $14.57 closing price of the Issuer's Class A common stock, par value $0.01 per share (the "Class A common stock"), on March 6, 2018, as reported on the NASDAQ Global Select Market. The closing occurred on March 7, 2018. The Units are exchangeable, at BGC's discretion, on a one-for-one basis, subject to adjustment, into either shares of Class A common stock or shares of the Issuer's Class B common stock, par value $0.01 per share (the "Class B common stock"). (Continued on footnote 2)

F2 · derivative.expiration_date: 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 · derivative.underlying: 1. As previously disclosed, on March 6, 2018, BGC Partners, Inc. ("BGC"), including through its subsidiary, BGC Partners, L.P. ("BGC OpCo") entered into an agreement to purchase an aggregate of 16,606,726 newly issued exchangeable limited partnership units (the "Units") of Newmark Holdings, L.P. ("Newmark Holdings") for approximately $242.0 million (the "Investment"). In the Investment, BGC acquired 7,750,487 Units and BGC OpCo acquired 8,856,239 Units. The price per Unit was based on the $14.57 closing price of the Issuer's Class A common stock, par value $0.01 per share (the "Class A common stock"), on March 6, 2018, as reported on the NASDAQ Global Select Market. The closing occurred on March 7, 2018. The Units are exchangeable, at BGC's discretion, on a one-for-one basis, subject to adjustment, into either shares of Class A common stock or shares of the Issuer's Class B common stock, par value $0.01 per share (the "Class B common stock"). (Continued on footnote 2)

F2 · derivative.underlying: 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 · derivative.underlying_shares: 1. As previously disclosed, on March 6, 2018, BGC Partners, Inc. ("BGC"), including through its subsidiary, BGC Partners, L.P. ("BGC OpCo") entered into an agreement to purchase an aggregate of 16,606,726 newly issued exchangeable limited partnership units (the "Units") of Newmark Holdings, L.P. ("Newmark Holdings") for approximately $242.0 million (the "Investment"). In the Investment, BGC acquired 7,750,487 Units and BGC OpCo acquired 8,856,239 Units. The price per Unit was based on the $14.57 closing price of the Issuer's Class A common stock, par value $0.01 per share (the "Class A common stock"), on March 6, 2018, as reported on the NASDAQ Global Select Market. The closing occurred on March 7, 2018. The Units are exchangeable, at BGC's discretion, on a one-for-one basis, subject to adjustment, into either shares of Class A common stock or shares of the Issuer's Class B common stock, par value $0.01 per share (the "Class B common stock"). (Continued on footnote 2)

F2 · derivative.underlying_shares: 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 · balance_after: 1. As previously disclosed, on March 6, 2018, BGC Partners, Inc. ("BGC"), including through its subsidiary, BGC Partners, L.P. ("BGC OpCo") entered into an agreement to purchase an aggregate of 16,606,726 newly issued exchangeable limited partnership units (the "Units") of Newmark Holdings, L.P. ("Newmark Holdings") for approximately $242.0 million (the "Investment"). In the Investment, BGC acquired 7,750,487 Units and BGC OpCo acquired 8,856,239 Units. The price per Unit was based on the $14.57 closing price of the Issuer's Class A common stock, par value $0.01 per share (the "Class A common stock"), on March 6, 2018, as reported on the NASDAQ Global Select Market. The closing occurred on March 7, 2018. The Units are exchangeable, at BGC's discretion, on a one-for-one basis, subject to adjustment, into either shares of Class A common stock or shares of the Issuer's Class B common stock, par value $0.01 per share (the "Class B common stock"). (Continued on footnote 2)

F2 · balance_after: 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.

SEC source: 0001437749-18-004247 · rdgdoc.xml · derivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 16,606,726

Underlying: Class A or Class B common stock, par value $0.01 per share · 16,606,726 shares

Expires not disclosed

F1 · security: Exchangeable limited partnership units ("Units") of Newmark Holdings, L.P. ("Newmark Holdings") are exchangeable, at the discretion of the holder, at any time on a one-for-one basis, subject to adjustment, into either shares of the Issuer's Class A common stock, par value $0.01 per share (the "Class A common stock"), or shares of the Issuer's Class B common stock, par value $0.01 per share (the "Class B common stock"). 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 · derivative.exercise_price: Exchangeable limited partnership units ("Units") of Newmark Holdings, L.P. ("Newmark Holdings") are exchangeable, at the discretion of the holder, at any time on a one-for-one basis, subject to adjustment, into either shares of the Issuer's Class A common stock, par value $0.01 per share (the "Class A common stock"), or shares of the Issuer's Class B common stock, par value $0.01 per share (the "Class B common stock"). 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 · kind: As previously disclosed, on March 6, 2018, BGC Partners, Inc. ("BGC"), including through its subsidiary BGC Partners, L.P. ("BGC OpCo") entered into an agreement to purchase an aggregate of 16,606,726 Units for approximately $242.0 million (the "Investment"). In the Investment, BGC acquired 7,750,487 Units and BGC OpCo acquired 8,856,239 Units. The price per Unit was based on the $14.57 closing price of the Issuer's Class A common stock on March 6, 2018, as reported on the NASDAQ Global Select Market. The closing occurred on March 7, 2018.

F2 · shares: As previously disclosed, on March 6, 2018, BGC Partners, Inc. ("BGC"), including through its subsidiary BGC Partners, L.P. ("BGC OpCo") entered into an agreement to purchase an aggregate of 16,606,726 Units for approximately $242.0 million (the "Investment"). In the Investment, BGC acquired 7,750,487 Units and BGC OpCo acquired 8,856,239 Units. The price per Unit was based on the $14.57 closing price of the Issuer's Class A common stock on March 6, 2018, as reported on the NASDAQ Global Select Market. The closing occurred on March 7, 2018.

F2 · price: As previously disclosed, on March 6, 2018, BGC Partners, Inc. ("BGC"), including through its subsidiary BGC Partners, L.P. ("BGC OpCo") entered into an agreement to purchase an aggregate of 16,606,726 Units for approximately $242.0 million (the "Investment"). In the Investment, BGC acquired 7,750,487 Units and BGC OpCo acquired 8,856,239 Units. The price per Unit was based on the $14.57 closing price of the Issuer's Class A common stock on March 6, 2018, as reported on the NASDAQ Global Select Market. The closing occurred on March 7, 2018.

F1 · derivative.exercise_date: Exchangeable limited partnership units ("Units") of Newmark Holdings, L.P. ("Newmark Holdings") are exchangeable, at the discretion of the holder, at any time on a one-for-one basis, subject to adjustment, into either shares of the Issuer's Class A common stock, par value $0.01 per share (the "Class A common stock"), or shares of the Issuer's Class B common stock, par value $0.01 per share (the "Class B common stock"). 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 · derivative.expiration_date: Exchangeable limited partnership units ("Units") of Newmark Holdings, L.P. ("Newmark Holdings") are exchangeable, at the discretion of the holder, at any time on a one-for-one basis, subject to adjustment, into either shares of the Issuer's Class A common stock, par value $0.01 per share (the "Class A common stock"), or shares of the Issuer's Class B common stock, par value $0.01 per share (the "Class B common stock"). 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 · derivative.underlying: Exchangeable limited partnership units ("Units") of Newmark Holdings, L.P. ("Newmark Holdings") are exchangeable, at the discretion of the holder, at any time on a one-for-one basis, subject to adjustment, into either shares of the Issuer's Class A common stock, par value $0.01 per share (the "Class A common stock"), or shares of the Issuer's Class B common stock, par value $0.01 per share (the "Class B common stock"). 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: As previously disclosed, on March 6, 2018, BGC Partners, Inc. ("BGC"), including through its subsidiary BGC Partners, L.P. ("BGC OpCo") entered into an agreement to purchase an aggregate of 16,606,726 Units for approximately $242.0 million (the "Investment"). In the Investment, BGC acquired 7,750,487 Units and BGC OpCo acquired 8,856,239 Units. The price per Unit was based on the $14.57 closing price of the Issuer's Class A common stock on March 6, 2018, as reported on the NASDAQ Global Select Market. The closing occurred on March 7, 2018.

