LUTNICK HOWARD W

SEC source: 0000899243-21-012541 · doc4.xml · nonDerivative · entry 1

CF Acquisition Holdings VIII, LLC · CIK 0001844470 · 10% owner

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

CF GROUP MANAGEMENT INC · CIK 0001251145 · 10% owner

LUTNICK HOWARD W · CIK 0001250975 · Director · Chief Executive Officer · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 540,000

F1 · shares: These shares are underlying units (each unit consisting of one share of Class A common stock and one-fourth of one warrant, each whole warrant exercisable to purchase one share of Class A common stock) held by CFAC Holdings VIII, LLC (the "Sponsor") acquired pursuant to a private placement units purchase agreement by and between the Sponsor and the issuer. Does not include shares to be purchased pursuant to that certain forward purchase contract between the issuer and the Sponsor.

F4 · ownership.direct: The Sponsor is the record holder of the shares reported herein. Cantor Fitzgerald, L.P. ("Cantor") is the sole member of the Sponsor. CF Group Management, Inc. ("CFGM") is the managing general partner of Cantor. Mr. Lutnick, the issuer's Chairman and Chief Executive Officer, is the trustee of the sole stockholder, of CFGM. As such, each of Cantor, CFGM and Mr. Lutnick may be deemed to have beneficial ownership of the securities directly held by the Sponsor. Each such entity or person disclaims any beneficial ownership of the reported shares other than to the extent of any pecuniary interest they may have therein, directly or indirectly.

SEC source: 0001213900-21-014610 · ownership.xml · derivative · entry 5

CF Finance Holdings II, LLC · CIK 0001811785 · Former 10% holder

CANTOR FITZGERALD, L. P. · CIK 0001024896 · Former 10% holder

CF GROUP MANAGEMENT INC · CIK 0001251145 · Former 10% holder

LUTNICK HOWARD W · CIK 0001250975 · Former 10% holder

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 366,667

Underlying: Class A Common Stock · 366,667 shares

Expires 2026-03-08

F5 · kind: These warrants represent warrants issued to the Sponsor upon separation of the private units previously purchased by the Sponsor from the issuer in August 2020. The Sponsor acquired the private units for a purchase price of $10.00 per unit in a private placement that consummated in connection with the issuer's initial public offering. The warrants became eligible for exercise 30 days following the consummation of the issuer's business combination with View, Inc. Because the exercise of the warrants was contingent upon the closing of the issuer's initial business combination, these warrants were not reported at the time of acquisition. The acquisition is being reported now in connection with the consummation of the issuer's business combination with View, Inc.

F5 · price: These warrants represent warrants issued to the Sponsor upon separation of the private units previously purchased by the Sponsor from the issuer in August 2020. The Sponsor acquired the private units for a purchase price of $10.00 per unit in a private placement that consummated in connection with the issuer's initial public offering. The warrants became eligible for exercise 30 days following the consummation of the issuer's business combination with View, Inc. Because the exercise of the warrants was contingent upon the closing of the issuer's initial business combination, these warrants were not reported at the time of acquisition. The acquisition is being reported now in connection with the consummation of the issuer's business combination with View, Inc.

F3 · ownership.direct: The Sponsor is the record holder of the securities reported herein. Cantor Fitzgerald, L.P. ("Cantor") is the sole member of the Sponsor. CF Group Management, Inc. ("CFGM") is the managing general partner of Cantor. Mr. Lutnick is the trustee of the sole stockholder of CFGM. As such, each of Cantor, CFGM and Mr. Lutnick may be deemed to have beneficial ownership of the securities directly held by the Sponsor. Each such entity or person disclaims any beneficial ownership of the reported shares other than to the extent of any pecuniary interest they may have therein, directly or indirectly.

SEC source: 0001213900-21-014610 · ownership.xml · derivative · entry 4

CF Finance Holdings II, LLC · CIK 0001811785 · Former 10% holder

CANTOR FITZGERALD, L. P. · CIK 0001024896 · Former 10% holder

CF GROUP MANAGEMENT INC · CIK 0001251145 · Former 10% holder

LUTNICK HOWARD W · CIK 0001250975 · Former 10% holder

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,470,000

Underlying: Class A Common Stock · 12,470,000 shares

Expires not disclosed

F2 · derivative.exercise_price: As described in the issuer's registration statement on Form S-1 (File No. 333-241727) under the heading "Description of Securities--Founder Shares", upon consummation of the issuer's initial business combination and waiver of the Sponsor's anti-dilution rights in connection with the conversion, the shares of Class B common stock converted into shares of Class A common stock on a one-for-one basis.

F2 · kind: As described in the issuer's registration statement on Form S-1 (File No. 333-241727) under the heading "Description of Securities--Founder Shares", upon consummation of the issuer's initial business combination and waiver of the Sponsor's anti-dilution rights in connection with the conversion, the shares of Class B common stock converted into shares of Class A common stock on a one-for-one basis.

F2 · derivative.exercise_date: As described in the issuer's registration statement on Form S-1 (File No. 333-241727) under the heading "Description of Securities--Founder Shares", upon consummation of the issuer's initial business combination and waiver of the Sponsor's anti-dilution rights in connection with the conversion, the shares of Class B common stock converted into shares of Class A common stock on a one-for-one basis.

F2 · derivative.expiration_date: As described in the issuer's registration statement on Form S-1 (File No. 333-241727) under the heading "Description of Securities--Founder Shares", upon consummation of the issuer's initial business combination and waiver of the Sponsor's anti-dilution rights in connection with the conversion, the shares of Class B common stock converted into shares of Class A common stock on a one-for-one basis.

F3 · ownership.direct: The Sponsor is the record holder of the securities reported herein. Cantor Fitzgerald, L.P. ("Cantor") is the sole member of the Sponsor. CF Group Management, Inc. ("CFGM") is the managing general partner of Cantor. Mr. Lutnick is the trustee of the sole stockholder of CFGM. As such, each of Cantor, CFGM and Mr. Lutnick may be deemed to have beneficial ownership of the securities directly held by the Sponsor. Each such entity or person disclaims any beneficial ownership of the reported shares other than to the extent of any pecuniary interest they may have therein, directly or indirectly.

SEC source: 0001213900-21-014610 · ownership.xml · nonDerivative · entry 3

CF Finance Holdings II, LLC · CIK 0001811785 · Former 10% holder

CANTOR FITZGERALD, L. P. · CIK 0001024896 · Former 10% holder

CF GROUP MANAGEMENT INC · CIK 0001251145 · Former 10% holder

LUTNICK HOWARD W · CIK 0001250975 · Former 10% holder

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 18,570,000

F4 · timeliness: These shares represent shares of Class A common stock issued to the Sponsor upon separation of the private units previously purchased by the Sponsor from the issuer in August 2020. The Sponsor acquired the private units for a purchase price of $10.00 per unit in a private placement that consummated in connection with the issuer's initial public offering.

F4 · price: These shares represent shares of Class A common stock issued to the Sponsor upon separation of the private units previously purchased by the Sponsor from the issuer in August 2020. The Sponsor acquired the private units for a purchase price of $10.00 per unit in a private placement that consummated in connection with the issuer's initial public offering.

F3 · ownership.direct: The Sponsor is the record holder of the securities reported herein. Cantor Fitzgerald, L.P. ("Cantor") is the sole member of the Sponsor. CF Group Management, Inc. ("CFGM") is the managing general partner of Cantor. Mr. Lutnick is the trustee of the sole stockholder of CFGM. As such, each of Cantor, CFGM and Mr. Lutnick may be deemed to have beneficial ownership of the securities directly held by the Sponsor. Each such entity or person disclaims any beneficial ownership of the reported shares other than to the extent of any pecuniary interest they may have therein, directly or indirectly.

SEC source: 0001213900-21-014610 · ownership.xml · nonDerivative · entry 2

CF Finance Holdings II, LLC · CIK 0001811785 · Former 10% holder

CANTOR FITZGERALD, L. P. · CIK 0001024896 · Former 10% holder

CF GROUP MANAGEMENT INC · CIK 0001251145 · Former 10% holder

LUTNICK HOWARD W · CIK 0001250975 · Former 10% holder

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 17,470,000

F2 · timeliness: As described in the issuer's registration statement on Form S-1 (File No. 333-241727) under the heading "Description of Securities--Founder Shares", upon consummation of the issuer's initial business combination and waiver of the Sponsor's anti-dilution rights in connection with the conversion, the shares of Class B common stock converted into shares of Class A common stock on a one-for-one basis.

F2 · price: As described in the issuer's registration statement on Form S-1 (File No. 333-241727) under the heading "Description of Securities--Founder Shares", upon consummation of the issuer's initial business combination and waiver of the Sponsor's anti-dilution rights in connection with the conversion, the shares of Class B common stock converted into shares of Class A common stock on a one-for-one basis.

F3 · ownership.direct: The Sponsor is the record holder of the securities reported herein. Cantor Fitzgerald, L.P. ("Cantor") is the sole member of the Sponsor. CF Group Management, Inc. ("CFGM") is the managing general partner of Cantor. Mr. Lutnick is the trustee of the sole stockholder of CFGM. As such, each of Cantor, CFGM and Mr. Lutnick may be deemed to have beneficial ownership of the securities directly held by the Sponsor. Each such entity or person disclaims any beneficial ownership of the reported shares other than to the extent of any pecuniary interest they may have therein, directly or indirectly.

SEC source: 0001213900-21-014610 · ownership.xml · nonDerivative · entry 1

CF Finance Holdings II, LLC · CIK 0001811785 · Former 10% holder

CANTOR FITZGERALD, L. P. · CIK 0001024896 · Former 10% holder

CF GROUP MANAGEMENT INC · CIK 0001251145 · Former 10% holder

LUTNICK HOWARD W · CIK 0001250975 · Former 10% holder

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,000,000

F1 · price: Pursuant to that certain Subscription Agreement, dated November 30, 2020, by and between the issuer and CF Finance Holdings II, LLC (the "Sponsor"), the Sponsor purchased an aggregate of 5,000,000 shares of Class A common stock of the issuer on March 8, 2021 in a private placement that consummated in connection with the issuer's initial business combination with View, Inc.

F3 · ownership.direct: The Sponsor is the record holder of the securities reported herein. Cantor Fitzgerald, L.P. ("Cantor") is the sole member of the Sponsor. CF Group Management, Inc. ("CFGM") is the managing general partner of Cantor. Mr. Lutnick is the trustee of the sole stockholder of CFGM. As such, each of Cantor, CFGM and Mr. Lutnick may be deemed to have beneficial ownership of the securities directly held by the Sponsor. Each such entity or person disclaims any beneficial ownership of the reported shares other than to the extent of any pecuniary interest they may have therein, directly or indirectly.

SEC source: 0001213900-21-011610 · ownership.xml · derivative · entry 2

CFAC Holdings VI, LLC · CIK 0001830079 · 10% owner

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

CF GROUP MANAGEMENT INC · CIK 0001251145 · 10% owner

LUTNICK HOWARD W · CIK 0001250975 · Director · Chief Executive Officer · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,480,000

Underlying: Class A Common Stock · 1,125,000 shares

Expires not disclosed

F2 · derivative.exercise_price: As described in the issuer's registration statement on Form S-1 (File No. 333-252598) under the heading "Description of Securities--Founder Shares", the shares of Class B common stock will automatically convert into shares of Class A common stock at the time of the issuer's initial business combination on a one-for-one basis, subject to adjustment for stock splits, stock dividends, reorganizations, recapitalizations and the like, and certain anti-dilution rights.

F3 · kind: As contemplated in connection with the initial public offering of the issuer, 1,125,000 shares of Class B common stock were returned by the Sponsor to the issuer for no consideration and cancelled because the underwriters' over-allotment option was not exercised at all.

F2 · derivative.exercise_date: As described in the issuer's registration statement on Form S-1 (File No. 333-252598) under the heading "Description of Securities--Founder Shares", the shares of Class B common stock will automatically convert into shares of Class A common stock at the time of the issuer's initial business combination on a one-for-one basis, subject to adjustment for stock splits, stock dividends, reorganizations, recapitalizations and the like, and certain anti-dilution rights.

F2 · derivative.expiration_date: As described in the issuer's registration statement on Form S-1 (File No. 333-252598) under the heading "Description of Securities--Founder Shares", the shares of Class B common stock will automatically convert into shares of Class A common stock at the time of the issuer's initial business combination on a one-for-one basis, subject to adjustment for stock splits, stock dividends, reorganizations, recapitalizations and the like, and certain anti-dilution rights.

F4 · balance_after: The Sponsor is the record holder of the shares reported herein. Cantor Fitzgerald, L.P. ("Cantor") is the sole member of the Sponsor. CF Group Management, Inc. ("CFGM") is the managing general partner of Cantor. Mr. Lutnick, the issuer's Chairman and Chief Executive Officer, is the trustee of the sole stockholder, of CFGM. As such, each of Cantor, CFGM and Mr. Lutnick may be deemed to have beneficial ownership of the securities directly held by the Sponsor. Each such entity or person disclaims any beneficial ownership of the reported shares other than to the extent of any pecuniary interest they may have therein, directly or indirectly.

SEC source: 0001213900-21-011610 · ownership.xml · nonDerivative · entry 1

CFAC Holdings VI, LLC · CIK 0001830079 · 10% owner

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

CF GROUP MANAGEMENT INC · CIK 0001251145 · 10% owner

LUTNICK HOWARD W · CIK 0001250975 · Director · Chief Executive Officer · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 700,000

F1 · shares: These shares are underlying units (each unit consisting of one share of Class A common stock and one-fourth of one warrant, each whole warrant exercisable to purchase one share of Class A common stock) held by CFAC Holdings VI, LLC (the "Sponsor") acquired pursuant to a private placement units purchase agreement by and between the Sponsor and the issuer. Does not include shares to be purchased pursuant to that certain forward purchase contract between the issuer and the Sponsor.

F4 · ownership.direct: The Sponsor is the record holder of the shares reported herein. Cantor Fitzgerald, L.P. ("Cantor") is the sole member of the Sponsor. CF Group Management, Inc. ("CFGM") is the managing general partner of Cantor. Mr. Lutnick, the issuer's Chairman and Chief Executive Officer, is the trustee of the sole stockholder, of CFGM. As such, each of Cantor, CFGM and Mr. Lutnick may be deemed to have beneficial ownership of the securities directly held by the Sponsor. Each such entity or person disclaims any beneficial ownership of the reported shares other than to the extent of any pecuniary interest they may have therein, directly or indirectly.

SEC source: 0001140361-21-003465 · form4.xml · derivative · entry 2

CFAC Holdings V, LLC · CIK 0001828762 · 10% owner

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

CF GROUP MANAGEMENT INC · CIK 0001251145 · 10% owner

LUTNICK HOWARD W · CIK 0001250975 · Director · Chief Executive Officer · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,230,000

Underlying: Class A Common Stock · 937,500 shares

Expires not disclosed

F2 · derivative.exercise_price: As described in the issuer's registration statement on Form S-1 (File No. 333-251971) under the heading "Description of Securities--Founder Shares", the shares of Class B common stock will automatically convert into shares of Class A common stock at the time of the issuer's initial business combination on a one-for-one basis, subject to adjustment for stock splits, stock dividends, reorganizations, recapitalizations and the like, and certain anti-dilution rights.

F3 · kind: As contemplated in connection with the initial public offering of the issuer, 937,500 shares of Class B common stock were returned by the Sponsor to the issuer for no consideration and cancelled because the underwriters' over-allotment option was not exercised at all.

F2 · derivative.exercise_date: As described in the issuer's registration statement on Form S-1 (File No. 333-251971) under the heading "Description of Securities--Founder Shares", the shares of Class B common stock will automatically convert into shares of Class A common stock at the time of the issuer's initial business combination on a one-for-one basis, subject to adjustment for stock splits, stock dividends, reorganizations, recapitalizations and the like, and certain anti-dilution rights.

F2 · derivative.expiration_date: As described in the issuer's registration statement on Form S-1 (File No. 333-251971) under the heading "Description of Securities--Founder Shares", the shares of Class B common stock will automatically convert into shares of Class A common stock at the time of the issuer's initial business combination on a one-for-one basis, subject to adjustment for stock splits, stock dividends, reorganizations, recapitalizations and the like, and certain anti-dilution rights.

F4 · balance_after: The Sponsor is the record holder of the shares reported herein. Cantor Fitzgerald, L.P. ("Cantor") is the sole member of the Sponsor. CF Group Management, Inc. ("CFGM") is the managing general partner of Cantor. Mr. Lutnick, the issuer's Chairman and Chief Executive Officer, is the trustee of the sole stockholder, of CFGM. As such, each of Cantor, CFGM and Mr. Lutnick may be deemed to have beneficial ownership of the securities directly held by the Sponsor. Each such entity or person disclaims any beneficial ownership of the reported shares other than to the extent of any pecuniary interest they may have therein, directly or indirectly.

