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person · Reporting owner

LUTNICK HOWARD W

Disclosed activity across 20 companies

Tapewire entity
74497
SEC CIK
0001250975

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Reported relationships

Latest disclosed role at each company.

CompanyLast reported asReport datePublished
CF ACQUISITION CORP. IVCFIV · Entity 112408Director · Chief Executive Officer, · 10% ownerJune 12, 2023June 13, 2023
CF Acquisition Corp. VCFV · Entity 137274Director · Chief Executive Officer · 10% ownerFebruary 02, 2021February 04, 2021
CF Acquisition Corp. VIICFFS · Entity 112410Director · Chief Executive Officer · 10% ownerJune 12, 2023June 13, 2023
Cantor Fitzgerald Income Trust, Inc.N/A · Entity 9834Director · Chairman and CEOJune 01, 2022June 03, 2022
MSP Recovery, Inc.MSPR · Entity 877510% ownerMay 24, 2022June 01, 2022

Disclosed balances

About these balances

Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.

CF ACQUISITION CORP. IV

Report date June 12, 2023 · Filed June 13, 2023

Jointly reported with CFAC HOLDINGS IV, LLC, CANTOR FITZGERALD, L. P., CF GROUP MANAGEMENT INC

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Class A Common StockSEC Table I · non-derivativeDirect13,363,750 Reported balance After 2023-06-12 transaction · row 1 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source row

Row 1 · 2023-06-12 · Conversion · Acquired 12,366,250 · Balance 13,363,750

F1: The shares of Class B common stock of the issuer have no expiration date and are convertible into shares of Class A common stock of the issuer on a one-for-one basis. On June 12, 2023, the reporting person elected to convert 12,366,250 shares of Class B common stock held by it into shares of Class A common stock.

F2: Includes 997,500 shares of Class A common stock underlying private placement 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 IV, LLC (the "Sponsor"), acquired in connection with the issuer's initial public offering.

F3: 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.

Class B Common StockSEC Table II · derivative / convertible securityDirect100,000 Reported balance After 2023-06-12 transaction · row 2 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 2 · 2023-06-12 · Conversion · Disposed 12,366,250 · Balance 100,000

F1: The shares of Class B common stock of the issuer have no expiration date and are convertible into shares of Class A common stock of the issuer on a one-for-one basis. On June 12, 2023, the reporting person elected to convert 12,366,250 shares of Class B common stock held by it into shares of Class A common stock.

F3: 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.

Filing footnotes · ownership attribution and instrument terms

F1: The shares of Class B common stock of the issuer have no expiration date and are convertible into shares of Class A common stock of the issuer on a one-for-one basis. On June 12, 2023, the reporting person elected to convert 12,366,250 shares of Class B common stock held by it into shares of Class A common stock.

F2: Includes 997,500 shares of Class A common stock underlying private placement 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 IV, LLC (the "Sponsor"), acquired in connection with the issuer's initial public offering.

F3: 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.

CF Acquisition Corp. V

Report date February 02, 2021 · Filed February 04, 2021

Jointly reported with CFAC Holdings V, LLC, CANTOR FITZGERALD, L. P., CF GROUP MANAGEMENT INC

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Class A Common StockSEC Table I · non-derivativeDirect600,000 Reported balance After 2020-02-02 transaction · row 1 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source row

Row 1 · 2020-02-02 · Purchase · Acquired 600,000 · Balance 600,000

F1: 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: 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.

Class B Common StockSEC Table II · derivative / convertible securityDirect6,230,000 Reported balance After 2021-02-02 transaction · row 2 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 2 · 2021-02-02 · Other · Disposed 937,500 · Balance 6,230,000

F2: 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: 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.

F4: 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.

Filing footnotes · ownership attribution and instrument terms

F1: 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.

F2: 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: 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.

F4: 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.

CF Acquisition Corp. VII

Report date June 12, 2023 · Filed June 13, 2023

Jointly reported with CFAC Holdings VII, LLC, CANTOR FITZGERALD, L. P., CF GROUP MANAGEMENT INC

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Class A Common StockSEC Table I · non-derivativeDirect4,890,000 Reported balance After 2023-06-12 transaction · row 1 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source row

Row 1 · 2023-06-12 · Conversion · Acquired 4,442,500 · Balance 4,890,000

F1: The shares of Class B common stock of the issuer have no expiration date and are convertible into shares of Class A common stock of the issuer on a one-for-one basis. On June 12, 2023, the reporting person elected to convert 4,442,500 shares of Class B common stock held by it into shares of Class A common stock.

F2: Includes 447,500 shares of Class A common stock underlying private placement 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 VII, LLC (the "Sponsor"), acquired in connection with the issuer's initial public offering.

F3: 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 Chairman and Chief Executive Officer of CFGM and 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.

Class B Common StockSEC Table II · derivative / convertible securityDirect100,000 Reported balance After 2023-06-12 transaction · row 2 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 2 · 2023-06-12 · Conversion · Disposed 4,442,500 · Balance 100,000

F1: The shares of Class B common stock of the issuer have no expiration date and are convertible into shares of Class A common stock of the issuer on a one-for-one basis. On June 12, 2023, the reporting person elected to convert 4,442,500 shares of Class B common stock held by it into shares of Class A common stock.

F3: 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 Chairman and Chief Executive Officer of CFGM and 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.

Filing footnotes · ownership attribution and instrument terms

F1: The shares of Class B common stock of the issuer have no expiration date and are convertible into shares of Class A common stock of the issuer on a one-for-one basis. On June 12, 2023, the reporting person elected to convert 4,442,500 shares of Class B common stock held by it into shares of Class A common stock.

F2: Includes 447,500 shares of Class A common stock underlying private placement 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 VII, LLC (the "Sponsor"), acquired in connection with the issuer's initial public offering.

F3: 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 Chairman and Chief Executive Officer of CFGM and 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.

Cantor Fitzgerald Income Trust, Inc.

Report date June 01, 2022 · Filed June 03, 2022

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Class I Common Stock, par value $0.01 per shareSEC Table I · non-derivativeIndirectSee Remarks70,925.02 Reported balance After 2022-06-01 transaction · row 1 Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source row

Row 1 · 2022-06-01 · Purchase · Acquired 34,174.41 · Balance 70,925.02

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Class A Common Stock, par value $0.0001 per shareSEC Table I · non-derivativeDirect1,129,589 Reported balance Holding disclosure · report date 2022-05-24 · row 1 Holding and transaction disclosures are not merged.
1 source row

Row 1 · Balance 1,129,589

Warrants to purchase Class A Common StockSEC Table II · derivative / convertible security · Conversion / exercise price $11.50DirectNot disclosed Reported balance Holding disclosure · report date 2022-05-24 · row 2 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 2 · Balance Not disclosed

F1: Notwithstanding the terms of the warrants, as described in the issuer's Form 8-K filed on May 18, 2022, CFPI has irrevocably agreed to transfer the warrants to the Issuer for cancellation and has no exercise rights with respect thereto.

F2: Under the terms of the New Warrant Agreement governing the warrants, the form of which is attached as Exhibit M to the Issuer's proxy statement filed on May 3, 2022, the warrants expire at 5:00 p.m., New York City time on the earlier to occur of: (x) the date that is five (5) years after the date on which the Company completes the Business Combination, (y) the liquidation of the Company, and (z) the Redemption Date. The foregoing capitalized terms have the meanings set forth in the New Warrant Agreement.

Filing footnotes · ownership attribution and instrument terms

F1: Notwithstanding the terms of the warrants, as described in the issuer's Form 8-K filed on May 18, 2022, CFPI has irrevocably agreed to transfer the warrants to the Issuer for cancellation and has no exercise rights with respect thereto.