F2 · balance_after: As previously disclosed, on March 6, 2018, BGC Partners, Inc. ("BGC"), including through its subsidiary BGC Partners, L.P. ("BGC OpCo") entered into an agreement to purchase an aggregate of 16,606,726 Units for approximately $242.0 million (the "Investment"). In the Investment, BGC acquired 7,750,487 Units and BGC OpCo acquired 8,856,239 Units. The price per Unit was based on the $14.57 closing price of the Issuer's Class A common stock on March 6, 2018, as reported on the NASDAQ Global Select Market. The closing occurred on March 7, 2018.

F3 · ownership.nature: A majority of the voting power of BGC is held by Cantor Fitzgerald, L.P. and its affiliates ("CFLP"). 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 Securities Exchange Act of 1934 or for any other purpose

SEC source: 0001437749-18-004251 · 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: 40,408,073

Underlying: Class A or Class B common stock, par value $0.01 per share · 16,606,726 shares

Expires not disclosed

F1 · security: Exchangeable limited partnership units ("Units") of Newmark Holdings, L.P. ("Newmark Holdings") are exchangeable, at the discretion of the holder, at any time on a one-for-one basis, subject to adjustment, into either shares of the Issuer's Class A common stock, par value $0.01 per share (the "Class A common stock"), or shares of the Issuer's Class B common stock, par value $0.01 per share (the "Class B common stock"). 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 · derivative.exercise_price: Exchangeable limited partnership units ("Units") of Newmark Holdings, L.P. ("Newmark Holdings") are exchangeable, at the discretion of the holder, at any time on a one-for-one basis, subject to adjustment, into either shares of the Issuer's Class A common stock, par value $0.01 per share (the "Class A common stock"), or shares of the Issuer's Class B common stock, par value $0.01 per share (the "Class B common stock"). 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 · kind: As previously disclosed, on March 6, 2018, BGC Partners, Inc. ("BGC"), including through its subsidiary, BGC Partners, L.P. ("BGC OpCo") entered into an agreement to purchase an aggregate of 16,606,726 Units for approximately $242.0 million (the "Investment"). In the Investment, BGC acquired 7,750,487 Units and BGC OpCo acquired 8,856,239 Units. The price per Unit was based on the $14.57 closing price of the Issuer's Class A common stock on March 6, 2018, as reported on the NASDAQ Global Select Market. The closing occurred on March 7, 2018.

F2 · shares: As previously disclosed, on March 6, 2018, BGC Partners, Inc. ("BGC"), including through its subsidiary, BGC Partners, L.P. ("BGC OpCo") entered into an agreement to purchase an aggregate of 16,606,726 Units for approximately $242.0 million (the "Investment"). In the Investment, BGC acquired 7,750,487 Units and BGC OpCo acquired 8,856,239 Units. The price per Unit was based on the $14.57 closing price of the Issuer's Class A common stock on March 6, 2018, as reported on the NASDAQ Global Select Market. The closing occurred on March 7, 2018.

F2 · price: As previously disclosed, on March 6, 2018, BGC Partners, Inc. ("BGC"), including through its subsidiary, BGC Partners, L.P. ("BGC OpCo") entered into an agreement to purchase an aggregate of 16,606,726 Units for approximately $242.0 million (the "Investment"). In the Investment, BGC acquired 7,750,487 Units and BGC OpCo acquired 8,856,239 Units. The price per Unit was based on the $14.57 closing price of the Issuer's Class A common stock on March 6, 2018, as reported on the NASDAQ Global Select Market. The closing occurred on March 7, 2018.

F1 · derivative.exercise_date: Exchangeable limited partnership units ("Units") of Newmark Holdings, L.P. ("Newmark Holdings") are exchangeable, at the discretion of the holder, at any time on a one-for-one basis, subject to adjustment, into either shares of the Issuer's Class A common stock, par value $0.01 per share (the "Class A common stock"), or shares of the Issuer's Class B common stock, par value $0.01 per share (the "Class B common stock"). 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 · derivative.expiration_date: Exchangeable limited partnership units ("Units") of Newmark Holdings, L.P. ("Newmark Holdings") are exchangeable, at the discretion of the holder, at any time on a one-for-one basis, subject to adjustment, into either shares of the Issuer's Class A common stock, par value $0.01 per share (the "Class A common stock"), or shares of the Issuer's Class B common stock, par value $0.01 per share (the "Class B common stock"). 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 · derivative.underlying: Exchangeable limited partnership units ("Units") of Newmark Holdings, L.P. ("Newmark Holdings") are exchangeable, at the discretion of the holder, at any time on a one-for-one basis, subject to adjustment, into either shares of the Issuer's Class A common stock, par value $0.01 per share (the "Class A common stock"), or shares of the Issuer's Class B common stock, par value $0.01 per share (the "Class B common stock"). 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: As previously disclosed, on March 6, 2018, BGC Partners, Inc. ("BGC"), including through its subsidiary, BGC Partners, L.P. ("BGC OpCo") entered into an agreement to purchase an aggregate of 16,606,726 Units for approximately $242.0 million (the "Investment"). In the Investment, BGC acquired 7,750,487 Units and BGC OpCo acquired 8,856,239 Units. The price per Unit was based on the $14.57 closing price of the Issuer's Class A common stock on March 6, 2018, as reported on the NASDAQ Global Select Market. The closing occurred on March 7, 2018.

F2 · balance_after: As previously disclosed, on March 6, 2018, BGC Partners, Inc. ("BGC"), including through its subsidiary, BGC Partners, L.P. ("BGC OpCo") entered into an agreement to purchase an aggregate of 16,606,726 Units for approximately $242.0 million (the "Investment"). In the Investment, BGC acquired 7,750,487 Units and BGC OpCo acquired 8,856,239 Units. The price per Unit was based on the $14.57 closing price of the Issuer's Class A common stock on March 6, 2018, as reported on the NASDAQ Global Select Market. The closing occurred on March 7, 2018.

F4 · balance_after: Includes 23,801,347 Units acquired by CFLP on December 13, 2017 in connection with the separation of the Issuer' s business from the remainder of the businesses held by BGC and its subsidiaries.

F3 · ownership.nature: A majority of the voting power of BGC is held by Cantor Fitzgerald, L.P. and its affiliates ("CFLP"). CF Group Management, Inc. ("CFGM") is the Managing General Partner of CFLP and the reporting person is the Chairman and Chief Executive Officer and sole stockholder of CFGM. The reporting person 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 the reporting person 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: 0001437749-18-004249 · 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: 40,408,073

Underlying: Class A or Class B common stock, par value $0.01 per share · 16,606,726 shares

Expires not disclosed

F1 · security: Exchangeable limited partnership units ("Units") of Newmark Holdings, L.P. ("Newmark Holdings") are exchangeable, at the discretion of the holder, at any time on a one-for-one basis, subject to adjustment, into either shares of the Issuer's Class A common stock, par value $0.01 per share (the "Class A common stock"), or shares of the Issuer's Class B common stock, par value $0.01 per share (the "Class B common stock"). 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 · derivative.exercise_price: Exchangeable limited partnership units ("Units") of Newmark Holdings, L.P. ("Newmark Holdings") are exchangeable, at the discretion of the holder, at any time on a one-for-one basis, subject to adjustment, into either shares of the Issuer's Class A common stock, par value $0.01 per share (the "Class A common stock"), or shares of the Issuer's Class B common stock, par value $0.01 per share (the "Class B common stock"). 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 · kind: As previously disclosed, on March 6, 2018, BGC Partners, Inc. ("BGC"), including through its subsidiary, BGC Partners, L.P. ("BGC OpCo") entered into an agreement to purchase an aggregate of 16,606,726 Units for approximately $242.0 million (the "Investment"). In the Investment, BGC acquired 7,750,487 Units and BGC OpCo acquired 8,856,239 Units. The price per Unit was based on the $14.57 closing price of the Issuer's Class A common stock on March 6, 2018, as reported on the NASDAQ Global Select Market. The closing occurred on March 7, 2018.