SEC source: 0001140361-20-029973 · form4.xml · derivative · entry 2

CFAC HOLDINGS IV, LLC · CIK 0001825244 · 10% owner

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

CF GROUP MANAGEMENT INC · CIK 0001251145 · 10% owner

LUTNICK HOWARD W · CIK 0001250975 · Director · Chief Executive Officer · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,466,250

Underlying: Class A Common Stock · 437,500 shares

Expires not disclosed

F1 · derivative.exercise_price: As described in the issuer's registration statement on Form S-1 (File No. 333-251184) under the heading "Description of Securities--Founder Shares", the shares of Class B common stock will automatically convert into shares of Class A common stock at the time of the issuer's initial business combination on a one-for-one basis, subject to adjustment for stock splits, stock dividends, reorganizations, recapitalizations and the like, and certain anti-dilution rights.

F2 · kind: As contemplated in connection with the initial public offering of the issuer, 437,500 shares of Class B common stock were returned by CFAC Holdings IV, LLC (the "Sponsor") to the issuer for no consideration and cancelled because the underwriters' over-allotment option was partially exercised and the remaining portion of the option would not be exercised by the underwriters.

F1 · derivative.exercise_date: As described in the issuer's registration statement on Form S-1 (File No. 333-251184) under the heading "Description of Securities--Founder Shares", the shares of Class B common stock will automatically convert into shares of Class A common stock at the time of the issuer's initial business combination on a one-for-one basis, subject to adjustment for stock splits, stock dividends, reorganizations, recapitalizations and the like, and certain anti-dilution rights.

F1 · derivative.expiration_date: As described in the issuer's registration statement on Form S-1 (File No. 333-251184) under the heading "Description of Securities--Founder Shares", the shares of Class B common stock will automatically convert into shares of Class A common stock at the time of the issuer's initial business combination on a one-for-one basis, subject to adjustment for stock splits, stock dividends, reorganizations, recapitalizations and the like, and certain anti-dilution rights.

F3 · balance_after: The Sponsor is the record holder of the shares reported herein. Cantor Fitzgerald, L.P. ("Cantor") is the sole member of the Sponsor. CF Group Management, Inc. ("CFGM") is the managing general partner of Cantor. Mr. Lutnick, the issuer's Chairman and Chief Executive Officer, is the trustee of the sole stockholder, of CFGM. As such, each of Cantor, CFGM and Mr. Lutnick may be deemed to have beneficial ownership of the securities directly held by the Sponsor. Each such entity or person disclaims any beneficial ownership of the reported shares other than to the extent of any pecuniary interest they may have therein, directly or indirectly.

SEC source: 0001140361-20-029973 · form4.xml · nonDerivative · entry 1

CFAC HOLDINGS IV, LLC · CIK 0001825244 · 10% owner

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

CF GROUP MANAGEMENT INC · CIK 0001251145 · 10% owner

LUTNICK HOWARD W · CIK 0001250975 · Director · Chief Executive Officer · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,000,000

F4 · shares: These shares are underlying units (each unit consisting of one share of Class A common stock and one-third of one warrant, each whole warrant exercisable to purchase one share of Class A common stock) held by the Sponsor acquired pursuant to a private placement units purchase agreement by and between the Sponsor and the issuer. Does not include shares to be purchased pursuant to that certain forward purchase contract between the issuer and the Sponsor.

F3 · ownership.direct: The Sponsor is the record holder of the shares reported herein. Cantor Fitzgerald, L.P. ("Cantor") is the sole member of the Sponsor. CF Group Management, Inc. ("CFGM") is the managing general partner of Cantor. Mr. Lutnick, the issuer's Chairman and Chief Executive Officer, is the trustee of the sole stockholder, of CFGM. As such, each of Cantor, CFGM and Mr. Lutnick may be deemed to have beneficial ownership of the securities directly held by the Sponsor. Each such entity or person disclaims any beneficial ownership of the reported shares other than to the extent of any pecuniary interest they may have therein, directly or indirectly.

SEC source: 0001213900-20-042549 · ownership.xml · derivative · entry 1

CF Finance Holdings II, LLC · CIK 0001811785 · Director · Chief Executive Officer · 10% owner

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

CF GROUP MANAGEMENT INC · CIK 0001251145 · Director · Chief Executive Officer · 10% owner

LUTNICK HOWARD W · CIK 0001250975 · Director · Chief Executive Officer · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 12,470,000

Underlying: Class A Common Stock · 10,000 shares

Expires not disclosed

F1 · derivative.exercise_price: As described in the issuer's registration statement on Form S-1 (File No. 333-241727) under the heading "Description of Securities--Founder Shares", the shares of Class B common stock will automatically convert into shares of Class A common stock at the time of the issuer's initial business combination on a one-for-one basis, subject to adjustment for stock splits, stock dividends, reorganizations, recapitalizations and the like, and certain anti-dilution rights.

F2 · kind: As contemplated in connection with the election of Charlotte Blechman as director of the issuer, 10,000 shares of Class B common stock were transferred by CF Finance Holdings II, LLC (the "Sponsor") to Ms. Blechman.

F1 · derivative.exercise_date: As described in the issuer's registration statement on Form S-1 (File No. 333-241727) under the heading "Description of Securities--Founder Shares", the shares of Class B common stock will automatically convert into shares of Class A common stock at the time of the issuer's initial business combination on a one-for-one basis, subject to adjustment for stock splits, stock dividends, reorganizations, recapitalizations and the like, and certain anti-dilution rights.

F1 · derivative.expiration_date: As described in the issuer's registration statement on Form S-1 (File No. 333-241727) under the heading "Description of Securities--Founder Shares", the shares of Class B common stock will automatically convert into shares of Class A common stock at the time of the issuer's initial business combination on a one-for-one basis, subject to adjustment for stock splits, stock dividends, reorganizations, recapitalizations and the like, and certain anti-dilution rights.

F3 · ownership.nature: The Sponsor is the record holder of the shares reported herein. Cantor Fitzgerald, L.P. ("Cantor") is the sole member of the Sponsor. CF Group Management, Inc. ("CFGM") is the managing general partner of Cantor. Mr. Lutnick, the issuer's Chairman and Chief Executive Officer, is the trustee of the sole stockholder of CFGM. As such, each of Cantor, CFGM and Mr. Lutnick may be deemed to have beneficial ownership of the securities directly held by the Sponsor. Each such entity or person disclaims any beneficial ownership of the reported shares other than to the extent of any pecuniary interest they may have therein, directly or indirectly.

SEC source: 0001213900-20-038235 · ownership.xml · derivative · entry 2

CF Finance Holdings LLC · CIK 0001761061 · 10% owner

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

CF GROUP MANAGEMENT INC · CIK 0001251145 · 10% owner

LUTNICK HOWARD W · CIK 0001250975 · Director · CEO

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 0

Underlying: Class A Common Stock · 7,054,603 shares

Expires not disclosed

F1 · derivative.exercise_price: As described in the issuer's registration statement on Form S-1 (File No. 333-228420) under the heading "Description of Securities--Founder Shares", the shares of Class B common stock automatically convert into shares of Class A common stock at the time of the issuer's initial business combination, or earlier at the option of the holder, on a one-for-one basis, subject to adjustment for stock splits, stock dividends, reorganizations, recapitalizations and the like, and certain anti-dilution rights.

F2 · kind: Pursuant to a business combination between the issuer and GCM Grosvenor Inc., these shares were converted into shares of GCM Grosvenor Inc. on the effective date of the business combination

F1 · derivative.exercise_date: As described in the issuer's registration statement on Form S-1 (File No. 333-228420) under the heading "Description of Securities--Founder Shares", the shares of Class B common stock automatically convert into shares of Class A common stock at the time of the issuer's initial business combination, or earlier at the option of the holder, on a one-for-one basis, subject to adjustment for stock splits, stock dividends, reorganizations, recapitalizations and the like, and certain anti-dilution rights.

F1 · derivative.expiration_date: As described in the issuer's registration statement on Form S-1 (File No. 333-228420) under the heading "Description of Securities--Founder Shares", the shares of Class B common stock automatically convert into shares of Class A common stock at the time of the issuer's initial business combination, or earlier at the option of the holder, on a one-for-one basis, subject to adjustment for stock splits, stock dividends, reorganizations, recapitalizations and the like, and certain anti-dilution rights.

F3 · ownership.nature: The Sponsor is the record holder of the securities reported herein. Cantor Fitzgerald, L.P. ("Cantor") is the sole member of the Sponsor. CF Group Management, Inc. is the managing general partner of Cantor. Mr. Lutnick is Chairman and Chief Executive of CF Group Management, Inc. ("CFGM") and trustee of CFGM's sole stockholder. As such, each of Cantor, CFGM and Mr. Lutnick may be deemed to have beneficial ownership of the securities directly held by the Sponsor. Each such entity or person disclaims any beneficial ownership of the reported shares other than to the extent of any pecuniary interest they may have therein, directly or indirectly.

SEC source: 0001213900-20-038235 · ownership.xml · nonDerivative · entry 1

CF Finance Holdings LLC · CIK 0001761061 · 10% owner

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

CF GROUP MANAGEMENT INC · CIK 0001251145 · 10% owner

LUTNICK HOWARD W · CIK 0001250975 · Director · CEO

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 0

F2 · price: Pursuant to a business combination between the issuer and GCM Grosvenor Inc., these shares were converted into shares of GCM Grosvenor Inc. on the effective date of the business combination

F3 · ownership.nature: The Sponsor is the record holder of the securities reported herein. Cantor Fitzgerald, L.P. ("Cantor") is the sole member of the Sponsor. CF Group Management, Inc. is the managing general partner of Cantor. Mr. Lutnick is Chairman and Chief Executive of CF Group Management, Inc. ("CFGM") and trustee of CFGM's sole stockholder. As such, each of Cantor, CFGM and Mr. Lutnick may be deemed to have beneficial ownership of the securities directly held by the Sponsor. Each such entity or person disclaims any beneficial ownership of the reported shares other than to the extent of any pecuniary interest they may have therein, directly or indirectly.

SEC source: 0001213900-20-031319 · ownership.xml · derivative · entry 1

CF Finance Holdings II, LLC · CIK 0001811785 · Director · Chief Executive Officer · 10% owner

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

CF GROUP MANAGEMENT INC · CIK 0001251145 · 10% owner

LUTNICK HOWARD W · CIK 0001250975 · Director · Chief Executive Officer · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 12,480,000

Underlying: Class A Common Stock · 1,875,000 shares

Expires not disclosed

F1 · derivative.exercise_price: As described in the issuer's registration statement on Form S-1 (File No. 333-241727) under the heading "Description of Securities--Founder Shares", the shares of Class B common stock will automatically convert into shares of Class A common stock at the time of the issuer's initial business combination on a one-for-one basis, subject to adjustment for stock splits, stock dividends, reorganizations, recapitalizations and the like, and certain anti-dilution rights.

F2 · kind: As contemplated in connection with the initial public offering of the issuer, 1,875,000 shares of Class B common stock were returned by CF Finance Holdings II, LLC (the "Sponsor") to the issuer for no consideration and cancelled because the underwriters' over-allotment option was not exercised.

F1 · derivative.exercise_date: As described in the issuer's registration statement on Form S-1 (File No. 333-241727) under the heading "Description of Securities--Founder Shares", the shares of Class B common stock will automatically convert into shares of Class A common stock at the time of the issuer's initial business combination on a one-for-one basis, subject to adjustment for stock splits, stock dividends, reorganizations, recapitalizations and the like, and certain anti-dilution rights.

F1 · derivative.expiration_date: As described in the issuer's registration statement on Form S-1 (File No. 333-241727) under the heading "Description of Securities--Founder Shares", the shares of Class B common stock will automatically convert into shares of Class A common stock at the time of the issuer's initial business combination on a one-for-one basis, subject to adjustment for stock splits, stock dividends, reorganizations, recapitalizations and the like, and certain anti-dilution rights.

F3 · ownership.nature: The Sponsor is the record holder of the shares reported herein. Cantor Fitzgerald, L.P. ("Cantor") is the sole member of the Sponsor. CF Group Management, Inc. ("CFGM") is the managing general partner of Cantor. Mr. Lutnick, the issuer's Chairman and Chief Executive Officer, is the trustee of the sole stockholder of CFGM. As such, each of Cantor, CFGM and Mr. Lutnick may be deemed to have beneficial ownership of the securities directly held by the Sponsor. Each such entity or person disclaims any beneficial ownership of the reported shares other than to the extent of any pecuniary interest they may have therein, directly or indirectly.

SEC source: 0001140361-21-003465 · form4.xml · nonDerivative · entry 1

CFAC Holdings V, LLC · CIK 0001828762 · 10% owner

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

CF GROUP MANAGEMENT INC · CIK 0001251145 · 10% owner

LUTNICK HOWARD W · CIK 0001250975 · Director · Chief Executive Officer · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 600,000

F1 · shares: These shares are underlying units (each unit consisting of one share of Class A common stock and one-third of one warrant, each whole warrant exercisable to purchase one share of Class A common stock) held by CFAC Holdings V, LLC (the "Sponsor") acquired pursuant to a private placement units purchase agreement by and between the Sponsor and the issuer. Does not include shares to be purchased pursuant to that certain forward purchase contract between the issuer and the Sponsor.

F4 · ownership.direct: The Sponsor is the record holder of the shares reported herein. Cantor Fitzgerald, L.P. ("Cantor") is the sole member of the Sponsor. CF Group Management, Inc. ("CFGM") is the managing general partner of Cantor. Mr. Lutnick, the issuer's Chairman and Chief Executive Officer, is the trustee of the sole stockholder, of CFGM. As such, each of Cantor, CFGM and Mr. Lutnick may be deemed to have beneficial ownership of the securities directly held by the Sponsor. Each such entity or person disclaims any beneficial ownership of the reported shares other than to the extent of any pecuniary interest they may have therein, directly or indirectly.

SEC source: 0001437749-19-020653 · rdgdoc.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnotes

Disclosed balance after: 10,988,361

F1 · kind: Represents a gift of BGC Partners, Inc. Class A common stock, par value $0.01 per share (the "Class A Common Stock"), by the reporting person's personal asset trust to a charitable organization.

F1 · balance_after: Represents a gift of BGC Partners, Inc. Class A common stock, par value $0.01 per share (the "Class A Common Stock"), by the reporting person's personal asset trust to a charitable organization.

F2 · balance_after: The reporting person's indirect pecuniary interest in 10,988,361 shares of Class A Common Stock following each of such gifts represented herein consists of (i) 2,050,197 shares receivable by CF Group Management, Inc. ("CFGM") pursuant to deferred stock distribution rights provided to certain current and former partners of Cantor Fitzgerald, L.P. ("CFLP") on April 1, 2008 ("April 2008 distribution rights shares") and 160,675 shares receivable by CFGM pursuant to deferred stock distribution rights provided to certain current and former partners of CFLP on February 14, 2012 ("February 2012 distribution rights shares"), (ii) 3,665,656 shares held in various trust, retirement and custodial accounts of the reporting person (consisting of (A) 2,095,925 shares held in a personal asset trust, of which the reporting person is sole trustee, (B) 716,659 shares held by a trust (the "Trust"), for the benefit of the descendants of the reporting person and his immediate

F3 · balance_after: (continued from footnote 2) family, of which the reporting person's spouse is one of two trustees and the reporting person has limited powers to remove and replace such trustees, (C) 264,402 shares held in a Keogh retirement account for the reporting person, (D) 538,576 shares held by trust accounts for the benefit of the reporting person and members of his immediate family, (E) 31,507 shares held in other retirement accounts, and (F) 18,587 shares held in custodial accounts for the benefit of certain members of the reporting person's family under the United Gifts to Minors Act); (iii) 1,610,182 shares represented by April 2008 distribution rights shares receivable by the Trust, (iv) 5,548 shares (representing the proportional interest of the spouse of the reporting person in shares owned by LFA LLC ("LFA"), (v) 26,052 shares represented by such spouse's proportional interest in the distribution rights shares receivable by LFA (consisting of 23,780 April 2008 distribution rights shares

F4 · balance_after: (continued from footnote 3) and 2,272 February 2012 distribution rights shares), (vi) 600,938 shares held by KBCR Management Partners, LLC ("KBCR"), (vii) 2,335,967 distribution rights shares receivable by KBCR (consisting of 2,048,000 April 2008 distribution rights shares and 287,967 February 2012 distribution rights shares), and (viii) 533,146 shares held in the reporting person's 401(k) account as of September 30, 2019.