F2: Under the terms of the New Warrant Agreement governing the warrants, the form of which is attached as Exhibit M to the Issuer's proxy statement filed on May 3, 2022, the warrants expire at 5:00 p.m., New York City time on the earlier to occur of: (x) the date that is five (5) years after the date on which the Company completes the Business Combination, (y) the liquidation of the Company, and (z) the Redemption Date. The foregoing capitalized terms have the meanings set forth in the New Warrant Agreement.

Past disclosures · reporting ended (15)

No longer tracked through insider filings. These historical balances do not imply present ownership or a zero position.

AEye, Inc.

Report date August 16, 2021 · Filed August 18, 2021

Jointly reported with CF Finance Holdings III, LLC, CANTOR FITZGERALD, L. P., CF GROUP MANAGEMENT INC

Section 16 reporting ended · disclosed 2021-08-18. Current position is not established by this disclosure.

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Class A common stockSEC Table I · non-derivativeDirect4,426,000 Last balance in matching sequence After 2021-08-16 transaction · row 3 Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
3 source rows

Row 1 · 2021-08-16 · Exercise / conversion · Acquired 5,710,000 · Balance 6,210,000

F1: As described in the issuer's registration statement on Form S-1 (File No. 333-249367) under the heading "Description of Securities--Founder Shares", upon consummation of the issuer's initial business combination and waiver of the 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: CF Finance Holdings III is the record holder of the securities reported herein. Cantor Fitzgerald, L.P. ("Cantor") is the sole member of CF Finance Holdings III. CF Group Management, Inc. ("CFGM") is the managing general partner of Cantor. Mr. Lutnick is the Chairman and Chief Executive Officer of CFGM and is also 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 CF Finance Holdings III. 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.

Row 2 · 2021-08-16 · Purchase · Acquired 500,000 · Balance 6,710,000

F2: Pursuant to that certain Subscription Agreement, dated February 17, 2021, by and between the issuer and CF Finance Holdings III, LLC ("CF Finance Holdings III"), CF Finance Holdings III purchased an aggregate of 500,000 shares of Class A common stock of the issuer on August 16, 2021 in a private placement in connection with the issuer's initial business combination with AEye, Inc.

F3: CF Finance Holdings III is the record holder of the securities reported herein. Cantor Fitzgerald, L.P. ("Cantor") is the sole member of CF Finance Holdings III. CF Group Management, Inc. ("CFGM") is the managing general partner of Cantor. Mr. Lutnick is the Chairman and Chief Executive Officer of CFGM and is also 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 CF Finance Holdings III. 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.

Row 3 · 2021-08-16 · Other · Disposed 2,284,000 · Balance 4,426,000

F4: CF Finance Holdings III transferred an aggregate of 2,284,000 shares of Class A common stock of the issuer to a third party immediately after the closing of the issuer's initial business combination.

F3: CF Finance Holdings III is the record holder of the securities reported herein. Cantor Fitzgerald, L.P. ("Cantor") is the sole member of CF Finance Holdings III. CF Group Management, Inc. ("CFGM") is the managing general partner of Cantor. Mr. Lutnick is the Chairman and Chief Executive Officer of CFGM and is also 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 CF Finance Holdings III. 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.

Class B Common StockSEC Table II · derivative / convertible securityDirect0 Reported balance After 2021-08-16 transaction · row 4 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 4 · 2021-08-16 · Exercise / conversion · Disposed 5,710,000 · Balance 0

F1: As described in the issuer's registration statement on Form S-1 (File No. 333-249367) under the heading "Description of Securities--Founder Shares", upon consummation of the issuer's initial business combination and waiver of the 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: CF Finance Holdings III is the record holder of the securities reported herein. Cantor Fitzgerald, L.P. ("Cantor") is the sole member of CF Finance Holdings III. CF Group Management, Inc. ("CFGM") is the managing general partner of Cantor. Mr. Lutnick is the Chairman and Chief Executive Officer of CFGM and is also 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 CF Finance Holdings III. 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.

WarrantsSEC Table II · derivative / convertible security · Conversion / exercise price $11.50 · Expires 2026-08-16Direct166,666 Reported balance After 2021-08-16 transaction · row 5 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 5 · 2021-08-16 · Grant · Acquired 166,666 · Balance 166,666

F5: These warrants represent warrants issued to CF Finance Holdings III upon separation of the private units previously purchased by CF Finance Holdings III from the issuer in November 2020. CF Finance Holdings III 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 become eligible for exercise on November 17, 2021, which is one year from the closing of the issuer's initial public offering.

F3: CF Finance Holdings III is the record holder of the securities reported herein. Cantor Fitzgerald, L.P. ("Cantor") is the sole member of CF Finance Holdings III. CF Group Management, Inc. ("CFGM") is the managing general partner of Cantor. Mr. Lutnick is the Chairman and Chief Executive Officer of CFGM and is also 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 CF Finance Holdings III. 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.

Filing footnotes · ownership attribution and instrument terms

F1: As described in the issuer's registration statement on Form S-1 (File No. 333-249367) under the heading "Description of Securities--Founder Shares", upon consummation of the issuer's initial business combination and waiver of the 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: Pursuant to that certain Subscription Agreement, dated February 17, 2021, by and between the issuer and CF Finance Holdings III, LLC ("CF Finance Holdings III"), CF Finance Holdings III purchased an aggregate of 500,000 shares of Class A common stock of the issuer on August 16, 2021 in a private placement in connection with the issuer's initial business combination with AEye, Inc.

F3: CF Finance Holdings III is the record holder of the securities reported herein. Cantor Fitzgerald, L.P. ("Cantor") is the sole member of CF Finance Holdings III. CF Group Management, Inc. ("CFGM") is the managing general partner of Cantor. Mr. Lutnick is the Chairman and Chief Executive Officer of CFGM and is also 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 CF Finance Holdings III. 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.

F4: CF Finance Holdings III transferred an aggregate of 2,284,000 shares of Class A common stock of the issuer to a third party immediately after the closing of the issuer's initial business combination.

F5: These warrants represent warrants issued to CF Finance Holdings III upon separation of the private units previously purchased by CF Finance Holdings III from the issuer in November 2020. CF Finance Holdings III 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 become eligible for exercise on November 17, 2021, which is one year from the closing of the issuer's initial public offering.

BGC Group, Inc.

Report date October 06, 2025 · Filed October 06, 2025

Section 16 reporting ended · disclosed 2025-10-06. Current position is not established by this disclosure.

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Class B Common Stock, par value $0.01 per shareSEC Table I · non-derivativeIndirectSee Footnotes0 Last balance in matching sequence After 2025-10-06 transaction · row 2 Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
2 source rows

Row 1 · 2025-10-06 · Sale · Disposed 96,313,001 · Balance 3,946,149

F1: On October 6, 2025, the reporting person, in his capacity as trustee of a trust, closed the sale to trusts controlled by Brandon G. Lutnick of all of the voting shares of CF Group Management, Inc. ("CFGM"), which is the Managing General Partner of Cantor Fitzgerald, L.P. ("CFLP"). Following the close of the transaction, the reporting person no longer has beneficial ownership of the 93,340,477 shares of Class B Common Stock, par value $0.01 per share ("Class B Common Stock"), of BGC Group, Inc. (the "Company") held by CFLP or the 2,972,524 shares of Class B Common Stock held by CFGM. The aggregate sale price of the voting shares of CFGM was $200,000.

F6: The shares of Class B Common Stock are convertible at any time on a one-for-one basis (subject to adjustment) into shares of Class A Common Stock.