F2 · shares: As previously disclosed, on March 6, 2018, BGC Partners, Inc. ("BGC"), including through its subsidiary, BGC Partners, L.P. ("BGC OpCo") entered into an agreement to purchase an aggregate of 16,606,726 Units for approximately $242.0 million (the "Investment"). In the Investment, BGC acquired 7,750,487 Units and BGC OpCo acquired 8,856,239 Units. The price per Unit was based on the $14.57 closing price of the Issuer's Class A common stock on March 6, 2018, as reported on the NASDAQ Global Select Market. The closing occurred on March 7, 2018.

F2 · price: As previously disclosed, on March 6, 2018, BGC Partners, Inc. ("BGC"), including through its subsidiary, BGC Partners, L.P. ("BGC OpCo") entered into an agreement to purchase an aggregate of 16,606,726 Units for approximately $242.0 million (the "Investment"). In the Investment, BGC acquired 7,750,487 Units and BGC OpCo acquired 8,856,239 Units. The price per Unit was based on the $14.57 closing price of the Issuer's Class A common stock on March 6, 2018, as reported on the NASDAQ Global Select Market. The closing occurred on March 7, 2018.

F1 · derivative.exercise_date: Exchangeable limited partnership units ("Units") of Newmark Holdings, L.P. ("Newmark Holdings") are exchangeable, at the discretion of the holder, at any time on a one-for-one basis, subject to adjustment, into either shares of the Issuer's Class A common stock, par value $0.01 per share (the "Class A common stock"), or shares of the Issuer's Class B common stock, par value $0.01 per share (the "Class B common stock"). 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 · derivative.expiration_date: Exchangeable limited partnership units ("Units") of Newmark Holdings, L.P. ("Newmark Holdings") are exchangeable, at the discretion of the holder, at any time on a one-for-one basis, subject to adjustment, into either shares of the Issuer's Class A common stock, par value $0.01 per share (the "Class A common stock"), or shares of the Issuer's Class B common stock, par value $0.01 per share (the "Class B common stock"). 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 · derivative.underlying: Exchangeable limited partnership units ("Units") of Newmark Holdings, L.P. ("Newmark Holdings") are exchangeable, at the discretion of the holder, at any time on a one-for-one basis, subject to adjustment, into either shares of the Issuer's Class A common stock, par value $0.01 per share (the "Class A common stock"), or shares of the Issuer's Class B common stock, par value $0.01 per share (the "Class B common stock"). 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: As previously disclosed, on March 6, 2018, BGC Partners, Inc. ("BGC"), including through its subsidiary, BGC Partners, L.P. ("BGC OpCo") entered into an agreement to purchase an aggregate of 16,606,726 Units for approximately $242.0 million (the "Investment"). In the Investment, BGC acquired 7,750,487 Units and BGC OpCo acquired 8,856,239 Units. The price per Unit was based on the $14.57 closing price of the Issuer's Class A common stock on March 6, 2018, as reported on the NASDAQ Global Select Market. The closing occurred on March 7, 2018.

F2 · balance_after: As previously disclosed, on March 6, 2018, BGC Partners, Inc. ("BGC"), including through its subsidiary, BGC Partners, L.P. ("BGC OpCo") entered into an agreement to purchase an aggregate of 16,606,726 Units for approximately $242.0 million (the "Investment"). In the Investment, BGC acquired 7,750,487 Units and BGC OpCo acquired 8,856,239 Units. The price per Unit was based on the $14.57 closing price of the Issuer's Class A common stock on March 6, 2018, as reported on the NASDAQ Global Select Market. The closing occurred on March 7, 2018.

F4 · balance_after: Includes 23,801,347 Units in Newmark acquired by CFLP on December 13, 2017 in connection with the separation of the Issuer's business from the remainder of the businesses held by BGC and its subsidiaries.

F3 · ownership.nature: A majority of the voting power of BGC is held by Cantor Fitzgerald, L.P. and its affiliates ("CFLP"). 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: 0001437749-17-021050 · rdgdoc.xml · nonDerivative · entry 1

Snow Michael · CIK 0001635637 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,000

F1 · shares: The 5,000 shares of Class A common stock, par value $0.01 per share (the "Class A common stock") are represented by 5,000 restricted stock units ("RSUs") granted under the Newmark Group, Inc. Long Term Incentive Plan calculated on the basis of the initial public offering price of $14.00 per share. Each RSU represents a contingent right to receive one share of Class A common stock. Of the 5,000 RSUs, 2,500 RSUs will vest on December 19, 2018 and 2,500 RSUs 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: 0001437749-17-021048 · rdgdoc.xml · nonDerivative · entry 1

DALTON JOHN H · CIK 0001210301 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,000

F1 · shares: The 5,000 shares of Class A Common Stock, par value 0.01 per share (the "Class A Common Stock"), are represented by 5,000 restricted stock units ("RSUs") granted under the Newmark Group, Inc. Long Term Incentive Plan calculated on the basis of the initial public offering price of $14.00 per share. Each RSU represents a contingent right to receive one share of Class A Common Stock. Of the 5,000 RSUs, 2,500 RSUs will vest on December 19, 2018 and 2,500 RSUs 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: 0001437749-17-021052 · rdgdoc.xml · nonDerivative · entry 3

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,840,049

F2 · shares: On December 13, 2017, BGC acquired from Newmark an aggregate of 115,543,830 shares of Class A common stock, par value $0.01 per share ("Class A common stock"), of Newmark and 15,840,049 shares of Class B common stock, par value $0.01 per share ("Class B common stock"), of Newmark in connection with the Separation. Shares of Class B common stock are convertible at any time on a one-for-one basis into shares of Class A common stock.

F2 · price: On December 13, 2017, BGC acquired from Newmark an aggregate of 115,543,830 shares of Class A common stock, par value $0.01 per share ("Class A common stock"), of Newmark and 15,840,049 shares of Class B common stock, par value $0.01 per share ("Class B common stock"), of Newmark in connection with the Separation. Shares of Class B common stock are convertible at any time on a one-for-one basis into shares of Class A common stock.

F2 · balance_after: On December 13, 2017, BGC acquired from Newmark an aggregate of 115,543,830 shares of Class A common stock, par value $0.01 per share ("Class A common stock"), of Newmark and 15,840,049 shares of Class B common stock, par value $0.01 per share ("Class B common stock"), of Newmark in connection with the Separation. Shares of Class B common stock are convertible at any time on a one-for-one basis into shares of Class A common stock.

SEC source: 0001437749-17-021052 · rdgdoc.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 115,543,380

F2 · shares: On December 13, 2017, BGC acquired from Newmark an aggregate of 115,543,830 shares of Class A common stock, par value $0.01 per share ("Class A common stock"), of Newmark and 15,840,049 shares of Class B common stock, par value $0.01 per share ("Class B common stock"), of Newmark in connection with the Separation. Shares of Class B common stock are convertible at any time on a one-for-one basis into shares of Class A common stock.

F2 · price: On December 13, 2017, BGC acquired from Newmark an aggregate of 115,543,830 shares of Class A common stock, par value $0.01 per share ("Class A common stock"), of Newmark and 15,840,049 shares of Class B common stock, par value $0.01 per share ("Class B common stock"), of Newmark in connection with the Separation. Shares of Class B common stock are convertible at any time on a one-for-one basis into shares of Class A common stock.