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

F1 · ownership.nature: Represents a gift of BGC Partners, Inc. Class A common stock, par value $0.01 per share (the "Class A Common Stock"), by the reporting person's personal asset trust to a charitable organization.

F2 · ownership.nature: The reporting person's indirect pecuniary interest in 10,988,361 shares of Class A Common Stock following each of such gifts represented herein consists of (i) 2,050,197 shares receivable by CF Group Management, Inc. ("CFGM") pursuant to deferred stock distribution rights provided to certain current and former partners of Cantor Fitzgerald, L.P. ("CFLP") on April 1, 2008 ("April 2008 distribution rights shares") and 160,675 shares receivable by CFGM pursuant to deferred stock distribution rights provided to certain current and former partners of CFLP on February 14, 2012 ("February 2012 distribution rights shares"), (ii) 3,665,656 shares held in various trust, retirement and custodial accounts of the reporting person (consisting of (A) 2,095,925 shares held in a personal asset trust, of which the reporting person is sole trustee, (B) 716,659 shares held by a trust (the "Trust"), for the benefit of the descendants of the reporting person and his immediate

F3 · ownership.nature: (continued from footnote 2) family, of which the reporting person's spouse is one of two trustees and the reporting person has limited powers to remove and replace such trustees, (C) 264,402 shares held in a Keogh retirement account for the reporting person, (D) 538,576 shares held by trust accounts for the benefit of the reporting person and members of his immediate family, (E) 31,507 shares held in other retirement accounts, and (F) 18,587 shares held in custodial accounts for the benefit of certain members of the reporting person's family under the United Gifts to Minors Act); (iii) 1,610,182 shares represented by April 2008 distribution rights shares receivable by the Trust, (iv) 5,548 shares (representing the proportional interest of the spouse of the reporting person in shares owned by LFA LLC ("LFA"), (v) 26,052 shares represented by such spouse's proportional interest in the distribution rights shares receivable by LFA (consisting of 23,780 April 2008 distribution rights shares

F4 · ownership.nature: (continued from footnote 3) and 2,272 February 2012 distribution rights shares), (vi) 600,938 shares held by KBCR Management Partners, LLC ("KBCR"), (vii) 2,335,967 distribution rights shares receivable by KBCR (consisting of 2,048,000 April 2008 distribution rights shares and 287,967 February 2012 distribution rights shares), and (viii) 533,146 shares held in the reporting person's 401(k) account as of September 30, 2019.

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

SEC source: 0001437749-19-019719 · rdgdoc.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnotes

Disclosed balance after: 10,991,531

F1 · kind: Represents a gift of BGC Partners, Inc. Class A common stock, par value $0.01 per share (the "Class A Common Stock"), by the reporting person's personal asset trust to a charitable organization.

F1 · balance_after: Represents a gift of BGC Partners, Inc. Class A common stock, par value $0.01 per share (the "Class A Common Stock"), by the reporting person's personal asset trust to a charitable organization.

F2 · balance_after: The reporting person's indirect pecuniary interest in 10,991,531 shares of Class A Common Stock following each of such gifts represented herein consists of (i) 2,050,197 shares receivable by CF Group Management, Inc. ("CFGM") pursuant to deferred stock distribution rights provided to certain current and former partners of Cantor Fitzgerald, L.P. ("CFLP") on April 1, 2008 ("April 2008 distribution rights shares") and 160,675 shares receivable by CFGM pursuant to deferred stock distribution rights provided to certain current and former partners of CFLP on February 14, 2012 ("February 2012 distribution rights shares"), (ii) 3,668,826 shares held in various trust, retirement and custodial accounts of the reporting person (consisting of (A) 2,099,095 shares held in a personal asset trust, of which the reporting person is sole trustee, (B) 716,659 shares held by a trust (the "Trust"), for the benefit of the descendants of the reporting person and his immediate

F3 · balance_after: (continued from footnote 2) family, of which the reporting person's spouse is one of two trustees and the reporting person has limited powers to remove and replace such trustees, (C) 264,402 shares held in a Keogh retirement account for the reporting person, (D) 538,576 shares held by trust accounts for the benefit of the reporting person and members of his immediate family, (E) 31,507 shares held in other retirement accounts, and (F) 18,587 shares held in custodial accounts for the benefit of certain members of the reporting person's family under the United Gifts to Minors Act); (iii) 1,610,182 shares represented by April 2008 distribution rights shares receivable by the Trust, (iv) 5,548 shares (representing the proportional interest of the spouse of the reporting person in shares owned by LFA LLC ("LFA"), (v) 26,052 shares represented by such spouse's proportional interest in the distribution rights shares receivable by LFA (consisting of 23,780 April 2008 distribution rights shares

F4 · balance_after: (continued from footnote 3) and 2,272 February 2012 distribution rights shares), (vi) 600,938 shares held by KBCR Management Partners, LLC ("KBCR"), (vii) 2,335,967 distribution rights shares receivable by KBCR (consisting of 2,048,000 April 2008 distribution rights shares and 287,967 February 2012 distribution rights shares), and (viii) 533,146 shares held in the reporting person's 401(k) account as of September 30, 2019.

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

F1 · ownership.nature: Represents a gift of BGC Partners, Inc. Class A common stock, par value $0.01 per share (the "Class A Common Stock"), by the reporting person's personal asset trust to a charitable organization.

F2 · ownership.nature: The reporting person's indirect pecuniary interest in 10,991,531 shares of Class A Common Stock following each of such gifts represented herein consists of (i) 2,050,197 shares receivable by CF Group Management, Inc. ("CFGM") pursuant to deferred stock distribution rights provided to certain current and former partners of Cantor Fitzgerald, L.P. ("CFLP") on April 1, 2008 ("April 2008 distribution rights shares") and 160,675 shares receivable by CFGM pursuant to deferred stock distribution rights provided to certain current and former partners of CFLP on February 14, 2012 ("February 2012 distribution rights shares"), (ii) 3,668,826 shares held in various trust, retirement and custodial accounts of the reporting person (consisting of (A) 2,099,095 shares held in a personal asset trust, of which the reporting person is sole trustee, (B) 716,659 shares held by a trust (the "Trust"), for the benefit of the descendants of the reporting person and his immediate

F3 · ownership.nature: (continued from footnote 2) family, of which the reporting person's spouse is one of two trustees and the reporting person has limited powers to remove and replace such trustees, (C) 264,402 shares held in a Keogh retirement account for the reporting person, (D) 538,576 shares held by trust accounts for the benefit of the reporting person and members of his immediate family, (E) 31,507 shares held in other retirement accounts, and (F) 18,587 shares held in custodial accounts for the benefit of certain members of the reporting person's family under the United Gifts to Minors Act); (iii) 1,610,182 shares represented by April 2008 distribution rights shares receivable by the Trust, (iv) 5,548 shares (representing the proportional interest of the spouse of the reporting person in shares owned by LFA LLC ("LFA"), (v) 26,052 shares represented by such spouse's proportional interest in the distribution rights shares receivable by LFA (consisting of 23,780 April 2008 distribution rights shares

F4 · ownership.nature: (continued from footnote 3) and 2,272 February 2012 distribution rights shares), (vi) 600,938 shares held by KBCR Management Partners, LLC ("KBCR"), (vii) 2,335,967 distribution rights shares receivable by KBCR (consisting of 2,048,000 April 2008 distribution rights shares and 287,967 February 2012 distribution rights shares), and (viii) 533,146 shares held in the reporting person's 401(k) account as of September 30, 2019.

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

SEC source: 0001437749-19-017996 · rdgdoc.xml · nonDerivative · entry 3

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnotes

Disclosed balance after: 10,996,993

F1 · kind: Represents gifts of BGC Partners, Inc. Class A common stock, par value $0.01 per share (the "Class A Common Stock"), by the reporting person's personal asset trust to three charitable organizations.

F1 · balance_after: Represents gifts of BGC Partners, Inc. Class A common stock, par value $0.01 per share (the "Class A Common Stock"), by the reporting person's personal asset trust to three charitable organizations.

F2 · balance_after: The reporting person's indirect pecuniary interest in 10,996,993 shares of Class A Common Stock following each of such gifts represented herein consists of (i) 2,050,197 shares receivable by CF Group Management, Inc. ("CFGM") pursuant to deferred stock distribution rights provided to certain current and former partners of Cantor Fitzgerald, L.P. ("CFLP") on April 1, 2008 ("April 2008 distribution rights shares") and 160,675 shares receivable by CFGM pursuant to deferred stock distribution rights provided to certain current and former partners of CFLP on February 14, 2012 ("February 2012 distribution rights shares"), (ii) 3,673,331 shares held in various trust, retirement and custodial accounts of the reporting person (consisting of (A) 2,103,600 shares held in a personal asset trust, of which the reporting person is sole trustee, (B) 716,659 shares held by a trust (the "Trust"), for the benefit of the descendants of the reporting person and his immediate

F3 · balance_after: (continued from footnote 2) family, of which the reporting person's spouse is one of two trustees and the reporting person has limited powers to remove and replace such trustees, (C) 264,402 shares held in a Keogh retirement account for the reporting person, (D) 538,576 shares held by trust accounts for the benefit of the reporting person and members of his immediate family, (E) 31,507 shares held in other retirement accounts, and (F) 18,587 shares held in custodial accounts for the benefit of certain members of the reporting person's family under the United Gifts to Minors Act); (iii) 1,610,182 shares represented by April 2008 distribution rights shares receivable by the Trust, (iv) 5,548 shares (representing the proportional interest of the spouse of the reporting person in shares owned by LFA LLC ("LFA"), (v) 26,052 shares represented by such spouse's proportional interest in the distribution rights shares receivable by LFA (consisting of 23,780 April 2008 distribution rights shares

F4 · balance_after: (continued from footnote 3) and 2,272 February 2012 distribution rights shares), (vi) 600,938 shares held by KBCR Management Partners, LLC ("KBCR"), (vii) 2,335,967 distribution rights shares receivable by KBCR (consisting of 2,048,000 April 2008 distribution rights shares and 287,967 February 2012 distribution rights shares), and (viii) 534,103 shares held in the reporting person's 401(k) account as of August 31, 2019.

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

F1 · ownership.nature: Represents gifts of BGC Partners, Inc. Class A common stock, par value $0.01 per share (the "Class A Common Stock"), by the reporting person's personal asset trust to three charitable organizations.

F2 · ownership.nature: The reporting person's indirect pecuniary interest in 10,996,993 shares of Class A Common Stock following each of such gifts represented herein consists of (i) 2,050,197 shares receivable by CF Group Management, Inc. ("CFGM") pursuant to deferred stock distribution rights provided to certain current and former partners of Cantor Fitzgerald, L.P. ("CFLP") on April 1, 2008 ("April 2008 distribution rights shares") and 160,675 shares receivable by CFGM pursuant to deferred stock distribution rights provided to certain current and former partners of CFLP on February 14, 2012 ("February 2012 distribution rights shares"), (ii) 3,673,331 shares held in various trust, retirement and custodial accounts of the reporting person (consisting of (A) 2,103,600 shares held in a personal asset trust, of which the reporting person is sole trustee, (B) 716,659 shares held by a trust (the "Trust"), for the benefit of the descendants of the reporting person and his immediate

F3 · ownership.nature: (continued from footnote 2) family, of which the reporting person's spouse is one of two trustees and the reporting person has limited powers to remove and replace such trustees, (C) 264,402 shares held in a Keogh retirement account for the reporting person, (D) 538,576 shares held by trust accounts for the benefit of the reporting person and members of his immediate family, (E) 31,507 shares held in other retirement accounts, and (F) 18,587 shares held in custodial accounts for the benefit of certain members of the reporting person's family under the United Gifts to Minors Act); (iii) 1,610,182 shares represented by April 2008 distribution rights shares receivable by the Trust, (iv) 5,548 shares (representing the proportional interest of the spouse of the reporting person in shares owned by LFA LLC ("LFA"), (v) 26,052 shares represented by such spouse's proportional interest in the distribution rights shares receivable by LFA (consisting of 23,780 April 2008 distribution rights shares

F4 · ownership.nature: (continued from footnote 3) and 2,272 February 2012 distribution rights shares), (vi) 600,938 shares held by KBCR Management Partners, LLC ("KBCR"), (vii) 2,335,967 distribution rights shares receivable by KBCR (consisting of 2,048,000 April 2008 distribution rights shares and 287,967 February 2012 distribution rights shares), and (viii) 534,103 shares held in the reporting person's 401(k) account as of August 31, 2019.

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

SEC source: 0001437749-19-017996 · rdgdoc.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote 1

Disclosed balance after: 10,974,380

F1 · kind: Represents gifts of BGC Partners, Inc. Class A common stock, par value $0.01 per share (the "Class A Common Stock"), by the reporting person's personal asset trust to three charitable organizations.

F1 · ownership.nature: Represents gifts of BGC Partners, Inc. Class A common stock, par value $0.01 per share (the "Class A Common Stock"), by the reporting person's personal asset trust to three charitable organizations.

SEC source: 0001437749-19-017996 · rdgdoc.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote 1

Disclosed balance after: 10,985,060

F1 · kind: Represents gifts of BGC Partners, Inc. Class A common stock, par value $0.01 per share (the "Class A Common Stock"), by the reporting person's personal asset trust to three charitable organizations.

F1 · ownership.nature: Represents gifts of BGC Partners, Inc. Class A common stock, par value $0.01 per share (the "Class A Common Stock"), by the reporting person's personal asset trust to three charitable organizations.

SEC source: 0001437749-19-004347 · rdgdoc.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnotes

Disclosed balance after: 10,927,857

F1 · shares: Represents the acquisition of 8,980 shares of Class A Common Stock, par value $0.01 per share (the "Class A Common Stock"), by a Keogh retirement account for the benefit of the reporting person from BGC Partners, Inc. in a transaction exempt pursuant to Rule 16b-3 under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), at a price equal to the closing price of the Class A Common Stock on March 4, 2019. This acquisition was approved by the Audit Committee of the Board of Directors.

F1 · balance_after: Represents the acquisition of 8,980 shares of Class A Common Stock, par value $0.01 per share (the "Class A Common Stock"), by a Keogh retirement account for the benefit of the reporting person from BGC Partners, Inc. in a transaction exempt pursuant to Rule 16b-3 under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), at a price equal to the closing price of the Class A Common Stock on March 4, 2019. This acquisition was approved by the Audit Committee of the Board of Directors.

F2 · balance_after: The reporting person's indirect pecuniary interest in 10,927,857 shares of Class A Common Stock following such acquisition consists of (i) 2,050,197 shares receivable pursuant to deferred stock distribution rights provided to certain current and former partners of Cantor Fitzgerald, L.P. ("CFLP") on April 1, 2008 ("April 2008 distribution rights shares") and 160,675 shares receivable pursuant to deferred stock distribution rights provided to certain current and former partners of CFLP on February 14, 2012 ("February 2012 distribution rights shares") receivable by CF Group Management, Inc. ("CFGM"), (ii) 3,643,592 shares held in various trust, retirement and custodial accounts of the reporting person (consisting of (A) 2,153,306 shares held in a personal asset trust, of which the reporting person is sole trustee, (B) 661,872 shares held by a trust (the "Trust"), for the benefit of the descendants of the reporting person and his immediate family, of which the reporting person's spouse is

F3 · balance_after: (continued from footnote 2) one of two trustees and the reporting person has limited powers to remove and replace such trustees, (C) 244,188 shares held in a Keogh retirement account for the reporting person, (D) 537,962 shares held by trust accounts for the benefit of the reporting person and members of his immediate family, (E) 29,099 shares held in other retirement accounts, and (F) 17,165 shares held in custodial accounts for the benefit of certain members of the reporting person's family under the United Gifts to Minors Act; (iii) 1,610,182 shares represented by April 2008 distribution rights shares receivable by the Trust, (iv) 5,548 shares (representing the proportional interest of the spouse of the reporting person in shares owned by LFA LLC ("LFA"), (v) 26,052 shares represented by such spouse's proportional interest in the distribution rights shares receivable by LFA (consisting of 23,780 April 2008 distribution rights shares and 2,272 February 2012 distribution rights

F4 · balance_after: (continued from footnote 3) shares), (vi) 600,938 shares held by KBCR Management Partners, LLC ("KBCR"), (vii) 2,335,967 distribution rights shares receivable by KBCR (consisting of 2,048,000 April 2008 distribution rights shares and 287,967 February 2012 distribution rights shares), and (viii) 494,706 shares held in the reporting person's 401(k) account as of February 28, 2019.