F7: CFGM is the Managing General Partner of CFLP and KBCR is a non-managing General Partner of CFLP. The reporting person was the sole voting member of KBCR and Tangible Benefits, through trusts, prior to the transactions described in footnote (2). The reporting person disclaims beneficial ownership of all securities held by CFLP, CFGM, KBCR, and Tangible Benefits in excess of his pecuniary interest, if any, and this report shall not be deemed an admission that he was the beneficial owner of, or had pecuniary interest in, any such excess securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

Row 2 · 2025-10-06 · Sale · Disposed 3,946,149 · Balance 0

F2: On October 6, 2025, the reporting person, in his capacity as trustee of a trust, in a transaction effective concurrently with the transaction described in footnote (1), closed the sale to certain other trusts controlled by Brandon G. Lutnick of all of the outstanding equity interests in KBCR Management Partners, LLC ("KBCR") and Tangible Benefits, LLC ("Tangible Benefits"). Following the close of the transaction, the reporting person no longer has beneficial ownership of the 2,335,967 shares of Class B Common Stock held by KBCR, 600,938 shares of Class A Common Stock, par value $0.01 per share ("Class A Common Stock"), of the Company held by KBCR, or the 1,610,182 shares of Class B Common Stock held by Tangible Benefits. The aggregate sale price of the equity interests in KBCR and Tangible Benefits was $13,096,795.70.

F6: The shares of Class B Common Stock are convertible at any time on a one-for-one basis (subject to adjustment) into shares of Class A Common Stock.

F7: CFGM is the Managing General Partner of CFLP and KBCR is a non-managing General Partner of CFLP. The reporting person was the sole voting member of KBCR and Tangible Benefits, through trusts, prior to the transactions described in footnote (2). The reporting person disclaims beneficial ownership of all securities held by CFLP, CFGM, KBCR, and Tangible Benefits in excess of his pecuniary interest, if any, and this report shall not be deemed an admission that he was the beneficial owner of, or had pecuniary interest in, any such excess securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

Class A Common Stock, par value $0.01 per shareSEC Table I · non-derivativeIndirectSee Footnotes337,765 Reported balance After 2025-10-06 transaction · row 3 Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source row

Row 3 · 2025-10-06 · Sale · Disposed 600,939 · Balance 337,765

F2: On October 6, 2025, the reporting person, in his capacity as trustee of a trust, in a transaction effective concurrently with the transaction described in footnote (1), closed the sale to certain other trusts controlled by Brandon G. Lutnick of all of the outstanding equity interests in KBCR Management Partners, LLC ("KBCR") and Tangible Benefits, LLC ("Tangible Benefits"). Following the close of the transaction, the reporting person no longer has beneficial ownership of the 2,335,967 shares of Class B Common Stock held by KBCR, 600,938 shares of Class A Common Stock, par value $0.01 per share ("Class A Common Stock"), of the Company held by KBCR, or the 1,610,182 shares of Class B Common Stock held by Tangible Benefits. The aggregate sale price of the equity interests in KBCR and Tangible Benefits was $13,096,795.70.

F7: CFGM is the Managing General Partner of CFLP and KBCR is a non-managing General Partner of CFLP. The reporting person was the sole voting member of KBCR and Tangible Benefits, through trusts, prior to the transactions described in footnote (2). The reporting person disclaims beneficial ownership of all securities held by CFLP, CFGM, KBCR, and Tangible Benefits in excess of his pecuniary interest, if any, and this report shall not be deemed an admission that he was the beneficial owner of, or had pecuniary interest in, any such excess securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

Class A Common Stock, par value $0.01 per shareSEC Table I · non-derivativeIndirectSee Footnotes0 Reported balance After 2025-10-06 transaction · row 4 Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source row

Row 4 · 2025-10-06 · Disposition to issuer · Disposed 337,765 · Balance 0

F3: On October 6, 2025, in a transaction effective immediately after the transaction described in footnote (1), the Company repurchased an aggregate of 337,765 shares of Class A Common Stock beneficially owned by the reporting person and originating from retirement accounts, including certain shares held by his spouse, in transactions exempt pursuant to Rule 16b-3 of the Securities Exchange Act of 1934, as amended consisting of (i) 293,049 shares held in a Keogh retirement account, (ii) 34,921 shares held in other retirement accounts, and (iii) 9,795 shares held in retirement accounts for the reporting person's spouse. The price per share for the sale was $9.2082, which is equal to the 3-day volume weighted average price of the Company's Class A Common Stock on the Nasdaq Global Select Market on May 14, May 15 and May 16, 2025, reduced by $0.04 per share,

F4: (Continued from Footnote 3) which is equal to the amount of the after-tax portion of the (i) dividends declared on such shares of Class A Common Stock but unpaid and with record dates between May 16, 2025 and the transaction date that are payable to Howard W. Lutnick and his spouse, as applicable, and (ii) dividends paid on such shares of Class A Common Stock to the reporting person and his spouse, as applicable, between May 16, 2025 and the transaction date. The transactions were approved by the Audit Committee of the Company and were made pursuant to the Company's existing stock repurchase authorization.

Class B Common Stock, par value $0.01 per shareSEC Table I · non-derivativeDirect0 Reported balance After 2025-10-06 transaction · row 5 Account or security details depend on footnotes; rows are not merged.
1 source row

Row 5 · 2025-10-06 · Sale · Disposed 8,973,721 · Balance 0

F5: On October 6, 2025, in a transaction effective immediately after the transaction described in footnote (1), the reporting person closed the sale of 8,973,721 shares of Class B Common Stock held directly by the reporting person to CFLP. The price per share for the sale was $9.2082, which is equal to the 3-day volume weighted average price of the Company's Class A Common Stock on the Nasdaq Global Select Market on May 14, May 15 and May 16, 2025, reduced by $0.032 per share, which is equal to the amount of the after-tax portion of the (i) dividends declared on such shares of Class B Common Stock but unpaid and with record dates between May 16, 2025 and the transaction date that are payable to the reporting person and (ii) dividends paid on such shares of Class B Common Stock to the reporting person between May 16, 2025 and the transaction date.

F6: The shares of Class B Common Stock are convertible at any time on a one-for-one basis (subject to adjustment) into shares of Class A Common Stock.

Filing footnotes · ownership attribution and instrument terms

F1: On October 6, 2025, the reporting person, in his capacity as trustee of a trust, closed the sale to trusts controlled by Brandon G. Lutnick of all of the voting shares of CF Group Management, Inc. ("CFGM"), which is the Managing General Partner of Cantor Fitzgerald, L.P. ("CFLP"). Following the close of the transaction, the reporting person no longer has beneficial ownership of the 93,340,477 shares of Class B Common Stock, par value $0.01 per share ("Class B Common Stock"), of BGC Group, Inc. (the "Company") held by CFLP or the 2,972,524 shares of Class B Common Stock held by CFGM. The aggregate sale price of the voting shares of CFGM was $200,000.

F2: On October 6, 2025, the reporting person, in his capacity as trustee of a trust, in a transaction effective concurrently with the transaction described in footnote (1), closed the sale to certain other trusts controlled by Brandon G. Lutnick of all of the outstanding equity interests in KBCR Management Partners, LLC ("KBCR") and Tangible Benefits, LLC ("Tangible Benefits"). Following the close of the transaction, the reporting person no longer has beneficial ownership of the 2,335,967 shares of Class B Common Stock held by KBCR, 600,938 shares of Class A Common Stock, par value $0.01 per share ("Class A Common Stock"), of the Company held by KBCR, or the 1,610,182 shares of Class B Common Stock held by Tangible Benefits. The aggregate sale price of the equity interests in KBCR and Tangible Benefits was $13,096,795.70.