F2 · balance_after: On December 13, 2017, BGC acquired from Newmark an aggregate of 115,543,830 shares of Class A common stock, par value $0.01 per share ("Class A common stock"), of Newmark and 15,840,049 shares of Class B common stock, par value $0.01 per share ("Class B common stock"), of Newmark in connection with the Separation. Shares of Class B common stock are convertible at any time on a one-for-one basis into shares of Class A common stock.

SEC source: 0001437749-17-021052 · rdgdoc.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

F1 · shares: The 100 shares of common stock of Newmark Group, Inc. ("Newmark") were acquired by BGC Partners, Inc. ("BGC") on November 22, 2016 in connection with the formation of Newmark. All such shares were disposed of on December 13, 2017 in a recapitalization in connection with the separation of the Newmark business from the remainder of the businesses held by BGC and its subsidiaries (the "Separation").

F1 · price: The 100 shares of common stock of Newmark Group, Inc. ("Newmark") were acquired by BGC Partners, Inc. ("BGC") on November 22, 2016 in connection with the formation of Newmark. All such shares were disposed of on December 13, 2017 in a recapitalization in connection with the separation of the Newmark business from the remainder of the businesses held by BGC and its subsidiaries (the "Separation").

SEC source: 0001437749-17-021054 · rdgdoc.xml · derivative · entry 4

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 23,801,347

Underlying: Class A or Class B common stock, par value $0.01 per share · 23,801,347 shares

Expires not disclosed

F4 · security: On December 13, 2017, CFLP acquired from Newmark Holdings, L.P. ("Newmark Holdings") an aggregate of 23,801,347 exchangeable limited partnership interests in Newmark Holdings (the "Interests") in connection with the Separation. 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) on a one-for-one basis (subject to adjustment).

F4 · derivative.exercise_price: On December 13, 2017, CFLP acquired from Newmark Holdings, L.P. ("Newmark Holdings") an aggregate of 23,801,347 exchangeable limited partnership interests in Newmark Holdings (the "Interests") in connection with the Separation. 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) on a one-for-one basis (subject to adjustment).

F4 · kind: On December 13, 2017, CFLP acquired from Newmark Holdings, L.P. ("Newmark Holdings") an aggregate of 23,801,347 exchangeable limited partnership interests in Newmark Holdings (the "Interests") in connection with the Separation. 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) on a one-for-one basis (subject to adjustment).

F4 · shares: On December 13, 2017, CFLP acquired from Newmark Holdings, L.P. ("Newmark Holdings") an aggregate of 23,801,347 exchangeable limited partnership interests in Newmark Holdings (the "Interests") in connection with the Separation. 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) on a one-for-one basis (subject to adjustment).

F4 · price: On December 13, 2017, CFLP acquired from Newmark Holdings, L.P. ("Newmark Holdings") an aggregate of 23,801,347 exchangeable limited partnership interests in Newmark Holdings (the "Interests") in connection with the Separation. 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) on a one-for-one basis (subject to adjustment).

F4 · derivative.exercise_date: On December 13, 2017, CFLP acquired from Newmark Holdings, L.P. ("Newmark Holdings") an aggregate of 23,801,347 exchangeable limited partnership interests in Newmark Holdings (the "Interests") in connection with the Separation. 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) on a one-for-one basis (subject to adjustment).

F4 · derivative.expiration_date: On December 13, 2017, CFLP acquired from Newmark Holdings, L.P. ("Newmark Holdings") an aggregate of 23,801,347 exchangeable limited partnership interests in Newmark Holdings (the "Interests") in connection with the Separation. 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) on a one-for-one basis (subject to adjustment).

F4 · derivative.underlying: On December 13, 2017, CFLP acquired from Newmark Holdings, L.P. ("Newmark Holdings") an aggregate of 23,801,347 exchangeable limited partnership interests in Newmark Holdings (the "Interests") in connection with the Separation. 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) on a one-for-one basis (subject to adjustment).

F4 · derivative.underlying_shares: On December 13, 2017, CFLP acquired from Newmark Holdings, L.P. ("Newmark Holdings") an aggregate of 23,801,347 exchangeable limited partnership interests in Newmark Holdings (the "Interests") in connection with the Separation. 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) on a one-for-one basis (subject to adjustment).

F4 · balance_after: On December 13, 2017, CFLP acquired from Newmark Holdings, L.P. ("Newmark Holdings") an aggregate of 23,801,347 exchangeable limited partnership interests in Newmark Holdings (the "Interests") in connection with the Separation. 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) on a one-for-one basis (subject to adjustment).

SEC source: 0001437749-17-021054 · rdgdoc.xml · nonDerivative · entry 3

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnotes

Disclosed balance after: 15,840,049

F3 · shares: On December 13, 2017, BGC acquired from Newmark an aggregate of 115,543,830 shares of Class A common stock, par value $0.01 per share ("Class A common stock"), of Newmark and 15,840,049 shares of Class B common stock, par value $0.01 per share ("Class B common stock"), of Newmark in connection with the Separation. 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: On December 13, 2017, BGC acquired from Newmark an aggregate of 115,543,830 shares of Class A common stock, par value $0.01 per share ("Class A common stock"), of Newmark and 15,840,049 shares of Class B common stock, par value $0.01 per share ("Class B common stock"), of Newmark in connection with the Separation. 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 · balance_after: On December 13, 2017, BGC acquired from Newmark an aggregate of 115,543,830 shares of Class A common stock, par value $0.01 per share ("Class A common stock"), of Newmark and 15,840,049 shares of Class B common stock, par value $0.01 per share ("Class B common stock"), of Newmark in connection with the Separation. Shares of Class B common stock are convertible at any time on a one-for-one basis into shares of Class A common stock.

F2 · ownership.nature: 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 Securities Exchange Act of 1934 or for any other purpose.

F3 · ownership.nature: On December 13, 2017, BGC acquired from Newmark an aggregate of 115,543,830 shares of Class A common stock, par value $0.01 per share ("Class A common stock"), of Newmark and 15,840,049 shares of Class B common stock, par value $0.01 per share ("Class B common stock"), of Newmark in connection with the Separation. Shares of Class B common stock are convertible at any time on a one-for-one basis into shares of Class A common stock.

SEC source: 0001437749-17-021054 · rdgdoc.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnotes

Disclosed balance after: 115,543,380

F3 · shares: On December 13, 2017, BGC acquired from Newmark an aggregate of 115,543,830 shares of Class A common stock, par value $0.01 per share ("Class A common stock"), of Newmark and 15,840,049 shares of Class B common stock, par value $0.01 per share ("Class B common stock"), of Newmark in connection with the Separation. 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: On December 13, 2017, BGC acquired from Newmark an aggregate of 115,543,830 shares of Class A common stock, par value $0.01 per share ("Class A common stock"), of Newmark and 15,840,049 shares of Class B common stock, par value $0.01 per share ("Class B common stock"), of Newmark in connection with the Separation. 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 · balance_after: On December 13, 2017, BGC acquired from Newmark an aggregate of 115,543,830 shares of Class A common stock, par value $0.01 per share ("Class A common stock"), of Newmark and 15,840,049 shares of Class B common stock, par value $0.01 per share ("Class B common stock"), of Newmark in connection with the Separation. Shares of Class B common stock are convertible at any time on a one-for-one basis into shares of Class A common stock.

F2 · ownership.nature: 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 Securities Exchange Act of 1934 or for any other purpose.

F3 · ownership.nature: On December 13, 2017, BGC acquired from Newmark an aggregate of 115,543,830 shares of Class A common stock, par value $0.01 per share ("Class A common stock"), of Newmark and 15,840,049 shares of Class B common stock, par value $0.01 per share ("Class B common stock"), of Newmark in connection with the Separation. Shares of Class B common stock are convertible at any time on a one-for-one basis into shares of Class A common stock.