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

F6 · balance_after: The shares of Class A Common Stock held directly by the reporting person consisted of (i) 5,033,338 shares held by the reporting person, and (ii) 8,973,721 shares represented by deferred stock receivable by the reporting person (consisting of 7,742,325 April 2008 distribution rights shares and 1,231,396 February 2012 distribution rights shares).

F1 · ownership.nature: Represents the acquisition of 8,980 shares of Class A Common Stock, par value $0.01 per share (the "Class A Common Stock"), by a Keogh retirement account for the benefit of the reporting person from BGC Partners, Inc. in a transaction exempt pursuant to Rule 16b-3 under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), at a price equal to the closing price of the Class A Common Stock on March 4, 2019. This acquisition was approved by the Audit Committee of the Board of Directors.

F2 · ownership.nature: The reporting person's indirect pecuniary interest in 10,927,857 shares of Class A Common Stock following such acquisition consists of (i) 2,050,197 shares receivable pursuant to deferred stock distribution rights provided to certain current and former partners of Cantor Fitzgerald, L.P. ("CFLP") on April 1, 2008 ("April 2008 distribution rights shares") and 160,675 shares receivable pursuant to deferred stock distribution rights provided to certain current and former partners of CFLP on February 14, 2012 ("February 2012 distribution rights shares") receivable by CF Group Management, Inc. ("CFGM"), (ii) 3,643,592 shares held in various trust, retirement and custodial accounts of the reporting person (consisting of (A) 2,153,306 shares held in a personal asset trust, of which the reporting person is sole trustee, (B) 661,872 shares held by a trust (the "Trust"), for the benefit of the descendants of the reporting person and his immediate family, of which the reporting person's spouse is

F3 · ownership.nature: (continued from footnote 2) one of two trustees and the reporting person has limited powers to remove and replace such trustees, (C) 244,188 shares held in a Keogh retirement account for the reporting person, (D) 537,962 shares held by trust accounts for the benefit of the reporting person and members of his immediate family, (E) 29,099 shares held in other retirement accounts, and (F) 17,165 shares held in custodial accounts for the benefit of certain members of the reporting person's family under the United Gifts to Minors Act; (iii) 1,610,182 shares represented by April 2008 distribution rights shares receivable by the Trust, (iv) 5,548 shares (representing the proportional interest of the spouse of the reporting person in shares owned by LFA LLC ("LFA"), (v) 26,052 shares represented by such spouse's proportional interest in the distribution rights shares receivable by LFA (consisting of 23,780 April 2008 distribution rights shares and 2,272 February 2012 distribution rights

F4 · ownership.nature: (continued from footnote 3) shares), (vi) 600,938 shares held by KBCR Management Partners, LLC ("KBCR"), (vii) 2,335,967 distribution rights shares receivable by KBCR (consisting of 2,048,000 April 2008 distribution rights shares and 287,967 February 2012 distribution rights shares), and (viii) 494,706 shares held in the reporting person's 401(k) account as of February 28, 2019.

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

F6 · ownership.nature: The shares of Class A Common Stock held directly by the reporting person consisted of (i) 5,033,338 shares held by the reporting person, and (ii) 8,973,721 shares represented by deferred stock receivable by the reporting person (consisting of 7,742,325 April 2008 distribution rights shares and 1,231,396 February 2012 distribution rights shares).

SEC source: 0001615774-19-001406 · s115723_form4.xml · derivative · entry 1

CF Finance Holdings LLC · CIK 0001761061 · 10% owner

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

CF GROUP MANAGEMENT INC · CIK 0001251145 · 10% owner

LUTNICK HOWARD W · CIK 0001250975 · Director · Chief Executive Officer · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 7,064,603

Underlying: Class A Common Stock · 122,897 shares

Expires not disclosed

F1 · derivative.exercise_price: As described in the issuer's registration statement on Form S-1 (File No. 333-228420) under the heading "Description of Securities--Founder Shares", the shares of Class B common stock will automatically convert into shares of Class A common stock at the time of the issuer's initial business combination, or earlier at the option of the holder, on a one-for-one basis, subject to adjustment for stock splits, stock dividends, reorganizations, recapitalizations and the like, and certain anti-dilution rights.

F2 · kind: As contemplated in connection with the initial public offering of the issuer, 122,897 shares of Class B common stock were returned by CF Finance Holdings LLC (the "Sponsor") to the issuer for no consideration and cancelled because the underwriters' over-allotment option was not exercised in full.

F1 · derivative.exercise_date: As described in the issuer's registration statement on Form S-1 (File No. 333-228420) under the heading "Description of Securities--Founder Shares", the shares of Class B common stock will automatically convert into shares of Class A common stock at the time of the issuer's initial business combination, or earlier at the option of the holder, on a one-for-one basis, subject to adjustment for stock splits, stock dividends, reorganizations, recapitalizations and the like, and certain anti-dilution rights.

F1 · derivative.expiration_date: As described in the issuer's registration statement on Form S-1 (File No. 333-228420) under the heading "Description of Securities--Founder Shares", the shares of Class B common stock will automatically convert into shares of Class A common stock at the time of the issuer's initial business combination, or earlier at the option of the holder, on a one-for-one basis, subject to adjustment for stock splits, stock dividends, reorganizations, recapitalizations and the like, and certain anti-dilution rights.

F3 · ownership.nature: The Sponsor is the record holder of the securities reported herein. Cantor Fitzgerald, L.P. ("Cantor") is the sole member of the Sponsor. CF Group Management, Inc. is the managing general partner of Cantor. Mr. Lutnick, the issuer's Chairman and Chief Executive Officer, is the President of CF Group Management, Inc. ("CFGM") and trustee of CFGM's sole stockholder. As such, each of Cantor, CFGM and Mr. Lutnick may be deemed to have beneficial ownership of the securities directly held by the Sponsor. Each such entity or person disclaims any beneficial ownership of the reported shares other than to the extent of any pecuniary interest they may have therein, directly or indirectly.

SEC source: 0001615774-19-001864 · s115891_form4a.xml · derivative · entry 1

CF Finance Holdings LLC · CIK 0001761061 · 10% owner

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

CF GROUP MANAGEMENT INC · CIK 0001251145 · 10% owner

LUTNICK HOWARD W · CIK 0001250975 · Director · Chief Executive Officer · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 7,054,603

Underlying: Class A Common Stock · 122,897 shares

Expires not disclosed

F1 · derivative.exercise_price: As described in the issuer's registration statement on Form S-1 (File No. 333-228420) under the heading "Description of Securities--Founder Shares", the shares of Class B common stock will automatically convert into shares of Class A common stock at the time of the issuer's initial business combination, or earlier at the option of the holder, on a one-for-one basis, subject to adjustment for stock splits, stock dividends, reorganizations, recapitalizations and the like, and certain anti-dilution rights.

F2 · kind: As contemplated in connection with the initial public offering of the issuer, 122,897 shares of Class B common stock were returned by CF Finance Holdings LLC (the "Sponsor") to the issuer for no consideration and cancelled because the underwriters' over-allotment option was not exercised in full.

F1 · derivative.exercise_date: As described in the issuer's registration statement on Form S-1 (File No. 333-228420) under the heading "Description of Securities--Founder Shares", the shares of Class B common stock will automatically convert into shares of Class A common stock at the time of the issuer's initial business combination, or earlier at the option of the holder, on a one-for-one basis, subject to adjustment for stock splits, stock dividends, reorganizations, recapitalizations and the like, and certain anti-dilution rights.

F1 · derivative.expiration_date: As described in the issuer's registration statement on Form S-1 (File No. 333-228420) under the heading "Description of Securities--Founder Shares", the shares of Class B common stock will automatically convert into shares of Class A common stock at the time of the issuer's initial business combination, or earlier at the option of the holder, on a one-for-one basis, subject to adjustment for stock splits, stock dividends, reorganizations, recapitalizations and the like, and certain anti-dilution rights.

F3 · balance_after: On January 30, 2019, the reporting persons filed a Form 4, which mistakenly reported that they beneficially owned an aggregate of 7,064,603 shares of Class B common stock of the issuer subsequent to the transactions reported therein. The reporting persons owned an aggregate of 7,054,603 shares of Class B common stock of the issuer as of January 30, 2019 and such number remains unchanged as of the date hereof.

F4 · ownership.nature: The Sponsor is the record holder of the securities reported herein. Cantor Fitzgerald, L.P. ("Cantor") is the sole member of the Sponsor. CF Group Management, Inc. is the managing general partner of Cantor. Mr. Lutnick, the issuer's Chairman and Chief Executive Officer, is the President of CF Group Management, Inc. ("CFGM") and trustee of CFGM's sole stockholder. As such, each of Cantor, CFGM and Mr. Lutnick may be deemed to have beneficial ownership of the securities directly held by the Sponsor. Each such entity or person disclaims any beneficial ownership of the reported shares other than to the extent of any pecuniary interest they may have therein, directly or indirectly.

SEC source: 0001615774-18-014673 · s114831_form4.xml · nonDerivative · entry 1

CF Finance Holdings LLC · CIK 0001761061 · 10% owner

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

CF GROUP MANAGEMENT INC · CIK 0001251145 · 10% owner

LUTNICK HOWARD W · CIK 0001250975 · Director · Chief Executive Officer · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 600,000

F1 · shares: These shares are underlying units (each unit consisting of one share of Class A common stock and three-quarters of one warrant, each whole warrant exercisable to purchase one share of Class A common stock) held by CF Finance Holdings LLC (the "Sponsor"), acquired pursuant to a private placement units purchase agreement by and between the Sponsor and the issuer. Does not include 7,187,500 shares of Class B common stock previously reported on a Form 3, which shares will automatically convert into shares of Class A common stock at the time of the issuer's initial business combination, or earlier at the option of the holder, on a one-for-one basis, subject to adjustment for stock splits, stock dividends, reorganizations, recapitalizations and the like, and certain anti-dilution rights. Also excludes shares to be purchased pursuant to that certain forward purchase contract between the issuer and the Sponsor.

F2 · ownership.direct: The Sponsor is the record holder of the securities reported herein. Cantor Fitzgerald, L.P. ("Cantor") is the sole member of the Sponsor. CF Group Management, Inc. is the managing general partner of Cantor. Mr. Lutnick, the issuer's Chairman and Chief Executive Officer, is the President of CF Group Management, Inc. ("CFGM") and trustee of CFGM's sole stockholder. As such, each of Cantor, CFGM and Mr. Lutnick may be deemed to have beneficial ownership of the securities directly held by the Sponsor. Each such entity or person disclaims any beneficial ownership of the reported shares other than to the extent of any pecuniary interest they may have therein, directly or indirectly.

SEC source: 0000899243-18-029719 · doc4.xml · nonDerivative · entry 7

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 761,652

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

F6 · kind: Pursuant to the Exchange Agreement, on November 21, 2018, CFGM exchanged 712,907 shares of Class A common stock, on a one-for-one basis, for 712,907 shares of Class B common stock, 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. This transaction does not impact the fully diluted share count of BGC.

F6 · shares: Pursuant to the Exchange Agreement, on November 21, 2018, CFGM exchanged 712,907 shares of Class A common stock, on a one-for-one basis, for 712,907 shares of Class B common stock, 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. This transaction does not impact the fully diluted share count of BGC.

F6 · price: Pursuant to the Exchange Agreement, on November 21, 2018, CFGM exchanged 712,907 shares of Class A common stock, on a one-for-one basis, for 712,907 shares of Class B common stock, 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. This transaction does not impact the fully diluted share count of BGC.

F7 · ownership.nature: CFGM is the Managing General Partner of CFLP, and the reporting person is the Chairman and Chief Executive Officer and also the trustee of an entity that is the sole stockholder of CFGM. KBCR is a non-managing General Partner of CFLP, and the reporting person is the managing member of KBCR. The reporting person is the managing member of LFA. The reporting person disclaims beneficial ownership of all shares held by CFLP, CFGM, KBCR and LFA in excess of his pecuniary interest, if any, and this report shall not be deemed an admission that he is he 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: 0000899243-18-029719 · doc4.xml · nonDerivative · entry 6

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 0

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

F6 · kind: Pursuant to the Exchange Agreement, on November 21, 2018, CFGM exchanged 712,907 shares of Class A common stock, on a one-for-one basis, for 712,907 shares of Class B common stock, 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. This transaction does not impact the fully diluted share count of BGC.

F6 · shares: Pursuant to the Exchange Agreement, on November 21, 2018, CFGM exchanged 712,907 shares of Class A common stock, on a one-for-one basis, for 712,907 shares of Class B common stock, 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. This transaction does not impact the fully diluted share count of BGC.

F6 · price: Pursuant to the Exchange Agreement, on November 21, 2018, CFGM exchanged 712,907 shares of Class A common stock, on a one-for-one basis, for 712,907 shares of Class B common stock, 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. This transaction does not impact the fully diluted share count of BGC.

F7 · ownership.nature: CFGM is the Managing General Partner of CFLP, and the reporting person is the Chairman and Chief Executive Officer and also the trustee of an entity that is the sole stockholder of CFGM. KBCR is a non-managing General Partner of CFLP, and the reporting person is the managing member of KBCR. The reporting person is the managing member of LFA. The reporting person disclaims beneficial ownership of all shares held by CFLP, CFGM, KBCR and LFA in excess of his pecuniary interest, if any, and this report shall not be deemed an admission that he is he 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: 0000899243-18-029719 · doc4.xml · nonDerivative · entry 5

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 45,122,728

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 · kind: Pursuant to the Exchange Agreement, dated as of June 5, 2015, by and among BGC, CFLP, CFGM and the other parties thereto (the "Exchange Agreement"), on November 21, 2018, CFLP exchanged 10,323,366 shares of Class A common stock, on a one-for-one basis, for 10,323,366 shares of Class B common stock, par value $0.01 per share ("Class B common stock"), of BGC, in a transaction exempt pursuant to Rules 16b-3 and 16b-6(b) under the Securities Exchange Act of 1934, as amended (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. This transaction does not impact the fully diluted share count of BGC.

F5 · shares: Pursuant to the Exchange Agreement, dated as of June 5, 2015, by and among BGC, CFLP, CFGM and the other parties thereto (the "Exchange Agreement"), on November 21, 2018, CFLP exchanged 10,323,366 shares of Class A common stock, on a one-for-one basis, for 10,323,366 shares of Class B common stock, par value $0.01 per share ("Class B common stock"), of BGC, in a transaction exempt pursuant to Rules 16b-3 and 16b-6(b) under the Securities Exchange Act of 1934, as amended (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. This transaction does not impact the fully diluted share count of BGC.

F5 · price: Pursuant to the Exchange Agreement, dated as of June 5, 2015, by and among BGC, CFLP, CFGM and the other parties thereto (the "Exchange Agreement"), on November 21, 2018, CFLP exchanged 10,323,366 shares of Class A common stock, on a one-for-one basis, for 10,323,366 shares of Class B common stock, par value $0.01 per share ("Class B common stock"), of BGC, in a transaction exempt pursuant to Rules 16b-3 and 16b-6(b) under the Securities Exchange Act of 1934, as amended (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. This transaction does not impact the fully diluted share count of BGC.

F7 · ownership.nature: CFGM is the Managing General Partner of CFLP, and the reporting person is the Chairman and Chief Executive Officer and also the trustee of an entity that is the sole stockholder of CFGM. KBCR is a non-managing General Partner of CFLP, and the reporting person is the managing member of KBCR. The reporting person is the managing member of LFA. The reporting person disclaims beneficial ownership of all shares held by CFLP, CFGM, KBCR and LFA in excess of his pecuniary interest, if any, and this report shall not be deemed an admission that he is he 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: 0000899243-18-029719 · doc4.xml · nonDerivative · entry 4

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 0

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 · kind: Pursuant to the Exchange Agreement, dated as of June 5, 2015, by and among BGC, CFLP, CFGM and the other parties thereto (the "Exchange Agreement"), on November 21, 2018, CFLP exchanged 10,323,366 shares of Class A common stock, on a one-for-one basis, for 10,323,366 shares of Class B common stock, par value $0.01 per share ("Class B common stock"), of BGC, in a transaction exempt pursuant to Rules 16b-3 and 16b-6(b) under the Securities Exchange Act of 1934, as amended (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. This transaction does not impact the fully diluted share count of BGC.