F3: On October 6, 2025, in a transaction effective immediately after the transaction described in footnote (1), the Company repurchased an aggregate of 337,765 shares of Class A Common Stock beneficially owned by the reporting person and originating from retirement accounts, including certain shares held by his spouse, in transactions exempt pursuant to Rule 16b-3 of the Securities Exchange Act of 1934, as amended consisting of (i) 293,049 shares held in a Keogh retirement account, (ii) 34,921 shares held in other retirement accounts, and (iii) 9,795 shares held in retirement accounts for the reporting person's spouse. The price per share for the sale was $9.2082, which is equal to the 3-day volume weighted average price of the Company's Class A Common Stock on the Nasdaq Global Select Market on May 14, May 15 and May 16, 2025, reduced by $0.04 per share,

F4: (Continued from Footnote 3) which is equal to the amount of the after-tax portion of the (i) dividends declared on such shares of Class A Common Stock but unpaid and with record dates between May 16, 2025 and the transaction date that are payable to Howard W. Lutnick and his spouse, as applicable, and (ii) dividends paid on such shares of Class A Common Stock to the reporting person and his spouse, as applicable, between May 16, 2025 and the transaction date. The transactions were approved by the Audit Committee of the Company and were made pursuant to the Company's existing stock repurchase authorization.

F5: On October 6, 2025, in a transaction effective immediately after the transaction described in footnote (1), the reporting person closed the sale of 8,973,721 shares of Class B Common Stock held directly by the reporting person to CFLP. The price per share for the sale was $9.2082, which is equal to the 3-day volume weighted average price of the Company's Class A Common Stock on the Nasdaq Global Select Market on May 14, May 15 and May 16, 2025, reduced by $0.032 per share, which is equal to the amount of the after-tax portion of the (i) dividends declared on such shares of Class B Common Stock but unpaid and with record dates between May 16, 2025 and the transaction date that are payable to the reporting person and (ii) dividends paid on such shares of Class B Common Stock to the reporting person between May 16, 2025 and the transaction date.

F6: The shares of Class B Common Stock are convertible at any time on a one-for-one basis (subject to adjustment) into shares of Class A Common Stock.

F7: CFGM is the Managing General Partner of CFLP and KBCR is a non-managing General Partner of CFLP. The reporting person was the sole voting member of KBCR and Tangible Benefits, through trusts, prior to the transactions described in footnote (2). The reporting person disclaims beneficial ownership of all securities held by CFLP, CFGM, KBCR, and Tangible Benefits in excess of his pecuniary interest, if any, and this report shall not be deemed an admission that he was the beneficial owner of, or had pecuniary interest in, any such excess securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

CF Finance Acquisition Corp.

Report date November 17, 2020 · Filed November 19, 2020

Jointly reported with CF Finance Holdings LLC, CANTOR FITZGERALD, L. P., CF GROUP MANAGEMENT INC

Section 16 reporting ended · disclosed 2020-11-19. Current position is not established by this disclosure.

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Class A Common StockSEC Table I · non-derivativeIndirectSee Footnote0 Reported balance After 2020-11-17 transaction · row 1 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source row

Row 1 · 2020-11-17 · Disposition to issuer · Disposed 600,000 · Balance 0

F2: 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: 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.

Class B Common StockSEC Table II · derivative / convertible securityIndirectSee Footnote0 Reported balance After 2020-11-17 transaction · row 2 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 2 · 2020-11-17 · Disposition to issuer · Disposed 7,054,603 · Balance 0

F1: 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: 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: 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.

Filing footnotes · ownership attribution and instrument terms

F1: 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: 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: 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.

Cantor Equity Partners I, Inc.

Report date October 06, 2025 · Filed October 06, 2025

Section 16 reporting ended · disclosed 2025-10-06. Current position is not established by this disclosure.

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Class A ordinary sharesSEC Table I · non-derivativeIndirectSee Footnote0 Reported balance After 2025-10-06 transaction · row 1 Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source row

Row 1 · 2025-10-06 · Sale · Disposed 500,000 · Balance 0

F1: On October 6, 2025, the reporting person, in his capacity as trustee of a trust, closed the sale to trusts controlled by Brandon G. Lutnick of all of the voting shares of CF Group Management, Inc. ("CFGM"), which is the managing general partner of Cantor Fitzgerald, L.P. ("CFLP"). CFLP is the sole member of Cantor EP Holdings I, LLC (the "Sponsor"). The Sponsor is the direct owner of 500,000 Class A ordinary shares of Cantor Equity Partners I, Inc. (the "Company"), par value $0.0001 per share (the "Class A Ordinary Shares"), and 5,000,000 Class B ordinary shares of the Company, par value $0.0001 per share (the "Class B Ordinary Shares"). Following the closing of the transaction, the reporting person no longer has beneficial ownership of the 500,000 Class A Ordinary Shares and 5,000,000 Class B Ordinary Shares held by the Sponsor. The aggregate sale price of the voting shares of CFGM was $200,000.

F3: The Sponsor is the record holder of the shares reported herein. CFLP is the sole member of the Sponsor. CFGM is the managing general partner of CFLP. The reporting person was the trustee of CFGM's sole stockholder prior to the transaction described in footnote (1). The reporting person disclaims beneficial ownership of all securities held by the Sponsor in excess of his pecuniary interest, if any, and this report shall not be deemed an admission that he was the beneficial owner of, or had pecuniary interest in, any such excess securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

Class B ordinary sharesSEC Table II · derivative / convertible securityIndirectSee Footnote0 Reported balance After 2025-10-06 transaction · row 2 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 2 · 2025-10-06 · Sale · Disposed 5,000,000 · Balance 0

F2: As described in the Company's registration statement on Form S-1 (File No. 333-282947) under the heading "Description of Securities--Founder Shares", the Class B ordinary shares will automatically convert into Class A ordinary shares at the time of the Company's initial business combination, or at any time and from time to time at the option of the holder, on a one-for-one basis, subject to adjustment for share sub-divisions, share dividends, reorganizations, recapitalizations and the like, and certain anti-dilution rights.

F1: On October 6, 2025, the reporting person, in his capacity as trustee of a trust, closed the sale to trusts controlled by Brandon G. Lutnick of all of the voting shares of CF Group Management, Inc. ("CFGM"), which is the managing general partner of Cantor Fitzgerald, L.P. ("CFLP"). CFLP is the sole member of Cantor EP Holdings I, LLC (the "Sponsor"). The Sponsor is the direct owner of 500,000 Class A ordinary shares of Cantor Equity Partners I, Inc. (the "Company"), par value $0.0001 per share (the "Class A Ordinary Shares"), and 5,000,000 Class B ordinary shares of the Company, par value $0.0001 per share (the "Class B Ordinary Shares"). Following the closing of the transaction, the reporting person no longer has beneficial ownership of the 500,000 Class A Ordinary Shares and 5,000,000 Class B Ordinary Shares held by the Sponsor. The aggregate sale price of the voting shares of CFGM was $200,000.

F3: The Sponsor is the record holder of the shares reported herein. CFLP is the sole member of the Sponsor. CFGM is the managing general partner of CFLP. The reporting person was the trustee of CFGM's sole stockholder prior to the transaction described in footnote (1). The reporting person disclaims beneficial ownership of all securities held by the Sponsor in excess of his pecuniary interest, if any, and this report shall not be deemed an admission that he was the beneficial owner of, or had pecuniary interest in, any such excess securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

Filing footnotes · ownership attribution and instrument terms

F1: On October 6, 2025, the reporting person, in his capacity as trustee of a trust, closed the sale to trusts controlled by Brandon G. Lutnick of all of the voting shares of CF Group Management, Inc. ("CFGM"), which is the managing general partner of Cantor Fitzgerald, L.P. ("CFLP"). CFLP is the sole member of Cantor EP Holdings I, LLC (the "Sponsor"). The Sponsor is the direct owner of 500,000 Class A ordinary shares of Cantor Equity Partners I, Inc. (the "Company"), par value $0.0001 per share (the "Class A Ordinary Shares"), and 5,000,000 Class B ordinary shares of the Company, par value $0.0001 per share (the "Class B Ordinary Shares"). Following the closing of the transaction, the reporting person no longer has beneficial ownership of the 500,000 Class A Ordinary Shares and 5,000,000 Class B Ordinary Shares held by the Sponsor. The aggregate sale price of the voting shares of CFGM was $200,000.