SEC source: 0001437749-17-021054 · rdgdoc.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnotes

Disclosed balance after: 0

F1 · shares: The 100 shares of common stock of Newmark Group, Inc. ("Newmark") were acquired by BGC Partners, Inc. ("BGC") on November 22, 2016 in connection with the formation of Newmark. All such shares were disposed of on December 13, 2017 in a recapitalization in connection with the separation of the Newmark business from the remainder of the businesses held by BGC and its subsidiaries (the "Separation"). A majority of the voting power of BGC is held by Cantor Fitzgerald, L.P. ("CFLP") and its affiliates.

F1 · price: The 100 shares of common stock of Newmark Group, Inc. ("Newmark") were acquired by BGC Partners, Inc. ("BGC") on November 22, 2016 in connection with the formation of Newmark. All such shares were disposed of on December 13, 2017 in a recapitalization in connection with the separation of the Newmark business from the remainder of the businesses held by BGC and its subsidiaries (the "Separation"). A majority of the voting power of BGC is held by Cantor Fitzgerald, L.P. ("CFLP") and its affiliates.

F1 · ownership.nature: The 100 shares of common stock of Newmark Group, Inc. ("Newmark") were acquired by BGC Partners, Inc. ("BGC") on November 22, 2016 in connection with the formation of Newmark. All such shares were disposed of on December 13, 2017 in a recapitalization in connection with the separation of the Newmark business from the remainder of the businesses held by BGC and its subsidiaries (the "Separation"). A majority of the voting power of BGC is held by Cantor Fitzgerald, L.P. ("CFLP") and its affiliates.

F2 · ownership.nature: 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 Securities Exchange Act of 1934 or for any other purpose.

SEC source: 0001437749-17-021059 · rdgdoc.xml · derivative · entry 1

Rispoli Michael J. · CIK 0001446936 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,989

Underlying: Class A common stock, par value $0.01 per share · 8,989 shares

Expires not disclosed

F1 · security: On December 13, 2017, the reporting person acquired from Newmark Holdings, L.P. ("Newmark Holdings") an aggregate of 8,989 exchangeable limited partnership interests in Newmark Holdings (the "Interests") in connection with the separation of the Newmark business from the remainder of the businesses held by BGC Partners, Inc. and its subsidiaries. The exchange rights with respect to the Interests are exercisable at any time for shares of Class A common stock, par value $0.01 per share, of Newmark Group, Inc. on a one-for-one basis (subject to adjustment).

F1 · derivative.exercise_price: On December 13, 2017, the reporting person acquired from Newmark Holdings, L.P. ("Newmark Holdings") an aggregate of 8,989 exchangeable limited partnership interests in Newmark Holdings (the "Interests") in connection with the separation of the Newmark business from the remainder of the businesses held by BGC Partners, Inc. and its subsidiaries. The exchange rights with respect to the Interests are exercisable at any time for shares of Class A common stock, par value $0.01 per share, of Newmark Group, Inc. on a one-for-one basis (subject to adjustment).

F1 · kind: On December 13, 2017, the reporting person acquired from Newmark Holdings, L.P. ("Newmark Holdings") an aggregate of 8,989 exchangeable limited partnership interests in Newmark Holdings (the "Interests") in connection with the separation of the Newmark business from the remainder of the businesses held by BGC Partners, Inc. and its subsidiaries. The exchange rights with respect to the Interests are exercisable at any time for shares of Class A common stock, par value $0.01 per share, of Newmark Group, Inc. on a one-for-one basis (subject to adjustment).

F1 · shares: On December 13, 2017, the reporting person acquired from Newmark Holdings, L.P. ("Newmark Holdings") an aggregate of 8,989 exchangeable limited partnership interests in Newmark Holdings (the "Interests") in connection with the separation of the Newmark business from the remainder of the businesses held by BGC Partners, Inc. and its subsidiaries. The exchange rights with respect to the Interests are exercisable at any time for shares of Class A common stock, par value $0.01 per share, of Newmark Group, Inc. on a one-for-one basis (subject to adjustment).

F1 · price: On December 13, 2017, the reporting person acquired from Newmark Holdings, L.P. ("Newmark Holdings") an aggregate of 8,989 exchangeable limited partnership interests in Newmark Holdings (the "Interests") in connection with the separation of the Newmark business from the remainder of the businesses held by BGC Partners, Inc. and its subsidiaries. The exchange rights with respect to the Interests are exercisable at any time for shares of Class A common stock, par value $0.01 per share, of Newmark Group, Inc. on a one-for-one basis (subject to adjustment).

F1 · derivative.exercise_date: On December 13, 2017, the reporting person acquired from Newmark Holdings, L.P. ("Newmark Holdings") an aggregate of 8,989 exchangeable limited partnership interests in Newmark Holdings (the "Interests") in connection with the separation of the Newmark business from the remainder of the businesses held by BGC Partners, Inc. and its subsidiaries. The exchange rights with respect to the Interests are exercisable at any time for shares of Class A common stock, par value $0.01 per share, of Newmark Group, Inc. on a one-for-one basis (subject to adjustment).

F1 · derivative.expiration_date: On December 13, 2017, the reporting person acquired from Newmark Holdings, L.P. ("Newmark Holdings") an aggregate of 8,989 exchangeable limited partnership interests in Newmark Holdings (the "Interests") in connection with the separation of the Newmark business from the remainder of the businesses held by BGC Partners, Inc. and its subsidiaries. The exchange rights with respect to the Interests are exercisable at any time for shares of Class A common stock, par value $0.01 per share, of Newmark Group, Inc. on a one-for-one basis (subject to adjustment).

F1 · derivative.underlying: On December 13, 2017, the reporting person acquired from Newmark Holdings, L.P. ("Newmark Holdings") an aggregate of 8,989 exchangeable limited partnership interests in Newmark Holdings (the "Interests") in connection with the separation of the Newmark business from the remainder of the businesses held by BGC Partners, Inc. and its subsidiaries. The exchange rights with respect to the Interests are exercisable at any time for shares of Class A common stock, par value $0.01 per share, of Newmark Group, Inc. on a one-for-one basis (subject to adjustment).

F1 · derivative.underlying_shares: On December 13, 2017, the reporting person acquired from Newmark Holdings, L.P. ("Newmark Holdings") an aggregate of 8,989 exchangeable limited partnership interests in Newmark Holdings (the "Interests") in connection with the separation of the Newmark business from the remainder of the businesses held by BGC Partners, Inc. and its subsidiaries. The exchange rights with respect to the Interests are exercisable at any time for shares of Class A common stock, par value $0.01 per share, of Newmark Group, Inc. on a one-for-one basis (subject to adjustment).

F1 · balance_after: On December 13, 2017, the reporting person acquired from Newmark Holdings, L.P. ("Newmark Holdings") an aggregate of 8,989 exchangeable limited partnership interests in Newmark Holdings (the "Interests") in connection with the separation of the Newmark business from the remainder of the businesses held by BGC Partners, Inc. and its subsidiaries. The exchange rights with respect to the Interests are exercisable at any time for shares of Class A common stock, par value $0.01 per share, of Newmark Group, Inc. on a one-for-one basis (subject to adjustment).

SEC source: 0001437749-17-021057 · rdgdoc.xml · derivative · entry 1

Gosin Barry M · CIK 0001388845 · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 967,298

Underlying: Class A common stock, par value $0.01 per share · 967,298 shares

Expires not disclosed

F1 · security: On December 13, 2017, the reporting person acquired from Newmark Holdings, L.P. ("Newmark Holdings") an aggregate of 967,298 exchangeable limited partnership interests in Newmark Holdings (the "Interests") in connection with the separation of the Newmark business from the remainder of the businesses held by BGC Partners, Inc. and its subsidiaries. The exchange rights with respect to the Interests are exercisable at any time for shares of Class A common stock, par value $0.01 per share, of Newmark Group, Inc. on a one-for-one basis (subject to adjustment).