F5 · shares: Pursuant to the Exchange Agreement, dated as of June 5, 2015, by and among BGC, CFLP, CFGM and the other parties thereto (the "Exchange Agreement"), on November 21, 2018, CFLP exchanged 10,323,366 shares of Class A common stock, on a one-for-one basis, for 10,323,366 shares of Class B common stock, par value $0.01 per share ("Class B common stock"), of BGC, in a transaction exempt pursuant to Rules 16b-3 and 16b-6(b) under the Securities Exchange Act of 1934, as amended (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. This transaction does not impact the fully diluted share count of BGC.

F5 · price: Pursuant to the Exchange Agreement, dated as of June 5, 2015, by and among BGC, CFLP, CFGM and the other parties thereto (the "Exchange Agreement"), on November 21, 2018, CFLP exchanged 10,323,366 shares of Class A common stock, on a one-for-one basis, for 10,323,366 shares of Class B common stock, par value $0.01 per share ("Class B common stock"), of BGC, in a transaction exempt pursuant to Rules 16b-3 and 16b-6(b) under the Securities Exchange Act of 1934, as amended (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. This transaction does not impact the fully diluted share count of BGC.

F7 · ownership.nature: CFGM is the Managing General Partner of CFLP, and the reporting person is the Chairman and Chief Executive Officer and also the trustee of an entity that is the sole stockholder of CFGM. KBCR is a non-managing General Partner of CFLP, and the reporting person is the managing member of KBCR. The reporting person is the managing member of LFA. The reporting person disclaims beneficial ownership of all shares held by CFLP, CFGM, KBCR and LFA in excess of his pecuniary interest, if any, and this report shall not be deemed an admission that he is he 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 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: 0000899243-18-029719 · doc4.xml · nonDerivative · entry 3

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 10,881,211

F1 · price: On each of August 30, 2018, September 10, 2018 and October 3, 2018, the reporting person made gifts of 8,150 shares, 2,079 shares and 53,368 shares, respectively, of Class A common stock, par value $0.01 per share ("Class A common stock"), of BGC Partners, Inc. ("BGC") to charitable organizations. Such shares were held by the reporting person's personal asset trust. The reporting person's indirect pecuniary interest in 10,881,211 shares of Class A common stock following such gifts consists of (i) 2,050,197 shares receivable pursuant to deferred stock distribution rights provided to certain current and former partners of Cantor Fitzgerald, L.P. ("CFLP") on April 1, 2008 ("April 2008 distribution rights shares") and 160,675 shares receivable pursuant to deferred stock distribution rights provided to certain current and former partners of CFLP on February 14, 2012 ("February 2012 distribution rights shares") receivable by CF Group Management, Inc.

F2 · price: (continued from footnote 1) ("CFGM"), (ii) 3,618,401 shares held in various trust, retirement and custodial accounts of the reporting person (consisting of (A) 2,153,306 shares held in a personal asset trust, of which the reporting person is sole trustee, (B) 650,587 shares held by a trust (the "Trust"), for the benefit of the descendants of the reporting person and his immediately family, of which the reporting person's spouse is one of two trustees and the reporting person has limited powers to remove and replace such trustees,

F3 · price: (continued from footnote 2) (C) 231,198 shares held in a Keogh retirement account for the reporting person, (D) 537,835 shares held by trust accounts for the benefit of the reporting person and members of his immediately family, (E) 28,602 shares held in other retirement accounts, and (F) 16,873 shares held in custodial accounts for the benefit of certain members of the reporting person's family under the United Gifts to Minors Act; (iii) 1,610,182 shares represented by April 2008 distribution rights shares receivable by the Trust, (iv) 5,548 shares (representing the proportional interest of the spouse of the reporting person in shares owned by LFA LLC ("LFA")), (v) 26,052 shares represented by such spouse's proportional interest in the distribution rights shares receivable by LFA (consisting of 23,780 April 2008 distribution rights shares and 2,272 February 2012 distribution rights shares), (vi) 600,938 shares held by KBCR Management Partners, LLC

F4 · price: (continued from footnote 3)("KBCR"), (vii) 2,335,967 distribution rights shares receivable by KBCR (consisting of 2,048,000 April 2008 distribution rights shares and 287,967 February 2012 distribution rights shares), and (viii) 473,251 shares held in the reporting person's 401(k) account as of November 20, 2018.

F1 · balance_after: On each of August 30, 2018, September 10, 2018 and October 3, 2018, the reporting person made gifts of 8,150 shares, 2,079 shares and 53,368 shares, respectively, of Class A common stock, par value $0.01 per share ("Class A common stock"), of BGC Partners, Inc. ("BGC") to charitable organizations. Such shares were held by the reporting person's personal asset trust. The reporting person's indirect pecuniary interest in 10,881,211 shares of Class A common stock following such gifts consists of (i) 2,050,197 shares receivable pursuant to deferred stock distribution rights provided to certain current and former partners of Cantor Fitzgerald, L.P. ("CFLP") on April 1, 2008 ("April 2008 distribution rights shares") and 160,675 shares receivable pursuant to deferred stock distribution rights provided to certain current and former partners of CFLP on February 14, 2012 ("February 2012 distribution rights shares") receivable by CF Group Management, Inc.

F2 · balance_after: (continued from footnote 1) ("CFGM"), (ii) 3,618,401 shares held in various trust, retirement and custodial accounts of the reporting person (consisting of (A) 2,153,306 shares held in a personal asset trust, of which the reporting person is sole trustee, (B) 650,587 shares held by a trust (the "Trust"), for the benefit of the descendants of the reporting person and his immediately family, of which the reporting person's spouse is one of two trustees and the reporting person has limited powers to remove and replace such trustees,

F3 · balance_after: (continued from footnote 2) (C) 231,198 shares held in a Keogh retirement account for the reporting person, (D) 537,835 shares held by trust accounts for the benefit of the reporting person and members of his immediately family, (E) 28,602 shares held in other retirement accounts, and (F) 16,873 shares held in custodial accounts for the benefit of certain members of the reporting person's family under the United Gifts to Minors Act; (iii) 1,610,182 shares represented by April 2008 distribution rights shares receivable by the Trust, (iv) 5,548 shares (representing the proportional interest of the spouse of the reporting person in shares owned by LFA LLC ("LFA")), (v) 26,052 shares represented by such spouse's proportional interest in the distribution rights shares receivable by LFA (consisting of 23,780 April 2008 distribution rights shares and 2,272 February 2012 distribution rights shares), (vi) 600,938 shares held by KBCR Management Partners, LLC

F4 · balance_after: (continued from footnote 3)("KBCR"), (vii) 2,335,967 distribution rights shares receivable by KBCR (consisting of 2,048,000 April 2008 distribution rights shares and 287,967 February 2012 distribution rights shares), and (viii) 473,251 shares held in the reporting person's 401(k) account as of November 20, 2018.

F1 · ownership.nature: On each of August 30, 2018, September 10, 2018 and October 3, 2018, the reporting person made gifts of 8,150 shares, 2,079 shares and 53,368 shares, respectively, of Class A common stock, par value $0.01 per share ("Class A common stock"), of BGC Partners, Inc. ("BGC") to charitable organizations. Such shares were held by the reporting person's personal asset trust. The reporting person's indirect pecuniary interest in 10,881,211 shares of Class A common stock following such gifts consists of (i) 2,050,197 shares receivable pursuant to deferred stock distribution rights provided to certain current and former partners of Cantor Fitzgerald, L.P. ("CFLP") on April 1, 2008 ("April 2008 distribution rights shares") and 160,675 shares receivable pursuant to deferred stock distribution rights provided to certain current and former partners of CFLP on February 14, 2012 ("February 2012 distribution rights shares") receivable by CF Group Management, Inc.

F2 · ownership.nature: (continued from footnote 1) ("CFGM"), (ii) 3,618,401 shares held in various trust, retirement and custodial accounts of the reporting person (consisting of (A) 2,153,306 shares held in a personal asset trust, of which the reporting person is sole trustee, (B) 650,587 shares held by a trust (the "Trust"), for the benefit of the descendants of the reporting person and his immediately family, of which the reporting person's spouse is one of two trustees and the reporting person has limited powers to remove and replace such trustees,

F3 · ownership.nature: (continued from footnote 2) (C) 231,198 shares held in a Keogh retirement account for the reporting person, (D) 537,835 shares held by trust accounts for the benefit of the reporting person and members of his immediately family, (E) 28,602 shares held in other retirement accounts, and (F) 16,873 shares held in custodial accounts for the benefit of certain members of the reporting person's family under the United Gifts to Minors Act; (iii) 1,610,182 shares represented by April 2008 distribution rights shares receivable by the Trust, (iv) 5,548 shares (representing the proportional interest of the spouse of the reporting person in shares owned by LFA LLC ("LFA")), (v) 26,052 shares represented by such spouse's proportional interest in the distribution rights shares receivable by LFA (consisting of 23,780 April 2008 distribution rights shares and 2,272 February 2012 distribution rights shares), (vi) 600,938 shares held by KBCR Management Partners, LLC

F4 · ownership.nature: (continued from footnote 3)("KBCR"), (vii) 2,335,967 distribution rights shares receivable by KBCR (consisting of 2,048,000 April 2008 distribution rights shares and 287,967 February 2012 distribution rights shares), and (viii) 473,251 shares held in the reporting person's 401(k) account as of November 20, 2018.

F7 · ownership.nature: CFGM is the Managing General Partner of CFLP, and the reporting person is the Chairman and Chief Executive Officer and also the trustee of an entity that is the sole stockholder of CFGM. KBCR is a non-managing General Partner of CFLP, and the reporting person is the managing member of KBCR. The reporting person is the managing member of LFA. The reporting person disclaims beneficial ownership of all shares held by CFLP, CFGM, KBCR and LFA in excess of his pecuniary interest, if any, and this report shall not be deemed an admission that he is he 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: 0000899243-18-029719 · doc4.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 10,934,579

F1 · price: On each of August 30, 2018, September 10, 2018 and October 3, 2018, the reporting person made gifts of 8,150 shares, 2,079 shares and 53,368 shares, respectively, of Class A common stock, par value $0.01 per share ("Class A common stock"), of BGC Partners, Inc. ("BGC") to charitable organizations. Such shares were held by the reporting person's personal asset trust. The reporting person's indirect pecuniary interest in 10,881,211 shares of Class A common stock following such gifts consists of (i) 2,050,197 shares receivable pursuant to deferred stock distribution rights provided to certain current and former partners of Cantor Fitzgerald, L.P. ("CFLP") on April 1, 2008 ("April 2008 distribution rights shares") and 160,675 shares receivable pursuant to deferred stock distribution rights provided to certain current and former partners of CFLP on February 14, 2012 ("February 2012 distribution rights shares") receivable by CF Group Management, Inc.

F2 · price: (continued from footnote 1) ("CFGM"), (ii) 3,618,401 shares held in various trust, retirement and custodial accounts of the reporting person (consisting of (A) 2,153,306 shares held in a personal asset trust, of which the reporting person is sole trustee, (B) 650,587 shares held by a trust (the "Trust"), for the benefit of the descendants of the reporting person and his immediately family, of which the reporting person's spouse is one of two trustees and the reporting person has limited powers to remove and replace such trustees,

F3 · price: (continued from footnote 2) (C) 231,198 shares held in a Keogh retirement account for the reporting person, (D) 537,835 shares held by trust accounts for the benefit of the reporting person and members of his immediately family, (E) 28,602 shares held in other retirement accounts, and (F) 16,873 shares held in custodial accounts for the benefit of certain members of the reporting person's family under the United Gifts to Minors Act; (iii) 1,610,182 shares represented by April 2008 distribution rights shares receivable by the Trust, (iv) 5,548 shares (representing the proportional interest of the spouse of the reporting person in shares owned by LFA LLC ("LFA")), (v) 26,052 shares represented by such spouse's proportional interest in the distribution rights shares receivable by LFA (consisting of 23,780 April 2008 distribution rights shares and 2,272 February 2012 distribution rights shares), (vi) 600,938 shares held by KBCR Management Partners, LLC

F4 · price: (continued from footnote 3)("KBCR"), (vii) 2,335,967 distribution rights shares receivable by KBCR (consisting of 2,048,000 April 2008 distribution rights shares and 287,967 February 2012 distribution rights shares), and (viii) 473,251 shares held in the reporting person's 401(k) account as of November 20, 2018.

F1 · balance_after: On each of August 30, 2018, September 10, 2018 and October 3, 2018, the reporting person made gifts of 8,150 shares, 2,079 shares and 53,368 shares, respectively, of Class A common stock, par value $0.01 per share ("Class A common stock"), of BGC Partners, Inc. ("BGC") to charitable organizations. Such shares were held by the reporting person's personal asset trust. The reporting person's indirect pecuniary interest in 10,881,211 shares of Class A common stock following such gifts consists of (i) 2,050,197 shares receivable pursuant to deferred stock distribution rights provided to certain current and former partners of Cantor Fitzgerald, L.P. ("CFLP") on April 1, 2008 ("April 2008 distribution rights shares") and 160,675 shares receivable pursuant to deferred stock distribution rights provided to certain current and former partners of CFLP on February 14, 2012 ("February 2012 distribution rights shares") receivable by CF Group Management, Inc.

F2 · balance_after: (continued from footnote 1) ("CFGM"), (ii) 3,618,401 shares held in various trust, retirement and custodial accounts of the reporting person (consisting of (A) 2,153,306 shares held in a personal asset trust, of which the reporting person is sole trustee, (B) 650,587 shares held by a trust (the "Trust"), for the benefit of the descendants of the reporting person and his immediately family, of which the reporting person's spouse is one of two trustees and the reporting person has limited powers to remove and replace such trustees,

F3 · balance_after: (continued from footnote 2) (C) 231,198 shares held in a Keogh retirement account for the reporting person, (D) 537,835 shares held by trust accounts for the benefit of the reporting person and members of his immediately family, (E) 28,602 shares held in other retirement accounts, and (F) 16,873 shares held in custodial accounts for the benefit of certain members of the reporting person's family under the United Gifts to Minors Act; (iii) 1,610,182 shares represented by April 2008 distribution rights shares receivable by the Trust, (iv) 5,548 shares (representing the proportional interest of the spouse of the reporting person in shares owned by LFA LLC ("LFA")), (v) 26,052 shares represented by such spouse's proportional interest in the distribution rights shares receivable by LFA (consisting of 23,780 April 2008 distribution rights shares and 2,272 February 2012 distribution rights shares), (vi) 600,938 shares held by KBCR Management Partners, LLC

F4 · balance_after: (continued from footnote 3)("KBCR"), (vii) 2,335,967 distribution rights shares receivable by KBCR (consisting of 2,048,000 April 2008 distribution rights shares and 287,967 February 2012 distribution rights shares), and (viii) 473,251 shares held in the reporting person's 401(k) account as of November 20, 2018.

F1 · ownership.nature: On each of August 30, 2018, September 10, 2018 and October 3, 2018, the reporting person made gifts of 8,150 shares, 2,079 shares and 53,368 shares, respectively, of Class A common stock, par value $0.01 per share ("Class A common stock"), of BGC Partners, Inc. ("BGC") to charitable organizations. Such shares were held by the reporting person's personal asset trust. The reporting person's indirect pecuniary interest in 10,881,211 shares of Class A common stock following such gifts consists of (i) 2,050,197 shares receivable pursuant to deferred stock distribution rights provided to certain current and former partners of Cantor Fitzgerald, L.P. ("CFLP") on April 1, 2008 ("April 2008 distribution rights shares") and 160,675 shares receivable pursuant to deferred stock distribution rights provided to certain current and former partners of CFLP on February 14, 2012 ("February 2012 distribution rights shares") receivable by CF Group Management, Inc.

F2 · ownership.nature: (continued from footnote 1) ("CFGM"), (ii) 3,618,401 shares held in various trust, retirement and custodial accounts of the reporting person (consisting of (A) 2,153,306 shares held in a personal asset trust, of which the reporting person is sole trustee, (B) 650,587 shares held by a trust (the "Trust"), for the benefit of the descendants of the reporting person and his immediately family, of which the reporting person's spouse is one of two trustees and the reporting person has limited powers to remove and replace such trustees,

F3 · ownership.nature: (continued from footnote 2) (C) 231,198 shares held in a Keogh retirement account for the reporting person, (D) 537,835 shares held by trust accounts for the benefit of the reporting person and members of his immediately family, (E) 28,602 shares held in other retirement accounts, and (F) 16,873 shares held in custodial accounts for the benefit of certain members of the reporting person's family under the United Gifts to Minors Act; (iii) 1,610,182 shares represented by April 2008 distribution rights shares receivable by the Trust, (iv) 5,548 shares (representing the proportional interest of the spouse of the reporting person in shares owned by LFA LLC ("LFA")), (v) 26,052 shares represented by such spouse's proportional interest in the distribution rights shares receivable by LFA (consisting of 23,780 April 2008 distribution rights shares and 2,272 February 2012 distribution rights shares), (vi) 600,938 shares held by KBCR Management Partners, LLC

F4 · ownership.nature: (continued from footnote 3)("KBCR"), (vii) 2,335,967 distribution rights shares receivable by KBCR (consisting of 2,048,000 April 2008 distribution rights shares and 287,967 February 2012 distribution rights shares), and (viii) 473,251 shares held in the reporting person's 401(k) account as of November 20, 2018.