F2: As described in the Company's registration statement on Form S-1 (File No. 333-282947) under the heading "Description of Securities--Founder Shares", the Class B ordinary shares will automatically convert into Class A ordinary shares at the time of the Company's initial business combination, or at any time and from time to time at the option of the holder, on a one-for-one basis, subject to adjustment for share sub-divisions, share dividends, reorganizations, recapitalizations and the like, and certain anti-dilution rights.

F3: The Sponsor is the record holder of the shares reported herein. CFLP is the sole member of the Sponsor. CFGM is the managing general partner of CFLP. The reporting person was the trustee of CFGM's sole stockholder prior to the transaction described in footnote (1). The reporting person disclaims beneficial ownership of all securities held by the Sponsor in excess of his pecuniary interest, if any, and this report shall not be deemed an admission that he was the beneficial owner of, or had pecuniary interest in, any such excess securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

Cantor Equity Partners II, Inc.

Report date October 06, 2025 · Filed October 06, 2025

Section 16 reporting ended · disclosed 2025-10-06. Current position is not established by this disclosure.

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Class A ordinary sharesSEC Table I · non-derivativeIndirectSee Footnote0 Reported balance After 2025-10-06 transaction · row 1 Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source row

Row 1 · 2025-10-06 · Sale · Disposed 580,000 · Balance 0

F1: On October 6, 2025, the reporting person, in his capacity as trustee of a trust, closed the sale to trusts controlled by Brandon G. Lutnick of all of the voting shares of CF Group Management, Inc. ("CFGM"), which is the managing general partner of Cantor Fitzgerald, L.P. ("CFLP"). CFLP is the sole member of Cantor EP Holdings II, LLC (the "Sponsor"). The Sponsor is the direct owner of 580,000 Class A ordinary shares of Cantor Equity Partners II, Inc. (the "Company"), par value $0.0001 per share (the "Class A Ordinary Shares"), and 6,000,000 Class B ordinary shares of the Company, par value $0.0001 per share (the "Class B Ordinary Shares"). Following the closing of the transaction, the reporting person no longer has beneficial ownership of the 580,000 Class A Ordinary Shares and 6,000,000 Class B Ordinary Shares held by the Sponsor. The aggregate sale price of the voting shares of CFGM was $200,000.

F3: The Sponsor is the record holder of the shares reported herein. CFLP is the sole member of the Sponsor. CFGM is the managing general partner of CFLP. The reporting person was the trustee of CFGM's sole stockholder prior to the transaction described in footnote (1). The reporting person disclaims beneficial ownership of all securities held by the Sponsor in excess of his pecuniary interest, if any, and this report shall not be deemed an admission that he was the beneficial owner of, or had pecuniary interest in, any such excess securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

Class B ordinary sharesSEC Table II · derivative / convertible securityIndirectSee Footnote0 Reported balance After 2025-10-06 transaction · row 2 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 2 · 2025-10-06 · Sale · Disposed 6,000,000 · Balance 0

F2: As described in the Company's registration statement on Form S-1 (File No. 333-285681) under the heading "Description of Securities--Founder Shares", the Class B ordinary shares will automatically convert into Class A ordinary shares at the time of the Company's initial business combination, or at any time and from time to time at the option of the holder, on a one-for-one basis, subject to adjustment for share sub-divisions, share dividends, reorganizations, recapitalizations and the like, and certain anti-dilution rights.

F1: On October 6, 2025, the reporting person, in his capacity as trustee of a trust, closed the sale to trusts controlled by Brandon G. Lutnick of all of the voting shares of CF Group Management, Inc. ("CFGM"), which is the managing general partner of Cantor Fitzgerald, L.P. ("CFLP"). CFLP is the sole member of Cantor EP Holdings II, LLC (the "Sponsor"). The Sponsor is the direct owner of 580,000 Class A ordinary shares of Cantor Equity Partners II, Inc. (the "Company"), par value $0.0001 per share (the "Class A Ordinary Shares"), and 6,000,000 Class B ordinary shares of the Company, par value $0.0001 per share (the "Class B Ordinary Shares"). Following the closing of the transaction, the reporting person no longer has beneficial ownership of the 580,000 Class A Ordinary Shares and 6,000,000 Class B Ordinary Shares held by the Sponsor. The aggregate sale price of the voting shares of CFGM was $200,000.

F3: The Sponsor is the record holder of the shares reported herein. CFLP is the sole member of the Sponsor. CFGM is the managing general partner of CFLP. The reporting person was the trustee of CFGM's sole stockholder prior to the transaction described in footnote (1). The reporting person disclaims beneficial ownership of all securities held by the Sponsor in excess of his pecuniary interest, if any, and this report shall not be deemed an admission that he was the beneficial owner of, or had pecuniary interest in, any such excess securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

Filing footnotes · ownership attribution and instrument terms

F1: On October 6, 2025, the reporting person, in his capacity as trustee of a trust, closed the sale to trusts controlled by Brandon G. Lutnick of all of the voting shares of CF Group Management, Inc. ("CFGM"), which is the managing general partner of Cantor Fitzgerald, L.P. ("CFLP"). CFLP is the sole member of Cantor EP Holdings II, LLC (the "Sponsor"). The Sponsor is the direct owner of 580,000 Class A ordinary shares of Cantor Equity Partners II, Inc. (the "Company"), par value $0.0001 per share (the "Class A Ordinary Shares"), and 6,000,000 Class B ordinary shares of the Company, par value $0.0001 per share (the "Class B Ordinary Shares"). Following the closing of the transaction, the reporting person no longer has beneficial ownership of the 580,000 Class A Ordinary Shares and 6,000,000 Class B Ordinary Shares held by the Sponsor. The aggregate sale price of the voting shares of CFGM was $200,000.

F2: As described in the Company's registration statement on Form S-1 (File No. 333-285681) under the heading "Description of Securities--Founder Shares", the Class B ordinary shares will automatically convert into Class A ordinary shares at the time of the Company's initial business combination, or at any time and from time to time at the option of the holder, on a one-for-one basis, subject to adjustment for share sub-divisions, share dividends, reorganizations, recapitalizations and the like, and certain anti-dilution rights.

F3: The Sponsor is the record holder of the shares reported herein. CFLP is the sole member of the Sponsor. CFGM is the managing general partner of CFLP. The reporting person was the trustee of CFGM's sole stockholder prior to the transaction described in footnote (1). The reporting person disclaims beneficial ownership of all securities held by the Sponsor in excess of his pecuniary interest, if any, and this report shall not be deemed an admission that he was the beneficial owner of, or had pecuniary interest in, any such excess securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

Cantor Equity Partners III, Inc.

Report date October 06, 2025 · Filed October 06, 2025

Section 16 reporting ended · disclosed 2025-10-06. Current position is not established by this disclosure.

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Class A ordinary sharesSEC Table I · non-derivativeIndirectSee Footnote0 Reported balance After 2025-10-06 transaction · row 1 Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source row

Row 1 · 2025-10-06 · Sale · Disposed 580,000 · Balance 0

F1: On October 6, 2025, the reporting person, in his capacity as trustee of a trust, closed the sale to trusts controlled by Brandon G. Lutnick of all of the voting shares of CF Group Management, Inc. ("CFGM"), which is the managing general partner of Cantor Fitzgerald, L.P. ("CFLP"). CFLP is the sole member of Cantor EP Holdings III, LLC (the "Sponsor"). The Sponsor is the direct owner of 580,000 Class A ordinary shares of Cantor Equity Partners III, Inc. (the "Company"), par value $0.0001 per share (the "Class A Ordinary Shares"), and 6,900,000 Class B ordinary shares of the Company, par value $0.0001 per share (the "Class B Ordinary Shares"). Following the closing of the transaction, the reporting person no longer has beneficial ownership of the 580,000 Class A Ordinary Shares and 6,900,000 Class B Ordinary Shares held by the Sponsor. The aggregate sale price of the voting shares of CFGM was $200,000.