F1 · derivative.exercise_price: On December 13, 2017, the reporting person acquired from Newmark Holdings, L.P. ("Newmark Holdings") an aggregate of 967,298 exchangeable limited partnership interests in Newmark Holdings (the "Interests") in connection with the separation of the Newmark business from the remainder of the businesses held by BGC Partners, Inc. and its subsidiaries. The exchange rights with respect to the Interests are exercisable at any time for shares of Class A common stock, par value $0.01 per share, of Newmark Group, Inc. on a one-for-one basis (subject to adjustment).

F1 · kind: On December 13, 2017, the reporting person acquired from Newmark Holdings, L.P. ("Newmark Holdings") an aggregate of 967,298 exchangeable limited partnership interests in Newmark Holdings (the "Interests") in connection with the separation of the Newmark business from the remainder of the businesses held by BGC Partners, Inc. and its subsidiaries. The exchange rights with respect to the Interests are exercisable at any time for shares of Class A common stock, par value $0.01 per share, of Newmark Group, Inc. on a one-for-one basis (subject to adjustment).

F1 · shares: On December 13, 2017, the reporting person acquired from Newmark Holdings, L.P. ("Newmark Holdings") an aggregate of 967,298 exchangeable limited partnership interests in Newmark Holdings (the "Interests") in connection with the separation of the Newmark business from the remainder of the businesses held by BGC Partners, Inc. and its subsidiaries. The exchange rights with respect to the Interests are exercisable at any time for shares of Class A common stock, par value $0.01 per share, of Newmark Group, Inc. on a one-for-one basis (subject to adjustment).

F1 · price: On December 13, 2017, the reporting person acquired from Newmark Holdings, L.P. ("Newmark Holdings") an aggregate of 967,298 exchangeable limited partnership interests in Newmark Holdings (the "Interests") in connection with the separation of the Newmark business from the remainder of the businesses held by BGC Partners, Inc. and its subsidiaries. The exchange rights with respect to the Interests are exercisable at any time for shares of Class A common stock, par value $0.01 per share, of Newmark Group, Inc. on a one-for-one basis (subject to adjustment).

F1 · derivative.exercise_date: On December 13, 2017, the reporting person acquired from Newmark Holdings, L.P. ("Newmark Holdings") an aggregate of 967,298 exchangeable limited partnership interests in Newmark Holdings (the "Interests") in connection with the separation of the Newmark business from the remainder of the businesses held by BGC Partners, Inc. and its subsidiaries. The exchange rights with respect to the Interests are exercisable at any time for shares of Class A common stock, par value $0.01 per share, of Newmark Group, Inc. on a one-for-one basis (subject to adjustment).

F1 · derivative.expiration_date: On December 13, 2017, the reporting person acquired from Newmark Holdings, L.P. ("Newmark Holdings") an aggregate of 967,298 exchangeable limited partnership interests in Newmark Holdings (the "Interests") in connection with the separation of the Newmark business from the remainder of the businesses held by BGC Partners, Inc. and its subsidiaries. The exchange rights with respect to the Interests are exercisable at any time for shares of Class A common stock, par value $0.01 per share, of Newmark Group, Inc. on a one-for-one basis (subject to adjustment).

F1 · derivative.underlying: On December 13, 2017, the reporting person acquired from Newmark Holdings, L.P. ("Newmark Holdings") an aggregate of 967,298 exchangeable limited partnership interests in Newmark Holdings (the "Interests") in connection with the separation of the Newmark business from the remainder of the businesses held by BGC Partners, Inc. and its subsidiaries. The exchange rights with respect to the Interests are exercisable at any time for shares of Class A common stock, par value $0.01 per share, of Newmark Group, Inc. on a one-for-one basis (subject to adjustment).

F1 · derivative.underlying_shares: On December 13, 2017, the reporting person acquired from Newmark Holdings, L.P. ("Newmark Holdings") an aggregate of 967,298 exchangeable limited partnership interests in Newmark Holdings (the "Interests") in connection with the separation of the Newmark business from the remainder of the businesses held by BGC Partners, Inc. and its subsidiaries. The exchange rights with respect to the Interests are exercisable at any time for shares of Class A common stock, par value $0.01 per share, of Newmark Group, Inc. on a one-for-one basis (subject to adjustment).

F1 · balance_after: On December 13, 2017, the reporting person acquired from Newmark Holdings, L.P. ("Newmark Holdings") an aggregate of 967,298 exchangeable limited partnership interests in Newmark Holdings (the "Interests") in connection with the separation of the Newmark business from the remainder of the businesses held by BGC Partners, Inc. and its subsidiaries. The exchange rights with respect to the Interests are exercisable at any time for shares of Class A common stock, par value $0.01 per share, of Newmark Group, Inc. on a one-for-one basis (subject to adjustment).

SEC source: 0001437749-17-021056 · rdgdoc.xml · derivative · entry 5

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnotes

Disclosed balance after: 24,274,420

Underlying: Class A or Class B common stock, par value $0.01 per share · 23,801,347 shares

Expires not disclosed

F4 · security: On December 13, 2017, the reporting person acquired from Newmark Holdings, L.P. ("Newmark Holdings") an aggregate of 473,073 exchangeable limited partnership interests in Newmark Holdings (the "Interests") in connection with the Separation. The exchange rights with respect to the Interests are exercisable at any time for shares of Class A Common Stock on a one-for-one basis (subject to adjustment).

F5 · security: On December 13, 2017, CFLP acquired from Newmark Holdings an aggregate of 23,801,347 Interests in connection with the Separation. 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) on a one-for-one basis (subject to adjustment).

F5 · derivative.exercise_price: On December 13, 2017, CFLP acquired from Newmark Holdings an aggregate of 23,801,347 Interests in connection with the Separation. 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) on a one-for-one basis (subject to adjustment).

F5 · kind: On December 13, 2017, CFLP acquired from Newmark Holdings an aggregate of 23,801,347 Interests in connection with the Separation. 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) on a one-for-one basis (subject to adjustment).

F5 · shares: On December 13, 2017, CFLP acquired from Newmark Holdings an aggregate of 23,801,347 Interests in connection with the Separation. 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) on a one-for-one basis (subject to adjustment).

F5 · price: On December 13, 2017, CFLP acquired from Newmark Holdings an aggregate of 23,801,347 Interests in connection with the Separation. 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) on a one-for-one basis (subject to adjustment).

F5 · derivative.exercise_date: On December 13, 2017, CFLP acquired from Newmark Holdings an aggregate of 23,801,347 Interests in connection with the Separation. 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) on a one-for-one basis (subject to adjustment).

F5 · derivative.expiration_date: On December 13, 2017, CFLP acquired from Newmark Holdings an aggregate of 23,801,347 Interests in connection with the Separation. 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) on a one-for-one basis (subject to adjustment).

F5 · derivative.underlying: On December 13, 2017, CFLP acquired from Newmark Holdings an aggregate of 23,801,347 Interests in connection with the Separation. 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) on a one-for-one basis (subject to adjustment).

F5 · derivative.underlying_shares: On December 13, 2017, CFLP acquired from Newmark Holdings an aggregate of 23,801,347 Interests in connection with the Separation. 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) on a one-for-one basis (subject to adjustment).

F5 · balance_after: On December 13, 2017, CFLP acquired from Newmark Holdings an aggregate of 23,801,347 Interests in connection with the Separation. 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) on a one-for-one basis (subject to adjustment).

F2 · ownership.nature: The reporting person 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 reporting person 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.

F5 · ownership.nature: On December 13, 2017, CFLP acquired from Newmark Holdings an aggregate of 23,801,347 Interests in connection with the Separation. 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) on a one-for-one basis (subject to adjustment).