F5 · ownership.nature: Pursuant to the Exchange Agreement, dated as of June 5, 2015, by and among BGC, CFLP, CFGM and the other parties thereto (the "Exchange Agreement"), on November 21, 2018, CFLP exchanged 10,323,366 shares of Class A common stock, on a one-for-one basis, for 10,323,366 shares of Class B common stock, par value $0.01 per share ("Class B common stock"), of BGC, in a transaction exempt pursuant to Rules 16b-3 and 16b-6(b) under the Securities Exchange Act of 1934, as amended (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. This transaction does not impact the fully diluted share count of BGC.

F7 · ownership.nature: CFGM is the Managing General Partner of CFLP, and the reporting person is the Chairman and Chief Executive Officer and also the trustee of an entity that is the sole stockholder of CFGM. KBCR is a non-managing General Partner of CFLP, and the reporting person is the managing member of KBCR. The reporting person is the managing member of LFA. The reporting person disclaims beneficial ownership of all shares held by CFLP, CFGM, KBCR and LFA in excess of his pecuniary interest, if any, and this report shall not be deemed an admission that he is he 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: 0000899243-18-029719 · doc4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 10,936,658

F1 · price: On each of August 30, 2018, September 10, 2018 and October 3, 2018, the reporting person made gifts of 8,150 shares, 2,079 shares and 53,368 shares, respectively, of Class A common stock, par value $0.01 per share ("Class A common stock"), of BGC Partners, Inc. ("BGC") to charitable organizations. Such shares were held by the reporting person's personal asset trust. The reporting person's indirect pecuniary interest in 10,881,211 shares of Class A common stock following such gifts consists of (i) 2,050,197 shares receivable pursuant to deferred stock distribution rights provided to certain current and former partners of Cantor Fitzgerald, L.P. ("CFLP") on April 1, 2008 ("April 2008 distribution rights shares") and 160,675 shares receivable pursuant to deferred stock distribution rights provided to certain current and former partners of CFLP on February 14, 2012 ("February 2012 distribution rights shares") receivable by CF Group Management, Inc.

F2 · price: (continued from footnote 1) ("CFGM"), (ii) 3,618,401 shares held in various trust, retirement and custodial accounts of the reporting person (consisting of (A) 2,153,306 shares held in a personal asset trust, of which the reporting person is sole trustee, (B) 650,587 shares held by a trust (the "Trust"), for the benefit of the descendants of the reporting person and his immediately family, of which the reporting person's spouse is one of two trustees and the reporting person has limited powers to remove and replace such trustees,

F3 · price: (continued from footnote 2) (C) 231,198 shares held in a Keogh retirement account for the reporting person, (D) 537,835 shares held by trust accounts for the benefit of the reporting person and members of his immediately family, (E) 28,602 shares held in other retirement accounts, and (F) 16,873 shares held in custodial accounts for the benefit of certain members of the reporting person's family under the United Gifts to Minors Act; (iii) 1,610,182 shares represented by April 2008 distribution rights shares receivable by the Trust, (iv) 5,548 shares (representing the proportional interest of the spouse of the reporting person in shares owned by LFA LLC ("LFA")), (v) 26,052 shares represented by such spouse's proportional interest in the distribution rights shares receivable by LFA (consisting of 23,780 April 2008 distribution rights shares and 2,272 February 2012 distribution rights shares), (vi) 600,938 shares held by KBCR Management Partners, LLC

F4 · price: (continued from footnote 3)("KBCR"), (vii) 2,335,967 distribution rights shares receivable by KBCR (consisting of 2,048,000 April 2008 distribution rights shares and 287,967 February 2012 distribution rights shares), and (viii) 473,251 shares held in the reporting person's 401(k) account as of November 20, 2018.

F1 · balance_after: On each of August 30, 2018, September 10, 2018 and October 3, 2018, the reporting person made gifts of 8,150 shares, 2,079 shares and 53,368 shares, respectively, of Class A common stock, par value $0.01 per share ("Class A common stock"), of BGC Partners, Inc. ("BGC") to charitable organizations. Such shares were held by the reporting person's personal asset trust. The reporting person's indirect pecuniary interest in 10,881,211 shares of Class A common stock following such gifts consists of (i) 2,050,197 shares receivable pursuant to deferred stock distribution rights provided to certain current and former partners of Cantor Fitzgerald, L.P. ("CFLP") on April 1, 2008 ("April 2008 distribution rights shares") and 160,675 shares receivable pursuant to deferred stock distribution rights provided to certain current and former partners of CFLP on February 14, 2012 ("February 2012 distribution rights shares") receivable by CF Group Management, Inc.

F2 · balance_after: (continued from footnote 1) ("CFGM"), (ii) 3,618,401 shares held in various trust, retirement and custodial accounts of the reporting person (consisting of (A) 2,153,306 shares held in a personal asset trust, of which the reporting person is sole trustee, (B) 650,587 shares held by a trust (the "Trust"), for the benefit of the descendants of the reporting person and his immediately family, of which the reporting person's spouse is one of two trustees and the reporting person has limited powers to remove and replace such trustees,

F3 · balance_after: (continued from footnote 2) (C) 231,198 shares held in a Keogh retirement account for the reporting person, (D) 537,835 shares held by trust accounts for the benefit of the reporting person and members of his immediately family, (E) 28,602 shares held in other retirement accounts, and (F) 16,873 shares held in custodial accounts for the benefit of certain members of the reporting person's family under the United Gifts to Minors Act; (iii) 1,610,182 shares represented by April 2008 distribution rights shares receivable by the Trust, (iv) 5,548 shares (representing the proportional interest of the spouse of the reporting person in shares owned by LFA LLC ("LFA")), (v) 26,052 shares represented by such spouse's proportional interest in the distribution rights shares receivable by LFA (consisting of 23,780 April 2008 distribution rights shares and 2,272 February 2012 distribution rights shares), (vi) 600,938 shares held by KBCR Management Partners, LLC

F4 · balance_after: (continued from footnote 3)("KBCR"), (vii) 2,335,967 distribution rights shares receivable by KBCR (consisting of 2,048,000 April 2008 distribution rights shares and 287,967 February 2012 distribution rights shares), and (viii) 473,251 shares held in the reporting person's 401(k) account as of November 20, 2018.

F1 · ownership.nature: On each of August 30, 2018, September 10, 2018 and October 3, 2018, the reporting person made gifts of 8,150 shares, 2,079 shares and 53,368 shares, respectively, of Class A common stock, par value $0.01 per share ("Class A common stock"), of BGC Partners, Inc. ("BGC") to charitable organizations. Such shares were held by the reporting person's personal asset trust. The reporting person's indirect pecuniary interest in 10,881,211 shares of Class A common stock following such gifts consists of (i) 2,050,197 shares receivable pursuant to deferred stock distribution rights provided to certain current and former partners of Cantor Fitzgerald, L.P. ("CFLP") on April 1, 2008 ("April 2008 distribution rights shares") and 160,675 shares receivable pursuant to deferred stock distribution rights provided to certain current and former partners of CFLP on February 14, 2012 ("February 2012 distribution rights shares") receivable by CF Group Management, Inc.

F2 · ownership.nature: (continued from footnote 1) ("CFGM"), (ii) 3,618,401 shares held in various trust, retirement and custodial accounts of the reporting person (consisting of (A) 2,153,306 shares held in a personal asset trust, of which the reporting person is sole trustee, (B) 650,587 shares held by a trust (the "Trust"), for the benefit of the descendants of the reporting person and his immediately family, of which the reporting person's spouse is one of two trustees and the reporting person has limited powers to remove and replace such trustees,

F3 · ownership.nature: (continued from footnote 2) (C) 231,198 shares held in a Keogh retirement account for the reporting person, (D) 537,835 shares held by trust accounts for the benefit of the reporting person and members of his immediately family, (E) 28,602 shares held in other retirement accounts, and (F) 16,873 shares held in custodial accounts for the benefit of certain members of the reporting person's family under the United Gifts to Minors Act; (iii) 1,610,182 shares represented by April 2008 distribution rights shares receivable by the Trust, (iv) 5,548 shares (representing the proportional interest of the spouse of the reporting person in shares owned by LFA LLC ("LFA")), (v) 26,052 shares represented by such spouse's proportional interest in the distribution rights shares receivable by LFA (consisting of 23,780 April 2008 distribution rights shares and 2,272 February 2012 distribution rights shares), (vi) 600,938 shares held by KBCR Management Partners, LLC

F4 · ownership.nature: (continued from footnote 3)("KBCR"), (vii) 2,335,967 distribution rights shares receivable by KBCR (consisting of 2,048,000 April 2008 distribution rights shares and 287,967 February 2012 distribution rights shares), and (viii) 473,251 shares held in the reporting person's 401(k) account as of November 20, 2018.

F5 · ownership.nature: Pursuant to the Exchange Agreement, dated as of June 5, 2015, by and among BGC, CFLP, CFGM and the other parties thereto (the "Exchange Agreement"), on November 21, 2018, CFLP exchanged 10,323,366 shares of Class A common stock, on a one-for-one basis, for 10,323,366 shares of Class B common stock, par value $0.01 per share ("Class B common stock"), of BGC, in a transaction exempt pursuant to Rules 16b-3 and 16b-6(b) under the Securities Exchange Act of 1934, as amended (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. This transaction does not impact the fully diluted share count of BGC.

F7 · ownership.nature: CFGM is the Managing General Partner of CFLP, and the reporting person is the Chairman and Chief Executive Officer and also the trustee of an entity that is the sole stockholder of CFGM. KBCR is a non-managing General Partner of CFLP, and the reporting person is the managing member of KBCR. The reporting person is the managing member of LFA. The reporting person disclaims beneficial ownership of all shares held by CFLP, CFGM, KBCR and LFA in excess of his pecuniary interest, if any, and this report shall not be deemed an admission that he is he 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: 0001437749-18-008726 · rdgdoc.xml · nonDerivative · entry 6

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnotes

Disclosed balance after: 21,671,429

F1 · kind: On May 3, 2018, Cantor Fitzgerald, L.P. ("CFLP") distributed to its partners pro rata an aggregate of 3,711,675 shares of Class A Common Stock , which includes the 1,712,149 shares of Class A Common Stock referred to in the first row of Table I, the 114,836 shares of Class A Common Stock referred to in the second row of Table I, the 205,813 shares of Class A Common Stock referred to in the third row of Table I, the 336,072 shares of Class A Common Stock referred to in the fourth row of Table I, and the 2,015 shares of Class A Common Stock referred to in the fifth Row of Table I, which shares were acquired in such distribution by the reporting person, CF Group Management, Inc. ("CFGM"), KBCR Management Partners, LLC ("KBCR") and the spouse of the reporting person (continued in footnote 2);

F2 · kind: (representing such spouse's proportional interest in the shares distributed to LFA LLC ("LFA")), respectively, in transactions exempt under Rule 16a-9(a) under the Securities Exchange Act of 1934, as amended (the "Exchange Act"). The shares of Class A Common Stock distributed by CFLP were already outstanding and the distribution does not impact the fully-diluted share count of BGC Partners, Inc. The reporting person does not currently intend to sell these shares.

F1 · shares: On May 3, 2018, Cantor Fitzgerald, L.P. ("CFLP") distributed to its partners pro rata an aggregate of 3,711,675 shares of Class A Common Stock , which includes the 1,712,149 shares of Class A Common Stock referred to in the first row of Table I, the 114,836 shares of Class A Common Stock referred to in the second row of Table I, the 205,813 shares of Class A Common Stock referred to in the third row of Table I, the 336,072 shares of Class A Common Stock referred to in the fourth row of Table I, and the 2,015 shares of Class A Common Stock referred to in the fifth Row of Table I, which shares were acquired in such distribution by the reporting person, CF Group Management, Inc. ("CFGM"), KBCR Management Partners, LLC ("KBCR") and the spouse of the reporting person (continued in footnote 2);

F2 · shares: (representing such spouse's proportional interest in the shares distributed to LFA LLC ("LFA")), respectively, in transactions exempt under Rule 16a-9(a) under the Securities Exchange Act of 1934, as amended (the "Exchange Act"). The shares of Class A Common Stock distributed by CFLP were already outstanding and the distribution does not impact the fully-diluted share count of BGC Partners, Inc. The reporting person does not currently intend to sell these shares.

F4 · ownership.nature: The reporting person's indirect pecuniary interest in 21,671,429 shares of Class A Common Stock consists of (i) 10,366,753 shares held by CFLP (after the distribution of the 3,711,675 shares referred to in footnote 1); (ii) 712,907 shares held by CFGM (after the acquisition in the distribution of the 114,836 shares referred to footnote 1), (iii) 2,050,197 April 2008 distribution rights shares and 160,675 February 2012 distribution rights shares receivable by CFGM (continued in footnote 5);

F5 · ownership.nature: (iv) 3,506,486 shares held in various trust, retirement and custodial accounts of the reporting person (consisting of (A) 2,069,456 shares held in a personal asset trust, of which the reporting person is sole trustee, (B) 631,046 shares held by a trust (the "Trust") (after the acquisition in the distribution of the 336,072 shares referred to in footnote 1), for the benefit of the descendants of the reporting person and his immediately family, of which the reporting person's spouse is one of two trustees and the reporting person has limited powers to remove and replace such trustees, (C) 224,254 shares held in a Keogh retirement account for the reporting person, (D) 537,620 shares held by trust accounts for the benefit of the reporting person and members of his immediately family, (E) 27,743 shares held in other retirement accounts, and (F) 16,367 shares held in custodial accounts for the benefit of certain members of the reporting person's family (continued in footnote 6);

F6 · ownership.nature: under the United Gifts to Minors Act; (v) 1,610,182 shares represented by April 2008 distribution rights shares receivable by the Trust, (vi) 5,548 shares (representing the proportional interest of the spouse of the reporting person in shares owned by LFA (after the acquisition in the distribution of the 2,015 shares referred to in footnote 2)), (vii) 26,052 shares represented by such spouse's proportional interest in the distribution rights shares receivable by LFA (consisting of 23,780 April 2008 distribution rights shares and 2,272 February 2012 distribution rights shares) (continued in footnote 7);

F7 · ownership.nature: (viii) 600,938 shares held by KBCR (after the acquisition in the distribution of the 205,813 shares referred to in footnote 2), (ix) 2,335,967 shares represented by distribution rights receivable by KBCR (consisting of 2,048,000 April 2008 distribution rights shares and 287,967 February 2012 distribution rights shares), and (x) 456,399 shares held in the reporting person's 401(k) account as of April 30, 2018,

F8 · ownership.nature: CFGM is the Managing General Partner of CFLP, and the reporting person is the Chairman and Chief Executive Officer and also the trustee of an entity that is the sole stockholder of CFGM. KBCR is a non-managing General Partner of CFLP, and the reporting person is the managing member of KBCR. The reporting person is the managing member of LFA. The reporting person disclaims beneficial ownership of all shares held by CFLP, CFGM, KBCR and LFA in excess of his pecuniary interest, if any, and this report shall not be deemed an admission that he is he 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: 0001437749-18-008726 · rdgdoc.xml · nonDerivative · entry 5

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnotes

Disclosed balance after: 5,548

F1 · kind: On May 3, 2018, Cantor Fitzgerald, L.P. ("CFLP") distributed to its partners pro rata an aggregate of 3,711,675 shares of Class A Common Stock , which includes the 1,712,149 shares of Class A Common Stock referred to in the first row of Table I, the 114,836 shares of Class A Common Stock referred to in the second row of Table I, the 205,813 shares of Class A Common Stock referred to in the third row of Table I, the 336,072 shares of Class A Common Stock referred to in the fourth row of Table I, and the 2,015 shares of Class A Common Stock referred to in the fifth Row of Table I, which shares were acquired in such distribution by the reporting person, CF Group Management, Inc. ("CFGM"), KBCR Management Partners, LLC ("KBCR") and the spouse of the reporting person (continued in footnote 2);

F2 · kind: (representing such spouse's proportional interest in the shares distributed to LFA LLC ("LFA")), respectively, in transactions exempt under Rule 16a-9(a) under the Securities Exchange Act of 1934, as amended (the "Exchange Act"). The shares of Class A Common Stock distributed by CFLP were already outstanding and the distribution does not impact the fully-diluted share count of BGC Partners, Inc. The reporting person does not currently intend to sell these shares.