F3: The Sponsor is the record holder of the shares reported herein. CFLP is the sole member of the Sponsor. CFGM is the managing general partner of CFLP. The reporting person was the trustee of CFGM's sole stockholder prior to the transaction described in footnote (1). The reporting person disclaims beneficial ownership of all securities held by the Sponsor in excess of his pecuniary interest, if any, and this report shall not be deemed an admission that he was the beneficial owner of, or had pecuniary interest in, any such excess securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

Class B ordinary sharesSEC Table II · derivative / convertible securityIndirectSee Footnote0 Reported balance After 2025-10-06 transaction · row 2 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 2 · 2025-10-06 · Sale · Disposed 6,900,000 · Balance 0

F2: As described in the Company's registration statement on Form S-1 (File No. 333-287847) under the heading "Description of Securities--Founder Shares", the Class B ordinary shares will automatically convert into Class A ordinary shares at the time of the Company's initial business combination, or at any time and from time to time at the option of the holder, on a one-for-one basis, subject to adjustment for share sub-divisions, share dividends, reorganizations, recapitalizations and the like, and certain anti-dilution rights.

F1: On October 6, 2025, the reporting person, in his capacity as trustee of a trust, closed the sale to trusts controlled by Brandon G. Lutnick of all of the voting shares of CF Group Management, Inc. ("CFGM"), which is the managing general partner of Cantor Fitzgerald, L.P. ("CFLP"). CFLP is the sole member of Cantor EP Holdings III, LLC (the "Sponsor"). The Sponsor is the direct owner of 580,000 Class A ordinary shares of Cantor Equity Partners III, Inc. (the "Company"), par value $0.0001 per share (the "Class A Ordinary Shares"), and 6,900,000 Class B ordinary shares of the Company, par value $0.0001 per share (the "Class B Ordinary Shares"). Following the closing of the transaction, the reporting person no longer has beneficial ownership of the 580,000 Class A Ordinary Shares and 6,900,000 Class B Ordinary Shares held by the Sponsor. The aggregate sale price of the voting shares of CFGM was $200,000.

F3: The Sponsor is the record holder of the shares reported herein. CFLP is the sole member of the Sponsor. CFGM is the managing general partner of CFLP. The reporting person was the trustee of CFGM's sole stockholder prior to the transaction described in footnote (1). The reporting person disclaims beneficial ownership of all securities held by the Sponsor in excess of his pecuniary interest, if any, and this report shall not be deemed an admission that he was the beneficial owner of, or had pecuniary interest in, any such excess securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

Filing footnotes · ownership attribution and instrument terms

F1: On October 6, 2025, the reporting person, in his capacity as trustee of a trust, closed the sale to trusts controlled by Brandon G. Lutnick of all of the voting shares of CF Group Management, Inc. ("CFGM"), which is the managing general partner of Cantor Fitzgerald, L.P. ("CFLP"). CFLP is the sole member of Cantor EP Holdings III, LLC (the "Sponsor"). The Sponsor is the direct owner of 580,000 Class A ordinary shares of Cantor Equity Partners III, Inc. (the "Company"), par value $0.0001 per share (the "Class A Ordinary Shares"), and 6,900,000 Class B ordinary shares of the Company, par value $0.0001 per share (the "Class B Ordinary Shares"). Following the closing of the transaction, the reporting person no longer has beneficial ownership of the 580,000 Class A Ordinary Shares and 6,900,000 Class B Ordinary Shares held by the Sponsor. The aggregate sale price of the voting shares of CFGM was $200,000.

F2: As described in the Company's registration statement on Form S-1 (File No. 333-287847) under the heading "Description of Securities--Founder Shares", the Class B ordinary shares will automatically convert into Class A ordinary shares at the time of the Company's initial business combination, or at any time and from time to time at the option of the holder, on a one-for-one basis, subject to adjustment for share sub-divisions, share dividends, reorganizations, recapitalizations and the like, and certain anti-dilution rights.

F3: The Sponsor is the record holder of the shares reported herein. CFLP is the sole member of the Sponsor. CFGM is the managing general partner of CFLP. The reporting person was the trustee of CFGM's sole stockholder prior to the transaction described in footnote (1). The reporting person disclaims beneficial ownership of all securities held by the Sponsor in excess of his pecuniary interest, if any, and this report shall not be deemed an admission that he was the beneficial owner of, or had pecuniary interest in, any such excess securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

Cantor Equity Partners IV, Inc.

Report date October 06, 2025 · Filed October 06, 2025

Section 16 reporting ended · disclosed 2025-10-06. Current position is not established by this disclosure.

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Class A ordinary sharesSEC Table I · non-derivativeIndirectSee footnote0 Reported balance After 2025-10-06 transaction · row 1 Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source row

Row 1 · 2025-10-06 · Sale · Disposed 900,000 · Balance 0

F1: On October 6, 2025, the reporting person, in his capacity as trustee of a trust, closed the sale to trusts controlled by Brandon G. Lutnick of all of the voting shares of CF Group Management, Inc. ("CFGM"), which is the managing general partner of Cantor Fitzgerald, L.P. ("CFLP"). CFLP is the sole member of Cantor EP Holdings IV, LLC (the "Sponsor"). The Sponsor is the direct owner of 900,000 Class A ordinary shares of Cantor Equity Partners IV, Inc. (the "Company"), par value $0.0001 per share (the "Class A Ordinary Shares"), and 11,250,000 Class B ordinary shares of the Company, par value $0.0001 per share (the "Class B Ordinary Shares"). Following the closing of the transaction, the reporting person no longer has beneficial ownership of the 900,000 Class A Ordinary Shares and 11,250,000 Class B Ordinary Shares held by the Sponsor. The aggregate sale price of the voting shares of CFGM was $200,000.

F3: The Sponsor is the record holder of the shares reported herein. CFLP is the sole member of the Sponsor. CFGM is the managing general partner of CFLP. The reporting person was the trustee of CFGM's sole stockholder prior to the transaction described in footnote (1). The reporting person disclaims beneficial ownership of all securities held by the Sponsor in excess of his pecuniary interest, if any, and this report shall not be deemed an admission that he was the beneficial owner of, or had pecuniary interest in, any such excess securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

Class B ordinary sharesSEC Table II · derivative / convertible securityIndirectSee footnote0 Reported balance After 2025-10-06 transaction · row 2 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 2 · 2025-10-06 · Sale · Disposed 11,250,000 · Balance 0

F2: As described in the Company's registration statement on Form S-1 (File No. 333-288768) under the heading "Description of Securities--Founder Shares", the Class B ordinary shares will automatically convert into Class A ordinary shares at the time of the Company's initial business combination, or at any time and from time to time at the option of the holder, on a one-for-one basis, subject to adjustment for share sub-divisions, share dividends, reorganizations, recapitalizations and the like, and certain anti-dilution rights.

F1: On October 6, 2025, the reporting person, in his capacity as trustee of a trust, closed the sale to trusts controlled by Brandon G. Lutnick of all of the voting shares of CF Group Management, Inc. ("CFGM"), which is the managing general partner of Cantor Fitzgerald, L.P. ("CFLP"). CFLP is the sole member of Cantor EP Holdings IV, LLC (the "Sponsor"). The Sponsor is the direct owner of 900,000 Class A ordinary shares of Cantor Equity Partners IV, Inc. (the "Company"), par value $0.0001 per share (the "Class A Ordinary Shares"), and 11,250,000 Class B ordinary shares of the Company, par value $0.0001 per share (the "Class B Ordinary Shares"). Following the closing of the transaction, the reporting person no longer has beneficial ownership of the 900,000 Class A Ordinary Shares and 11,250,000 Class B Ordinary Shares held by the Sponsor. The aggregate sale price of the voting shares of CFGM was $200,000.