SEC source: 0001437749-17-021056 · rdgdoc.xml · derivative · entry 4

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 473,073

Underlying: Class A common stock, par value $0.01 per share · 473,073 shares

Expires not disclosed

F4 · security: On December 13, 2017, the reporting person acquired from Newmark Holdings, L.P. ("Newmark Holdings") an aggregate of 473,073 exchangeable limited partnership interests in Newmark Holdings (the "Interests") in connection with the Separation. The exchange rights with respect to the Interests are exercisable at any time for shares of Class A Common Stock on a one-for-one basis (subject to adjustment).

F5 · security: On December 13, 2017, CFLP acquired from Newmark Holdings an aggregate of 23,801,347 Interests in connection with the Separation. 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) on a one-for-one basis (subject to adjustment).

F4 · derivative.exercise_price: On December 13, 2017, the reporting person acquired from Newmark Holdings, L.P. ("Newmark Holdings") an aggregate of 473,073 exchangeable limited partnership interests in Newmark Holdings (the "Interests") in connection with the Separation. The exchange rights with respect to the Interests are exercisable at any time for shares of Class A Common Stock on a one-for-one basis (subject to adjustment).

F4 · kind: On December 13, 2017, the reporting person acquired from Newmark Holdings, L.P. ("Newmark Holdings") an aggregate of 473,073 exchangeable limited partnership interests in Newmark Holdings (the "Interests") in connection with the Separation. The exchange rights with respect to the Interests are exercisable at any time for shares of Class A Common Stock on a one-for-one basis (subject to adjustment).

F4 · shares: On December 13, 2017, the reporting person acquired from Newmark Holdings, L.P. ("Newmark Holdings") an aggregate of 473,073 exchangeable limited partnership interests in Newmark Holdings (the "Interests") in connection with the Separation. The exchange rights with respect to the Interests are exercisable at any time for shares of Class A Common Stock on a one-for-one basis (subject to adjustment).

F4 · price: On December 13, 2017, the reporting person acquired from Newmark Holdings, L.P. ("Newmark Holdings") an aggregate of 473,073 exchangeable limited partnership interests in Newmark Holdings (the "Interests") in connection with the Separation. The exchange rights with respect to the Interests are exercisable at any time for shares of Class A Common Stock on a one-for-one basis (subject to adjustment).

F4 · derivative.exercise_date: On December 13, 2017, the reporting person acquired from Newmark Holdings, L.P. ("Newmark Holdings") an aggregate of 473,073 exchangeable limited partnership interests in Newmark Holdings (the "Interests") in connection with the Separation. The exchange rights with respect to the Interests are exercisable at any time for shares of Class A Common Stock on a one-for-one basis (subject to adjustment).

F4 · derivative.expiration_date: On December 13, 2017, the reporting person acquired from Newmark Holdings, L.P. ("Newmark Holdings") an aggregate of 473,073 exchangeable limited partnership interests in Newmark Holdings (the "Interests") in connection with the Separation. The exchange rights with respect to the Interests are exercisable at any time for shares of Class A Common Stock on a one-for-one basis (subject to adjustment).

F4 · derivative.underlying: On December 13, 2017, the reporting person acquired from Newmark Holdings, L.P. ("Newmark Holdings") an aggregate of 473,073 exchangeable limited partnership interests in Newmark Holdings (the "Interests") in connection with the Separation. The exchange rights with respect to the Interests are exercisable at any time for shares of Class A Common Stock on a one-for-one basis (subject to adjustment).

F4 · derivative.underlying_shares: On December 13, 2017, the reporting person acquired from Newmark Holdings, L.P. ("Newmark Holdings") an aggregate of 473,073 exchangeable limited partnership interests in Newmark Holdings (the "Interests") in connection with the Separation. The exchange rights with respect to the Interests are exercisable at any time for shares of Class A Common Stock on a one-for-one basis (subject to adjustment).

F4 · balance_after: On December 13, 2017, the reporting person acquired from Newmark Holdings, L.P. ("Newmark Holdings") an aggregate of 473,073 exchangeable limited partnership interests in Newmark Holdings (the "Interests") in connection with the Separation. The exchange rights with respect to the Interests are exercisable at any time for shares of Class A Common Stock on a one-for-one basis (subject to adjustment).

SEC source: 0001437749-17-021056 · rdgdoc.xml · nonDerivative · entry 3

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnotes

Disclosed balance after: 15,840,049

F3 · shares: On December 13, 2017, BGC acquired from Newmark an aggregate of 115,543,830 shares of Class A common stock, par value $0.01 per share ("Class A common stock"), of Newmark and 15,840,049 shares of Class B common stock, par value $0.01 per share ("Class B common stock"), of Newmark in connection with the Separation. 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: On December 13, 2017, BGC acquired from Newmark an aggregate of 115,543,830 shares of Class A common stock, par value $0.01 per share ("Class A common stock"), of Newmark and 15,840,049 shares of Class B common stock, par value $0.01 per share ("Class B common stock"), of Newmark in connection with the Separation. Shares of Class B common stock are convertible at any time on a one-for-one basis into shares of Class A common stock.

F2 · ownership.nature: The reporting person 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 reporting person 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.

F3 · ownership.nature: On December 13, 2017, BGC acquired from Newmark an aggregate of 115,543,830 shares of Class A common stock, par value $0.01 per share ("Class A common stock"), of Newmark and 15,840,049 shares of Class B common stock, par value $0.01 per share ("Class B common stock"), of Newmark in connection with the Separation. Shares of Class B common stock are convertible at any time on a one-for-one basis into shares of Class A common stock.

SEC source: 0001437749-17-021056 · rdgdoc.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnotes

Disclosed balance after: 115,543,380

F3 · shares: On December 13, 2017, BGC acquired from Newmark an aggregate of 115,543,830 shares of Class A common stock, par value $0.01 per share ("Class A common stock"), of Newmark and 15,840,049 shares of Class B common stock, par value $0.01 per share ("Class B common stock"), of Newmark in connection with the Separation. 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: On December 13, 2017, BGC acquired from Newmark an aggregate of 115,543,830 shares of Class A common stock, par value $0.01 per share ("Class A common stock"), of Newmark and 15,840,049 shares of Class B common stock, par value $0.01 per share ("Class B common stock"), of Newmark in connection with the Separation. Shares of Class B common stock are convertible at any time on a one-for-one basis into shares of Class A common stock.

F2 · ownership.nature: The reporting person 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 reporting person 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.

F3 · ownership.nature: On December 13, 2017, BGC acquired from Newmark an aggregate of 115,543,830 shares of Class A common stock, par value $0.01 per share ("Class A common stock"), of Newmark and 15,840,049 shares of Class B common stock, par value $0.01 per share ("Class B common stock"), of Newmark in connection with the Separation. Shares of Class B common stock are convertible at any time on a one-for-one basis into shares of Class A common stock.

SEC source: 0001437749-17-021056 · 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: 0

F1 · shares: The 100 shares of common stock of Newmark Group, Inc. ("Newmark") were acquired by BGC Partners, Inc. ("BGC") on November 22, 2016 in connection with the formation of Newmark. All such shares were disposed of on December 13, 2017 in a recapitalization in connection with the separation of the Newmark business from the remainder of the businesses held by BGC and its subsidiaries (the "Separation"). 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 and the reporting person is the President and Chief Executive Officer and sole stockholder of CFGM.

F1 · price: The 100 shares of common stock of Newmark Group, Inc. ("Newmark") were acquired by BGC Partners, Inc. ("BGC") on November 22, 2016 in connection with the formation of Newmark. All such shares were disposed of on December 13, 2017 in a recapitalization in connection with the separation of the Newmark business from the remainder of the businesses held by BGC and its subsidiaries (the "Separation"). 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 and the reporting person is the President and Chief Executive Officer and sole stockholder of CFGM.