F1 · shares: On May 3, 2018, Cantor Fitzgerald, L.P. ("CFLP") distributed to its partners pro rata an aggregate of 3,711,675 shares of Class A Common Stock , which includes the 1,712,149 shares of Class A Common Stock referred to in the first row of Table I, the 114,836 shares of Class A Common Stock referred to in the second row of Table I, the 205,813 shares of Class A Common Stock referred to in the third row of Table I, the 336,072 shares of Class A Common Stock referred to in the fourth row of Table I, and the 2,015 shares of Class A Common Stock referred to in the fifth Row of Table I, which shares were acquired in such distribution by the reporting person, CF Group Management, Inc. ("CFGM"), KBCR Management Partners, LLC ("KBCR") and the spouse of the reporting person (continued in footnote 2);

F2 · shares: (representing such spouse's proportional interest in the shares distributed to LFA LLC ("LFA")), respectively, in transactions exempt under Rule 16a-9(a) under the Securities Exchange Act of 1934, as amended (the "Exchange Act"). The shares of Class A Common Stock distributed by CFLP were already outstanding and the distribution does not impact the fully-diluted share count of BGC Partners, Inc. The reporting person does not currently intend to sell these shares.

F4 · ownership.nature: The reporting person's indirect pecuniary interest in 21,671,429 shares of Class A Common Stock consists of (i) 10,366,753 shares held by CFLP (after the distribution of the 3,711,675 shares referred to in footnote 1); (ii) 712,907 shares held by CFGM (after the acquisition in the distribution of the 114,836 shares referred to footnote 1), (iii) 2,050,197 April 2008 distribution rights shares and 160,675 February 2012 distribution rights shares receivable by CFGM (continued in footnote 5);

F5 · ownership.nature: (iv) 3,506,486 shares held in various trust, retirement and custodial accounts of the reporting person (consisting of (A) 2,069,456 shares held in a personal asset trust, of which the reporting person is sole trustee, (B) 631,046 shares held by a trust (the "Trust") (after the acquisition in the distribution of the 336,072 shares referred to in footnote 1), for the benefit of the descendants of the reporting person and his immediately family, of which the reporting person's spouse is one of two trustees and the reporting person has limited powers to remove and replace such trustees, (C) 224,254 shares held in a Keogh retirement account for the reporting person, (D) 537,620 shares held by trust accounts for the benefit of the reporting person and members of his immediately family, (E) 27,743 shares held in other retirement accounts, and (F) 16,367 shares held in custodial accounts for the benefit of certain members of the reporting person's family (continued in footnote 6);

F6 · ownership.nature: under the United Gifts to Minors Act; (v) 1,610,182 shares represented by April 2008 distribution rights shares receivable by the Trust, (vi) 5,548 shares (representing the proportional interest of the spouse of the reporting person in shares owned by LFA (after the acquisition in the distribution of the 2,015 shares referred to in footnote 2)), (vii) 26,052 shares represented by such spouse's proportional interest in the distribution rights shares receivable by LFA (consisting of 23,780 April 2008 distribution rights shares and 2,272 February 2012 distribution rights shares) (continued in footnote 7);

F7 · ownership.nature: (viii) 600,938 shares held by KBCR (after the acquisition in the distribution of the 205,813 shares referred to in footnote 2), (ix) 2,335,967 shares represented by distribution rights receivable by KBCR (consisting of 2,048,000 April 2008 distribution rights shares and 287,967 February 2012 distribution rights shares), and (x) 456,399 shares held in the reporting person's 401(k) account as of April 30, 2018,

F8 · ownership.nature: CFGM is the Managing General Partner of CFLP, and the reporting person is the Chairman and Chief Executive Officer and also the trustee of an entity that is the sole stockholder of CFGM. KBCR is a non-managing General Partner of CFLP, and the reporting person is the managing member of KBCR. The reporting person is the managing member of LFA. The reporting person disclaims beneficial ownership of all shares held by CFLP, CFGM, KBCR and LFA in excess of his pecuniary interest, if any, and this report shall not be deemed an admission that he is he 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: 0001437749-18-008726 · rdgdoc.xml · nonDerivative · entry 4

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnotes

Disclosed balance after: 631,046

F1 · kind: On May 3, 2018, Cantor Fitzgerald, L.P. ("CFLP") distributed to its partners pro rata an aggregate of 3,711,675 shares of Class A Common Stock , which includes the 1,712,149 shares of Class A Common Stock referred to in the first row of Table I, the 114,836 shares of Class A Common Stock referred to in the second row of Table I, the 205,813 shares of Class A Common Stock referred to in the third row of Table I, the 336,072 shares of Class A Common Stock referred to in the fourth row of Table I, and the 2,015 shares of Class A Common Stock referred to in the fifth Row of Table I, which shares were acquired in such distribution by the reporting person, CF Group Management, Inc. ("CFGM"), KBCR Management Partners, LLC ("KBCR") and the spouse of the reporting person (continued in footnote 2);

F2 · kind: (representing such spouse's proportional interest in the shares distributed to LFA LLC ("LFA")), respectively, in transactions exempt under Rule 16a-9(a) under the Securities Exchange Act of 1934, as amended (the "Exchange Act"). The shares of Class A Common Stock distributed by CFLP were already outstanding and the distribution does not impact the fully-diluted share count of BGC Partners, Inc. The reporting person does not currently intend to sell these shares.

F1 · shares: On May 3, 2018, Cantor Fitzgerald, L.P. ("CFLP") distributed to its partners pro rata an aggregate of 3,711,675 shares of Class A Common Stock , which includes the 1,712,149 shares of Class A Common Stock referred to in the first row of Table I, the 114,836 shares of Class A Common Stock referred to in the second row of Table I, the 205,813 shares of Class A Common Stock referred to in the third row of Table I, the 336,072 shares of Class A Common Stock referred to in the fourth row of Table I, and the 2,015 shares of Class A Common Stock referred to in the fifth Row of Table I, which shares were acquired in such distribution by the reporting person, CF Group Management, Inc. ("CFGM"), KBCR Management Partners, LLC ("KBCR") and the spouse of the reporting person (continued in footnote 2);

F2 · shares: (representing such spouse's proportional interest in the shares distributed to LFA LLC ("LFA")), respectively, in transactions exempt under Rule 16a-9(a) under the Securities Exchange Act of 1934, as amended (the "Exchange Act"). The shares of Class A Common Stock distributed by CFLP were already outstanding and the distribution does not impact the fully-diluted share count of BGC Partners, Inc. The reporting person does not currently intend to sell these shares.

F4 · ownership.nature: The reporting person's indirect pecuniary interest in 21,671,429 shares of Class A Common Stock consists of (i) 10,366,753 shares held by CFLP (after the distribution of the 3,711,675 shares referred to in footnote 1); (ii) 712,907 shares held by CFGM (after the acquisition in the distribution of the 114,836 shares referred to footnote 1), (iii) 2,050,197 April 2008 distribution rights shares and 160,675 February 2012 distribution rights shares receivable by CFGM (continued in footnote 5);

F5 · ownership.nature: (iv) 3,506,486 shares held in various trust, retirement and custodial accounts of the reporting person (consisting of (A) 2,069,456 shares held in a personal asset trust, of which the reporting person is sole trustee, (B) 631,046 shares held by a trust (the "Trust") (after the acquisition in the distribution of the 336,072 shares referred to in footnote 1), for the benefit of the descendants of the reporting person and his immediately family, of which the reporting person's spouse is one of two trustees and the reporting person has limited powers to remove and replace such trustees, (C) 224,254 shares held in a Keogh retirement account for the reporting person, (D) 537,620 shares held by trust accounts for the benefit of the reporting person and members of his immediately family, (E) 27,743 shares held in other retirement accounts, and (F) 16,367 shares held in custodial accounts for the benefit of certain members of the reporting person's family (continued in footnote 6);

F6 · ownership.nature: under the United Gifts to Minors Act; (v) 1,610,182 shares represented by April 2008 distribution rights shares receivable by the Trust, (vi) 5,548 shares (representing the proportional interest of the spouse of the reporting person in shares owned by LFA (after the acquisition in the distribution of the 2,015 shares referred to in footnote 2)), (vii) 26,052 shares represented by such spouse's proportional interest in the distribution rights shares receivable by LFA (consisting of 23,780 April 2008 distribution rights shares and 2,272 February 2012 distribution rights shares) (continued in footnote 7);

F7 · ownership.nature: (viii) 600,938 shares held by KBCR (after the acquisition in the distribution of the 205,813 shares referred to in footnote 2), (ix) 2,335,967 shares represented by distribution rights receivable by KBCR (consisting of 2,048,000 April 2008 distribution rights shares and 287,967 February 2012 distribution rights shares), and (x) 456,399 shares held in the reporting person's 401(k) account as of April 30, 2018,

F8 · ownership.nature: CFGM is the Managing General Partner of CFLP, and the reporting person is the Chairman and Chief Executive Officer and also the trustee of an entity that is the sole stockholder of CFGM. KBCR is a non-managing General Partner of CFLP, and the reporting person is the managing member of KBCR. The reporting person is the managing member of LFA. The reporting person disclaims beneficial ownership of all shares held by CFLP, CFGM, KBCR and LFA in excess of his pecuniary interest, if any, and this report shall not be deemed an admission that he is he 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: 0001437749-18-008726 · rdgdoc.xml · nonDerivative · entry 3

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnotes

Disclosed balance after: 2,936,905

F1 · kind: On May 3, 2018, Cantor Fitzgerald, L.P. ("CFLP") distributed to its partners pro rata an aggregate of 3,711,675 shares of Class A Common Stock , which includes the 1,712,149 shares of Class A Common Stock referred to in the first row of Table I, the 114,836 shares of Class A Common Stock referred to in the second row of Table I, the 205,813 shares of Class A Common Stock referred to in the third row of Table I, the 336,072 shares of Class A Common Stock referred to in the fourth row of Table I, and the 2,015 shares of Class A Common Stock referred to in the fifth Row of Table I, which shares were acquired in such distribution by the reporting person, CF Group Management, Inc. ("CFGM"), KBCR Management Partners, LLC ("KBCR") and the spouse of the reporting person (continued in footnote 2);

F2 · kind: (representing such spouse's proportional interest in the shares distributed to LFA LLC ("LFA")), respectively, in transactions exempt under Rule 16a-9(a) under the Securities Exchange Act of 1934, as amended (the "Exchange Act"). The shares of Class A Common Stock distributed by CFLP were already outstanding and the distribution does not impact the fully-diluted share count of BGC Partners, Inc. The reporting person does not currently intend to sell these shares.

F1 · shares: On May 3, 2018, Cantor Fitzgerald, L.P. ("CFLP") distributed to its partners pro rata an aggregate of 3,711,675 shares of Class A Common Stock , which includes the 1,712,149 shares of Class A Common Stock referred to in the first row of Table I, the 114,836 shares of Class A Common Stock referred to in the second row of Table I, the 205,813 shares of Class A Common Stock referred to in the third row of Table I, the 336,072 shares of Class A Common Stock referred to in the fourth row of Table I, and the 2,015 shares of Class A Common Stock referred to in the fifth Row of Table I, which shares were acquired in such distribution by the reporting person, CF Group Management, Inc. ("CFGM"), KBCR Management Partners, LLC ("KBCR") and the spouse of the reporting person (continued in footnote 2);

F2 · shares: (representing such spouse's proportional interest in the shares distributed to LFA LLC ("LFA")), respectively, in transactions exempt under Rule 16a-9(a) under the Securities Exchange Act of 1934, as amended (the "Exchange Act"). The shares of Class A Common Stock distributed by CFLP were already outstanding and the distribution does not impact the fully-diluted share count of BGC Partners, Inc. The reporting person does not currently intend to sell these shares.

F4 · ownership.nature: The reporting person's indirect pecuniary interest in 21,671,429 shares of Class A Common Stock consists of (i) 10,366,753 shares held by CFLP (after the distribution of the 3,711,675 shares referred to in footnote 1); (ii) 712,907 shares held by CFGM (after the acquisition in the distribution of the 114,836 shares referred to footnote 1), (iii) 2,050,197 April 2008 distribution rights shares and 160,675 February 2012 distribution rights shares receivable by CFGM (continued in footnote 5);

F5 · ownership.nature: (iv) 3,506,486 shares held in various trust, retirement and custodial accounts of the reporting person (consisting of (A) 2,069,456 shares held in a personal asset trust, of which the reporting person is sole trustee, (B) 631,046 shares held by a trust (the "Trust") (after the acquisition in the distribution of the 336,072 shares referred to in footnote 1), for the benefit of the descendants of the reporting person and his immediately family, of which the reporting person's spouse is one of two trustees and the reporting person has limited powers to remove and replace such trustees, (C) 224,254 shares held in a Keogh retirement account for the reporting person, (D) 537,620 shares held by trust accounts for the benefit of the reporting person and members of his immediately family, (E) 27,743 shares held in other retirement accounts, and (F) 16,367 shares held in custodial accounts for the benefit of certain members of the reporting person's family (continued in footnote 6);

F6 · ownership.nature: under the United Gifts to Minors Act; (v) 1,610,182 shares represented by April 2008 distribution rights shares receivable by the Trust, (vi) 5,548 shares (representing the proportional interest of the spouse of the reporting person in shares owned by LFA (after the acquisition in the distribution of the 2,015 shares referred to in footnote 2)), (vii) 26,052 shares represented by such spouse's proportional interest in the distribution rights shares receivable by LFA (consisting of 23,780 April 2008 distribution rights shares and 2,272 February 2012 distribution rights shares) (continued in footnote 7);

F7 · ownership.nature: (viii) 600,938 shares held by KBCR (after the acquisition in the distribution of the 205,813 shares referred to in footnote 2), (ix) 2,335,967 shares represented by distribution rights receivable by KBCR (consisting of 2,048,000 April 2008 distribution rights shares and 287,967 February 2012 distribution rights shares), and (x) 456,399 shares held in the reporting person's 401(k) account as of April 30, 2018,

F8 · ownership.nature: CFGM is the Managing General Partner of CFLP, and the reporting person is the Chairman and Chief Executive Officer and also the trustee of an entity that is the sole stockholder of CFGM. KBCR is a non-managing General Partner of CFLP, and the reporting person is the managing member of KBCR. The reporting person is the managing member of LFA. The reporting person disclaims beneficial ownership of all shares held by CFLP, CFGM, KBCR and LFA in excess of his pecuniary interest, if any, and this report shall not be deemed an admission that he is he 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: 0001437749-18-008726 · rdgdoc.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnotes

Disclosed balance after: 2,923,779

F1 · kind: On May 3, 2018, Cantor Fitzgerald, L.P. ("CFLP") distributed to its partners pro rata an aggregate of 3,711,675 shares of Class A Common Stock , which includes the 1,712,149 shares of Class A Common Stock referred to in the first row of Table I, the 114,836 shares of Class A Common Stock referred to in the second row of Table I, the 205,813 shares of Class A Common Stock referred to in the third row of Table I, the 336,072 shares of Class A Common Stock referred to in the fourth row of Table I, and the 2,015 shares of Class A Common Stock referred to in the fifth Row of Table I, which shares were acquired in such distribution by the reporting person, CF Group Management, Inc. ("CFGM"), KBCR Management Partners, LLC ("KBCR") and the spouse of the reporting person (continued in footnote 2);

F2 · kind: (representing such spouse's proportional interest in the shares distributed to LFA LLC ("LFA")), respectively, in transactions exempt under Rule 16a-9(a) under the Securities Exchange Act of 1934, as amended (the "Exchange Act"). The shares of Class A Common Stock distributed by CFLP were already outstanding and the distribution does not impact the fully-diluted share count of BGC Partners, Inc. The reporting person does not currently intend to sell these shares.

F1 · shares: On May 3, 2018, Cantor Fitzgerald, L.P. ("CFLP") distributed to its partners pro rata an aggregate of 3,711,675 shares of Class A Common Stock , which includes the 1,712,149 shares of Class A Common Stock referred to in the first row of Table I, the 114,836 shares of Class A Common Stock referred to in the second row of Table I, the 205,813 shares of Class A Common Stock referred to in the third row of Table I, the 336,072 shares of Class A Common Stock referred to in the fourth row of Table I, and the 2,015 shares of Class A Common Stock referred to in the fifth Row of Table I, which shares were acquired in such distribution by the reporting person, CF Group Management, Inc. ("CFGM"), KBCR Management Partners, LLC ("KBCR") and the spouse of the reporting person (continued in footnote 2);

F2 · shares: (representing such spouse's proportional interest in the shares distributed to LFA LLC ("LFA")), respectively, in transactions exempt under Rule 16a-9(a) under the Securities Exchange Act of 1934, as amended (the "Exchange Act"). The shares of Class A Common Stock distributed by CFLP were already outstanding and the distribution does not impact the fully-diluted share count of BGC Partners, Inc. The reporting person does not currently intend to sell these shares.