F3: The Sponsor is the record holder of the shares reported herein. CFLP is the sole member of the Sponsor. CFGM is the managing general partner of CFLP. The reporting person was the trustee of CFGM's sole stockholder prior to the transaction described in footnote (1). The reporting person disclaims beneficial ownership of all securities held by the Sponsor in excess of his pecuniary interest, if any, and this report shall not be deemed an admission that he was the beneficial owner of, or had pecuniary interest in, any such excess securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

Filing footnotes · ownership attribution and instrument terms

F1: On October 6, 2025, the reporting person, in his capacity as trustee of a trust, closed the sale to trusts controlled by Brandon G. Lutnick of all of the voting shares of CF Group Management, Inc. ("CFGM"), which is the managing general partner of Cantor Fitzgerald, L.P. ("CFLP"). CFLP is the sole member of Cantor EP Holdings IV, LLC (the "Sponsor"). The Sponsor is the direct owner of 900,000 Class A ordinary shares of Cantor Equity Partners IV, Inc. (the "Company"), par value $0.0001 per share (the "Class A Ordinary Shares"), and 11,250,000 Class B ordinary shares of the Company, par value $0.0001 per share (the "Class B Ordinary Shares"). Following the closing of the transaction, the reporting person no longer has beneficial ownership of the 900,000 Class A Ordinary Shares and 11,250,000 Class B Ordinary Shares held by the Sponsor. The aggregate sale price of the voting shares of CFGM was $200,000.

F2: As described in the Company's registration statement on Form S-1 (File No. 333-288768) under the heading "Description of Securities--Founder Shares", the Class B ordinary shares will automatically convert into Class A ordinary shares at the time of the Company's initial business combination, or at any time and from time to time at the option of the holder, on a one-for-one basis, subject to adjustment for share sub-divisions, share dividends, reorganizations, recapitalizations and the like, and certain anti-dilution rights.

F3: The Sponsor is the record holder of the shares reported herein. CFLP is the sole member of the Sponsor. CFGM is the managing general partner of CFLP. The reporting person was the trustee of CFGM's sole stockholder prior to the transaction described in footnote (1). The reporting person disclaims beneficial ownership of all securities held by the Sponsor in excess of his pecuniary interest, if any, and this report shall not be deemed an admission that he was the beneficial owner of, or had pecuniary interest in, any such excess securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

Cantor Equity Partners, Inc.

Report date October 06, 2025 · Filed October 06, 2025

Section 16 reporting ended · disclosed 2025-10-06. Current position is not established by this disclosure.

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Class A ordinary sharesSEC Table I · non-derivativeIndirectSee Footnote0 Reported balance After 2025-10-06 transaction · row 1 Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source row

Row 1 · 2025-10-06 · Sale · Disposed 300,000 · Balance 0

F1: On October 6, 2025, the reporting person, in his capacity as trustee of a trust, closed the sale to trusts controlled by Brandon G. Lutnick of all of the voting shares of CF Group Management, Inc. ("CFGM"), which is the managing general partner of Cantor Fitzgerald, L.P. ("CFLP"). CFLP is the sole member of Cantor EP Holdings, LLC (the "Sponsor"). The Sponsor is the direct owner of 300,000 Class A ordinary shares of Cantor Equity Partners, Inc. (the "Company"), par value $0.0001 per share (the "Class A Ordinary Shares"), and 2,500,000 Class B ordinary shares of the Company, par value $0.0001 per share (the "Class B Ordinary Shares"). Following the closing of the transaction, the reporting person no longer has beneficial ownership of the 300,000 Class A Ordinary Shares and 2,500,000 Class B Ordinary Shares held by the Sponsor. The aggregate sale price of the voting shares of CFGM was $200,000.

F3: The Sponsor is the record holder of the shares reported herein. CFLP is the sole member of the Sponsor. CFGM is the managing general partner of CFLP. The reporting person was the trustee of CFGM's sole stockholder prior to the transaction described in footnote (1). The reporting person disclaims beneficial ownership of all securities held by the Sponsor in excess of his pecuniary interest, if any, and this report shall not be deemed an admission that he was the beneficial owner of, or had pecuniary interest in, any such excess securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

Class B ordinary sharesSEC Table II · derivative / convertible securityIndirectSee Footnote0 Reported balance After 2025-10-06 transaction · row 2 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 2 · 2025-10-06 · Sale · Disposed 2,500,000 · Balance 0

F2: As described in the Company's registration statement on Form S-1 (File No. 333-280230) under the heading "Description of Securities--Founder Shares", the Class B ordinary shares will automatically convert into Class A ordinary shares at the time of the Company's initial business combination, or at any time and from time to time at the option of the holder, on a one-for-one basis, subject to adjustment for share sub-divisions, share dividends, reorganizations, recapitalizations and the like, and certain anti-dilution rights.

F1: On October 6, 2025, the reporting person, in his capacity as trustee of a trust, closed the sale to trusts controlled by Brandon G. Lutnick of all of the voting shares of CF Group Management, Inc. ("CFGM"), which is the managing general partner of Cantor Fitzgerald, L.P. ("CFLP"). CFLP is the sole member of Cantor EP Holdings, LLC (the "Sponsor"). The Sponsor is the direct owner of 300,000 Class A ordinary shares of Cantor Equity Partners, Inc. (the "Company"), par value $0.0001 per share (the "Class A Ordinary Shares"), and 2,500,000 Class B ordinary shares of the Company, par value $0.0001 per share (the "Class B Ordinary Shares"). Following the closing of the transaction, the reporting person no longer has beneficial ownership of the 300,000 Class A Ordinary Shares and 2,500,000 Class B Ordinary Shares held by the Sponsor. The aggregate sale price of the voting shares of CFGM was $200,000.

F3: The Sponsor is the record holder of the shares reported herein. CFLP is the sole member of the Sponsor. CFGM is the managing general partner of CFLP. The reporting person was the trustee of CFGM's sole stockholder prior to the transaction described in footnote (1). The reporting person disclaims beneficial ownership of all securities held by the Sponsor in excess of his pecuniary interest, if any, and this report shall not be deemed an admission that he was the beneficial owner of, or had pecuniary interest in, any such excess securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

Filing footnotes · ownership attribution and instrument terms

F1: On October 6, 2025, the reporting person, in his capacity as trustee of a trust, closed the sale to trusts controlled by Brandon G. Lutnick of all of the voting shares of CF Group Management, Inc. ("CFGM"), which is the managing general partner of Cantor Fitzgerald, L.P. ("CFLP"). CFLP is the sole member of Cantor EP Holdings, LLC (the "Sponsor"). The Sponsor is the direct owner of 300,000 Class A ordinary shares of Cantor Equity Partners, Inc. (the "Company"), par value $0.0001 per share (the "Class A Ordinary Shares"), and 2,500,000 Class B ordinary shares of the Company, par value $0.0001 per share (the "Class B Ordinary Shares"). Following the closing of the transaction, the reporting person no longer has beneficial ownership of the 300,000 Class A Ordinary Shares and 2,500,000 Class B Ordinary Shares held by the Sponsor. The aggregate sale price of the voting shares of CFGM was $200,000.

F2: As described in the Company's registration statement on Form S-1 (File No. 333-280230) under the heading "Description of Securities--Founder Shares", the Class B ordinary shares will automatically convert into Class A ordinary shares at the time of the Company's initial business combination, or at any time and from time to time at the option of the holder, on a one-for-one basis, subject to adjustment for share sub-divisions, share dividends, reorganizations, recapitalizations and the like, and certain anti-dilution rights.

F3: The Sponsor is the record holder of the shares reported herein. CFLP is the sole member of the Sponsor. CFGM is the managing general partner of CFLP. The reporting person was the trustee of CFGM's sole stockholder prior to the transaction described in footnote (1). The reporting person disclaims beneficial ownership of all securities held by the Sponsor in excess of his pecuniary interest, if any, and this report shall not be deemed an admission that he was the beneficial owner of, or had pecuniary interest in, any such excess securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

GCM Grosvenor Inc.