F1 · ownership.nature: The 100 shares of common stock of Newmark Group, Inc. ("Newmark") were acquired by BGC Partners, Inc. ("BGC") on November 22, 2016 in connection with the formation of Newmark. All such shares were disposed of on December 13, 2017 in a recapitalization in connection with the separation of the Newmark business from the remainder of the businesses held by BGC and its subsidiaries (the "Separation"). 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 and the reporting person is the President and Chief Executive Officer and sole stockholder of CFGM.

F2 · ownership.nature: The reporting person 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 reporting person 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: 0001437749-17-021055 · rdgdoc.xml · derivative · entry 4

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnotes

Disclosed balance after: 23,801,347

Underlying: Class A or Class B common stock, par value $0.01 per share · 23,801,347 shares

Expires not disclosed

F4 · security: On December 13, 2017, CFLP acquired from Newmark Holdings, L.P. ("Newmark Holdings") an aggregate of 23,801,347 exchangeable limited partnership interests in Newmark Holdings (the "Interests") in connection with the Separation. 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) on a one-for-one basis (subject to adjustment).

F4 · derivative.exercise_price: On December 13, 2017, CFLP acquired from Newmark Holdings, L.P. ("Newmark Holdings") an aggregate of 23,801,347 exchangeable limited partnership interests in Newmark Holdings (the "Interests") in connection with the Separation. 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) on a one-for-one basis (subject to adjustment).

F4 · kind: On December 13, 2017, CFLP acquired from Newmark Holdings, L.P. ("Newmark Holdings") an aggregate of 23,801,347 exchangeable limited partnership interests in Newmark Holdings (the "Interests") in connection with the Separation. 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) on a one-for-one basis (subject to adjustment).

F4 · shares: On December 13, 2017, CFLP acquired from Newmark Holdings, L.P. ("Newmark Holdings") an aggregate of 23,801,347 exchangeable limited partnership interests in Newmark Holdings (the "Interests") in connection with the Separation. 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) on a one-for-one basis (subject to adjustment).

F4 · price: On December 13, 2017, CFLP acquired from Newmark Holdings, L.P. ("Newmark Holdings") an aggregate of 23,801,347 exchangeable limited partnership interests in Newmark Holdings (the "Interests") in connection with the Separation. 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) on a one-for-one basis (subject to adjustment).

F4 · derivative.exercise_date: On December 13, 2017, CFLP acquired from Newmark Holdings, L.P. ("Newmark Holdings") an aggregate of 23,801,347 exchangeable limited partnership interests in Newmark Holdings (the "Interests") in connection with the Separation. 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) on a one-for-one basis (subject to adjustment).

F4 · derivative.expiration_date: On December 13, 2017, CFLP acquired from Newmark Holdings, L.P. ("Newmark Holdings") an aggregate of 23,801,347 exchangeable limited partnership interests in Newmark Holdings (the "Interests") in connection with the Separation. 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) on a one-for-one basis (subject to adjustment).

F4 · derivative.underlying: On December 13, 2017, CFLP acquired from Newmark Holdings, L.P. ("Newmark Holdings") an aggregate of 23,801,347 exchangeable limited partnership interests in Newmark Holdings (the "Interests") in connection with the Separation. 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) on a one-for-one basis (subject to adjustment).

F4 · derivative.underlying_shares: On December 13, 2017, CFLP acquired from Newmark Holdings, L.P. ("Newmark Holdings") an aggregate of 23,801,347 exchangeable limited partnership interests in Newmark Holdings (the "Interests") in connection with the Separation. 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) on a one-for-one basis (subject to adjustment).

F4 · balance_after: On December 13, 2017, CFLP acquired from Newmark Holdings, L.P. ("Newmark Holdings") an aggregate of 23,801,347 exchangeable limited partnership interests in Newmark Holdings (the "Interests") in connection with the Separation. 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) on a one-for-one basis (subject to adjustment).

F2 · ownership.nature: 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.

F4 · ownership.nature: On December 13, 2017, CFLP acquired from Newmark Holdings, L.P. ("Newmark Holdings") an aggregate of 23,801,347 exchangeable limited partnership interests in Newmark Holdings (the "Interests") in connection with the Separation. 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) on a one-for-one basis (subject to adjustment).

SEC source: 0001437749-17-021055 · rdgdoc.xml · nonDerivative · entry 3

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnotes

Disclosed balance after: 15,840,049

F3 · shares: On December 13, 2017, BGC acquired from Newmark an aggregate of 115,543,830 shares of Class A common stock, par value $0.01 per share ("Class A common stock"), of Newmark and 15,840,049 shares of Class B common stock, par value $0.01 per share ("Class B common stock"), of Newmark in connection with the Separation. 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: On December 13, 2017, BGC acquired from Newmark an aggregate of 115,543,830 shares of Class A common stock, par value $0.01 per share ("Class A common stock"), of Newmark and 15,840,049 shares of Class B common stock, par value $0.01 per share ("Class B common stock"), of Newmark in connection with the Separation. Shares of Class B common stock are convertible at any time on a one-for-one basis into shares of Class A common stock.

F2 · ownership.nature: 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.

F3 · ownership.nature: On December 13, 2017, BGC acquired from Newmark an aggregate of 115,543,830 shares of Class A common stock, par value $0.01 per share ("Class A common stock"), of Newmark and 15,840,049 shares of Class B common stock, par value $0.01 per share ("Class B common stock"), of Newmark in connection with the Separation. Shares of Class B common stock are convertible at any time on a one-for-one basis into shares of Class A common stock.

SEC source: 0001437749-17-021055 · rdgdoc.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnotes

Disclosed balance after: 115,543,380

F3 · shares: On December 13, 2017, BGC acquired from Newmark an aggregate of 115,543,830 shares of Class A common stock, par value $0.01 per share ("Class A common stock"), of Newmark and 15,840,049 shares of Class B common stock, par value $0.01 per share ("Class B common stock"), of Newmark in connection with the Separation. 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: On December 13, 2017, BGC acquired from Newmark an aggregate of 115,543,830 shares of Class A common stock, par value $0.01 per share ("Class A common stock"), of Newmark and 15,840,049 shares of Class B common stock, par value $0.01 per share ("Class B common stock"), of Newmark in connection with the Separation. Shares of Class B common stock are convertible at any time on a one-for-one basis into shares of Class A common stock.

F2 · ownership.nature: 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.

F3 · ownership.nature: On December 13, 2017, BGC acquired from Newmark an aggregate of 115,543,830 shares of Class A common stock, par value $0.01 per share ("Class A common stock"), of Newmark and 15,840,049 shares of Class B common stock, par value $0.01 per share ("Class B common stock"), of Newmark in connection with the Separation. Shares of Class B common stock are convertible at any time on a one-for-one basis into shares of Class A common stock.

SEC source: 0001437749-17-021055 · rdgdoc.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnotes

Disclosed balance after: 0

F1 · shares: The 100 shares of common stock of Newmark Group, Inc. ("Newmark") were acquired by BGC Partners, Inc. ("BGC") on November 22, 2016 in connection with the formation of Newmark. All such shares were disposed of on December 13, 2017 in a recapitalization in connection with the separation of the Newmark business from the remainder of the businesses held by BGC and its subsidiaries (the "Separation"). 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.

F1 · price: The 100 shares of common stock of Newmark Group, Inc. ("Newmark") were acquired by BGC Partners, Inc. ("BGC") on November 22, 2016 in connection with the formation of Newmark. All such shares were disposed of on December 13, 2017 in a recapitalization in connection with the separation of the Newmark business from the remainder of the businesses held by BGC and its subsidiaries (the "Separation"). 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.

F1 · ownership.nature: The 100 shares of common stock of Newmark Group, Inc. ("Newmark") were acquired by BGC Partners, Inc. ("BGC") on November 22, 2016 in connection with the formation of Newmark. All such shares were disposed of on December 13, 2017 in a recapitalization in connection with the separation of the Newmark business from the remainder of the businesses held by BGC and its subsidiaries (the "Separation"). 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.

F2 · ownership.nature: 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.