F4 · ownership.nature: The reporting person's indirect pecuniary interest in 21,671,429 shares of Class A Common Stock consists of (i) 10,366,753 shares held by CFLP (after the distribution of the 3,711,675 shares referred to in footnote 1); (ii) 712,907 shares held by CFGM (after the acquisition in the distribution of the 114,836 shares referred to footnote 1), (iii) 2,050,197 April 2008 distribution rights shares and 160,675 February 2012 distribution rights shares receivable by CFGM (continued in footnote 5);

F5 · ownership.nature: (iv) 3,506,486 shares held in various trust, retirement and custodial accounts of the reporting person (consisting of (A) 2,069,456 shares held in a personal asset trust, of which the reporting person is sole trustee, (B) 631,046 shares held by a trust (the "Trust") (after the acquisition in the distribution of the 336,072 shares referred to in footnote 1), for the benefit of the descendants of the reporting person and his immediately family, of which the reporting person's spouse is one of two trustees and the reporting person has limited powers to remove and replace such trustees, (C) 224,254 shares held in a Keogh retirement account for the reporting person, (D) 537,620 shares held by trust accounts for the benefit of the reporting person and members of his immediately family, (E) 27,743 shares held in other retirement accounts, and (F) 16,367 shares held in custodial accounts for the benefit of certain members of the reporting person's family (continued in footnote 6);

F6 · ownership.nature: under the United Gifts to Minors Act; (v) 1,610,182 shares represented by April 2008 distribution rights shares receivable by the Trust, (vi) 5,548 shares (representing the proportional interest of the spouse of the reporting person in shares owned by LFA (after the acquisition in the distribution of the 2,015 shares referred to in footnote 2)), (vii) 26,052 shares represented by such spouse's proportional interest in the distribution rights shares receivable by LFA (consisting of 23,780 April 2008 distribution rights shares and 2,272 February 2012 distribution rights shares) (continued in footnote 7);

F7 · ownership.nature: (viii) 600,938 shares held by KBCR (after the acquisition in the distribution of the 205,813 shares referred to in footnote 2), (ix) 2,335,967 shares represented by distribution rights receivable by KBCR (consisting of 2,048,000 April 2008 distribution rights shares and 287,967 February 2012 distribution rights shares), and (x) 456,399 shares held in the reporting person's 401(k) account as of April 30, 2018,

F8 · ownership.nature: CFGM is the Managing General Partner of CFLP, and the reporting person is the Chairman and Chief Executive Officer and also the trustee of an entity that is the sole stockholder of CFGM. KBCR is a non-managing General Partner of CFLP, and the reporting person is the managing member of KBCR. The reporting person is the managing member of LFA. The reporting person disclaims beneficial ownership of all shares held by CFLP, CFGM, KBCR and LFA in excess of his pecuniary interest, if any, and this report shall not be deemed an admission that he is he 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: 0001437749-18-008726 · rdgdoc.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,154,507

F1 · kind: On May 3, 2018, Cantor Fitzgerald, L.P. ("CFLP") distributed to its partners pro rata an aggregate of 3,711,675 shares of Class A Common Stock , which includes the 1,712,149 shares of Class A Common Stock referred to in the first row of Table I, the 114,836 shares of Class A Common Stock referred to in the second row of Table I, the 205,813 shares of Class A Common Stock referred to in the third row of Table I, the 336,072 shares of Class A Common Stock referred to in the fourth row of Table I, and the 2,015 shares of Class A Common Stock referred to in the fifth Row of Table I, which shares were acquired in such distribution by the reporting person, CF Group Management, Inc. ("CFGM"), KBCR Management Partners, LLC ("KBCR") and the spouse of the reporting person (continued in footnote 2);

F2 · kind: (representing such spouse's proportional interest in the shares distributed to LFA LLC ("LFA")), respectively, in transactions exempt under Rule 16a-9(a) under the Securities Exchange Act of 1934, as amended (the "Exchange Act"). The shares of Class A Common Stock distributed by CFLP were already outstanding and the distribution does not impact the fully-diluted share count of BGC Partners, Inc. The reporting person does not currently intend to sell these shares.

F1 · shares: On May 3, 2018, Cantor Fitzgerald, L.P. ("CFLP") distributed to its partners pro rata an aggregate of 3,711,675 shares of Class A Common Stock , which includes the 1,712,149 shares of Class A Common Stock referred to in the first row of Table I, the 114,836 shares of Class A Common Stock referred to in the second row of Table I, the 205,813 shares of Class A Common Stock referred to in the third row of Table I, the 336,072 shares of Class A Common Stock referred to in the fourth row of Table I, and the 2,015 shares of Class A Common Stock referred to in the fifth Row of Table I, which shares were acquired in such distribution by the reporting person, CF Group Management, Inc. ("CFGM"), KBCR Management Partners, LLC ("KBCR") and the spouse of the reporting person (continued in footnote 2);

F2 · shares: (representing such spouse's proportional interest in the shares distributed to LFA LLC ("LFA")), respectively, in transactions exempt under Rule 16a-9(a) under the Securities Exchange Act of 1934, as amended (the "Exchange Act"). The shares of Class A Common Stock distributed by CFLP were already outstanding and the distribution does not impact the fully-diluted share count of BGC Partners, Inc. The reporting person does not currently intend to sell these shares.

F3 · balance_after: The 14,154,507 shares of Class A Common Stock consist of (1) 5,180,786 shares held by the reporting person (after the acquisition in the distribution of the 1,712,149 shares referred to in footnote 1), and (ii) 8,973,721 shares represented by deferred stock receivable by the reporting person (consisting of 7,742,325 shares receivable pursuant to deferred stock distribution rights provided to certain current and former partners of CFLP on April 1, 2008 ("April 2008 distribution rights shares") and 1,231,396 shares receivable pursuant to deferred stock distribution rights provided to partners of CFLP on February 14, 2012 ("February 2012 distribution rights shares")).

SEC source: 0001437749-18-004652 · rdgdoc.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,442,358

F1 · kind: On March 12, 2018, BGC Partners, Inc. (the "Company") issued to the reporting person 979,344 net shares of its Class A Common Stock, par value $0.01 per share (the "Class A Common Stock"), based on the price of $14.33 per share, which was the closing price of the Class A common stock on the trading day prior to the date of issuance, following the redemption and cancellation of an aggregate of 2,348,479 non-exchangeable limited partnership units of BGC Holdings, L.P. and associated 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, BGC Partners, Inc. (the "Company") issued to the reporting person 979,344 net shares of its Class A Common Stock, par value $0.01 per share (the "Class A Common Stock"), based on the price of $14.33 per share, which was the closing price of the Class A common stock on the trading day prior to the date of issuance, following the redemption and cancellation of an aggregate of 2,348,479 non-exchangeable limited partnership units of BGC Holdings, L.P. and associated 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, BGC Partners, Inc. (the "Company") issued to the reporting person 979,344 net shares of its Class A Common Stock, par value $0.01 per share (the "Class A Common Stock"), based on the price of $14.33 per share, which was the closing price of the Class A common stock on the trading day prior to the date of issuance, following the redemption and cancellation of an aggregate of 2,348,479 non-exchangeable limited partnership units of BGC Holdings, L.P. and associated 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, BGC Partners, Inc. (the "Company") issued to the reporting person 979,344 net shares of its Class A Common Stock, par value $0.01 per share (the "Class A Common Stock"), based on the price of $14.33 per share, which was the closing price of the Class A common stock on the trading day prior to the date of issuance, following the redemption and cancellation of an aggregate of 2,348,479 non-exchangeable limited partnership units of BGC Holdings, L.P. and associated 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.

F2 · balance_after: The 12,442,358 shares of Class A Common Stock consist of (i) 3,468,637 shares held by the reporting person (after the acquisition of the 979,344 shares referred to in footnote 1); and (ii) 8,973,721 shares represented by deferred stock receivable by the reporting person (consisting of 7,742,325 shares receivable pursuant to deferred stock distribution rights provided to certain current and former partners of Cantor Fitzgerald, L.P. ("CFLP") on April 1, 2008 ("April 2008 distribution rights shares") and 1,231,396 shares receivable pursuant to deferred stock distribution rights provided to partners of CFLP on February 14, 2012 ("February 2012 distribution rights shares")).

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: 0001437749-18-003551 · rdgdoc.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnotes

Disclosed balance after: 24,870,684

F1 · shares: Represents the acquisition of 7,883 shares of Class A Common Stock, par value $0.01 per share (the "Class A Common Stock"), by a Keogh retirement account for the benefit of the reporting person in a transaction exempt pursuant to Rule 16b-3 under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), at a price equal to the closing price of the Class A Common Stock on the date of such acquisition. This acquisition was approved by the Audit Committee of the Board of Directors.

F1 · balance_after: Represents the acquisition of 7,883 shares of Class A Common Stock, par value $0.01 per share (the "Class A Common Stock"), by a Keogh retirement account for the benefit of the reporting person in a transaction exempt pursuant to Rule 16b-3 under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), at a price equal to the closing price of the Class A Common Stock on the date of such acquisition. This acquisition was approved by the Audit Committee of the Board of Directors.

F2 · balance_after: The 11,463,014 shares of Class A Common Stock consist of (i) 2,489,293 shares held by the reporting person; and (ii) 8,973,721 shares represented by deferred stock receivable by the reporting person (consisting of 7,742,325 shares receivable pursuant to deferred stock distribution rights provided to certain current and former partners of Cantor Fitzgerald, L.P. ("CFLP") on April 1, 2008 ("April 2008 distribution rights shares") and 1,231,396 shares receivable pursuant to deferred stock distribution rights provided to partners of CFLP on February 14, 2012 ("February 2012 distribution rights shares")).

F3 · balance_after: The reporting person's indirect pecuniary interest in 24,870,684 shares of Class A Common Stock consists of (i) 14,078,428 shares held by CFLP, (ii) 598,071 shares held by Cantor Fitzgerald Group Management, Inc. ("CFGM"); (iii) 2,050,197 April 2008 distribution rights shares and 160,675 February 2012 distribution rights shares receivable by CFGM (continued in footnote 4);

F4 · balance_after: (iv) 3,163,022 shares held in various trust, retirement and custodial accounts of the reporting person (consisting of (A) 2,051,003 shares held in a personal asset trust, of which the reporting person is the sole trustee, (B) 291,271 shares held by a trust (the "Trust") for the benefit of the descendants of the reporting person and his immediate family, of which the reporting person's spouse is one of two trustees and the reporting person has limited powers to remove and replace such trustees, (C) 221,439 shares held in a Keogh retirement account for the reporting person (after the acquisition of the 7,883 shares referred to in footnote 1), (D) 555,753 shares held by trust accounts for the benefit of the reporting person and members of the his immediate family, (E) 27,395 shares held in other retirement accounts, and (F) 16,161 shares held in custodial accounts for the benefit of certain members of the reporting person's family under the Uniform Gifts to Minors Act) (continued in foot

F5 · balance_after: (v) 1,610,182 shares represented by April 2008 distribution rights shares receivable by the Trust; (vi) 3,533 shares (representing the proportional interest of the spouse of the reporting person in the shares owned by LFA LLC ("LFA")), (vii) 26,052 shares representing such spouse's proportional interest in the distribution rights shares receivable by LFA (consisting of 23,780 April 2008 distribution rights shares and 2,272 February 2012 distribution rights shares) (continued in footnote 6);

F6 · balance_after: (viii) 395,125 shares held by KBCR Management Partners, LLC ("KBCR") (continued in footnote 7);

F7 · balance_after: (ix) 2,335,967 shares represented by distribution rights shares receivable by KBCR (consisting of 2,048,000 April 2008 distribution rights shares and 287,967 February 2012 distribution rights shares; and (x) 449,432 shares held in the reporting person's 401(k) account as of January 31, 2018.

F8 · balance_after: CFGM is the Managing General Partner of CFLP, and the reporting person is the President and Chief Executive Officer and sole stockholder of CFGM. KBCR is a non-managing General Partner of CFLP, and the reporting person is the managing member of KBCR. The reporting person is the managing member of LFA. The reporting person disclaims beneficial ownership of all shares held by CFLP, CFGM, KBCR and LFA in excess of his pecuniary interest, if any, and this report shall not be deemed an admission that he is the beneficial owner of, or has pecuniary interest in, any such excess shares for the purposes of Section 16 of the Exchange Act or for any other purpose.

F1 · ownership.nature: Represents the acquisition of 7,883 shares of Class A Common Stock, par value $0.01 per share (the "Class A Common Stock"), by a Keogh retirement account for the benefit of the reporting person in a transaction exempt pursuant to Rule 16b-3 under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), at a price equal to the closing price of the Class A Common Stock on the date of such acquisition. This acquisition was approved by the Audit Committee of the Board of Directors.

F2 · ownership.nature: The 11,463,014 shares of Class A Common Stock consist of (i) 2,489,293 shares held by the reporting person; and (ii) 8,973,721 shares represented by deferred stock receivable by the reporting person (consisting of 7,742,325 shares receivable pursuant to deferred stock distribution rights provided to certain current and former partners of Cantor Fitzgerald, L.P. ("CFLP") on April 1, 2008 ("April 2008 distribution rights shares") and 1,231,396 shares receivable pursuant to deferred stock distribution rights provided to partners of CFLP on February 14, 2012 ("February 2012 distribution rights shares")).

F3 · ownership.nature: The reporting person's indirect pecuniary interest in 24,870,684 shares of Class A Common Stock consists of (i) 14,078,428 shares held by CFLP, (ii) 598,071 shares held by Cantor Fitzgerald Group Management, Inc. ("CFGM"); (iii) 2,050,197 April 2008 distribution rights shares and 160,675 February 2012 distribution rights shares receivable by CFGM (continued in footnote 4);

F4 · ownership.nature: (iv) 3,163,022 shares held in various trust, retirement and custodial accounts of the reporting person (consisting of (A) 2,051,003 shares held in a personal asset trust, of which the reporting person is the sole trustee, (B) 291,271 shares held by a trust (the "Trust") for the benefit of the descendants of the reporting person and his immediate family, of which the reporting person's spouse is one of two trustees and the reporting person has limited powers to remove and replace such trustees, (C) 221,439 shares held in a Keogh retirement account for the reporting person (after the acquisition of the 7,883 shares referred to in footnote 1), (D) 555,753 shares held by trust accounts for the benefit of the reporting person and members of the his immediate family, (E) 27,395 shares held in other retirement accounts, and (F) 16,161 shares held in custodial accounts for the benefit of certain members of the reporting person's family under the Uniform Gifts to Minors Act) (continued in foot

F5 · ownership.nature: (v) 1,610,182 shares represented by April 2008 distribution rights shares receivable by the Trust; (vi) 3,533 shares (representing the proportional interest of the spouse of the reporting person in the shares owned by LFA LLC ("LFA")), (vii) 26,052 shares representing such spouse's proportional interest in the distribution rights shares receivable by LFA (consisting of 23,780 April 2008 distribution rights shares and 2,272 February 2012 distribution rights shares) (continued in footnote 6);

F6 · ownership.nature: (viii) 395,125 shares held by KBCR Management Partners, LLC ("KBCR") (continued in footnote 7);

F7 · ownership.nature: (ix) 2,335,967 shares represented by distribution rights shares receivable by KBCR (consisting of 2,048,000 April 2008 distribution rights shares and 287,967 February 2012 distribution rights shares; and (x) 449,432 shares held in the reporting person's 401(k) account as of January 31, 2018.

F8 · ownership.nature: CFGM is the Managing General Partner of CFLP, and the reporting person is the President and Chief Executive Officer and sole stockholder of CFGM. KBCR is a non-managing General Partner of CFLP, and the reporting person is the managing member of KBCR. The reporting person is the managing member of LFA. The reporting person disclaims beneficial ownership of all shares held by CFLP, CFGM, KBCR and LFA in excess of his pecuniary interest, if any, and this report shall not be deemed an admission that he is the beneficial owner of, or has pecuniary interest in, any such excess shares for the purposes of Section 16 of the Exchange Act or for any other purpose.

SEC source: 0001437749-17-021056 · 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.