Report date October 06, 2025 · Filed October 06, 2025

Section 16 reporting ended · disclosed 2025-10-06. Current position is not established by this disclosure.

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Class A common stockSEC Table I · non-derivativeIndirectSee Footnotes0 Reported balance After 2025-10-06 transaction · row 1 Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source row

Row 1 · 2025-10-06 · Sale · Disposed 6,451,535 · Balance 0

F1: On October 6, 2025, the reporting person, in his capacity as trustee of a trust, closed the sale to trusts controlled by Brandon G. Lutnick of all of the voting shares of CF Group Management, Inc. ("CFGM"), which is the managing general partner of Cantor Fitzgerald, L.P. ("CFLP"). CFLP is the sole member of CF Finance Holdings, LLC ("Holdings") and CF GCM Investor, LLC ("Investor"). Holdings owns 2,951,535 shares of Class A common stock and 300,000 warrants of the issuer and Investor owns 3,500,000 shares of Class A common stock and 1,500,000 warrants of the issuer. Following the closing of the transaction, the reporting person no longer has beneficial ownership of the shares of Class A common stock and warrants owned by Holdings and Investor. The aggregate sale price of the voting shares of CFGM was $200,000.

F2: Holdings and Investor are each the record holder of the securities reported herein. CFLP is the sole member of each of Holdings and Investor. CFGM is the managing general partner of CFLP. The reporting person was the trustee of CFGM's sole stockholder prior to the transaction described in footnote (1). The reporting person disclaims beneficial ownership of all securities held by Holdings and Investor in excess of his pecuniary interest, if any, and this report shall not be deemed an admission that he was the beneficial owner of, or had pecuniary interest in, any such excess securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

WarrantsSEC Table II · derivative / convertible security · Conversion / exercise price $11.50 · Expires 2025-11-17IndirectSee Footnotes0 Reported balance After 2025-10-06 transaction · row 2 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 2 · 2025-10-06 · Sale · Disposed 1,800,000 · Balance 0

F1: On October 6, 2025, the reporting person, in his capacity as trustee of a trust, closed the sale to trusts controlled by Brandon G. Lutnick of all of the voting shares of CF Group Management, Inc. ("CFGM"), which is the managing general partner of Cantor Fitzgerald, L.P. ("CFLP"). CFLP is the sole member of CF Finance Holdings, LLC ("Holdings") and CF GCM Investor, LLC ("Investor"). Holdings owns 2,951,535 shares of Class A common stock and 300,000 warrants of the issuer and Investor owns 3,500,000 shares of Class A common stock and 1,500,000 warrants of the issuer. Following the closing of the transaction, the reporting person no longer has beneficial ownership of the shares of Class A common stock and warrants owned by Holdings and Investor. The aggregate sale price of the voting shares of CFGM was $200,000.

F2: Holdings and Investor are each the record holder of the securities reported herein. CFLP is the sole member of each of Holdings and Investor. CFGM is the managing general partner of CFLP. The reporting person was the trustee of CFGM's sole stockholder prior to the transaction described in footnote (1). The reporting person disclaims beneficial ownership of all securities held by Holdings and Investor in excess of his pecuniary interest, if any, and this report shall not be deemed an admission that he was the beneficial owner of, or had pecuniary interest in, any such excess securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

Filing footnotes · ownership attribution and instrument terms

F1: On October 6, 2025, the reporting person, in his capacity as trustee of a trust, closed the sale to trusts controlled by Brandon G. Lutnick of all of the voting shares of CF Group Management, Inc. ("CFGM"), which is the managing general partner of Cantor Fitzgerald, L.P. ("CFLP"). CFLP is the sole member of CF Finance Holdings, LLC ("Holdings") and CF GCM Investor, LLC ("Investor"). Holdings owns 2,951,535 shares of Class A common stock and 300,000 warrants of the issuer and Investor owns 3,500,000 shares of Class A common stock and 1,500,000 warrants of the issuer. Following the closing of the transaction, the reporting person no longer has beneficial ownership of the shares of Class A common stock and warrants owned by Holdings and Investor. The aggregate sale price of the voting shares of CFGM was $200,000.

F2: Holdings and Investor are each the record holder of the securities reported herein. CFLP is the sole member of each of Holdings and Investor. CFGM is the managing general partner of CFLP. The reporting person was the trustee of CFGM's sole stockholder prior to the transaction described in footnote (1). The reporting person disclaims beneficial ownership of all securities held by Holdings and Investor in excess of his pecuniary interest, if any, and this report shall not be deemed an admission that he was the beneficial owner of, or had pecuniary interest in, any such excess securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

Learn CW Investment Corp

Report date October 11, 2023 · Filed October 13, 2023

Jointly reported with CANTOR FITZGERALD SECURITIES, CANTOR FITZGERALD, L. P., CF GROUP MANAGEMENT INC

Section 16 reporting ended · disclosed 2023-10-13. Current position is not established by this disclosure.

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Class A ordinary shares, par value $0.0001 per shareSEC Table I · non-derivativeDirect0 Reported balance After 2023-10-11 transaction · row 1 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source row

Row 1 · 2023-10-11 · Other · Disposed 3,427,000 · Balance 0

F1: On October 11, 2023, Learn CW Investment Corporation (the "Issuer") held an extraordinary general meeting of shareholders to vote on certain proposals. In connection with such vote, each public shareholder of the Issuer's Class A ordinary shares was permitted to seek to redeem its public shares at a per-share price, payable in cash, equal to the aggregate amount then on deposit in the Issuer's trust account, including interest (net of taxes paid or payable), divided by the number of then outstanding public shares. Cantor Fitzgerald Securities ("CFS") elected to redeem all its public shares. The Issuer reported on October 13, 2023 that such amount would be approximately $10.63 per share. In the event the actual per share redemption amount differs materially, the reporting persons agree to file an amendment to this form to report the final redemption price per share.

F2: CFS was the record holder of the securities reported herein. CF Group Management, Inc. ("CFGM") is the managing general partner of Cantor Fitzgerald, L.P. ("Cantor") and directly or indirectly controls the managing general partner of CFS. Mr. Lutnick is Chairman and Chief Executive of CFGM and trustee of CFGM's sole stockholder. Cantor, indirectly, holds a majority of the ownership interests of CFS. As such, each of Cantor, CFGM and Mr. Lutnick may be deemed to have beneficial ownership of the securities directly held by CFS. 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.

F3: Each of the reporting persons declares that neither the filing of this statement nor anything herein shall be construed as an admission that such person is, for the purposes of Section 13(d) of the US Securities Exchange Act of 1934, as amended, or any other purpose, (i) acting (or has agreed or is agreeing to act together with any other person) as a partnership, limited partnership, syndicate or other group for the purpose of acquiring, holding or disposing of securities of the Issuer or otherwise with respect to the Issuer or any securities of the Issuer or (ii) a member of any group with respect to the Issuer or any securities of the Issuer.

Filing footnotes · ownership attribution and instrument terms

F1: On October 11, 2023, Learn CW Investment Corporation (the "Issuer") held an extraordinary general meeting of shareholders to vote on certain proposals. In connection with such vote, each public shareholder of the Issuer's Class A ordinary shares was permitted to seek to redeem its public shares at a per-share price, payable in cash, equal to the aggregate amount then on deposit in the Issuer's trust account, including interest (net of taxes paid or payable), divided by the number of then outstanding public shares. Cantor Fitzgerald Securities ("CFS") elected to redeem all its public shares. The Issuer reported on October 13, 2023 that such amount would be approximately $10.63 per share. In the event the actual per share redemption amount differs materially, the reporting persons agree to file an amendment to this form to report the final redemption price per share.

F2: CFS was the record holder of the securities reported herein. CF Group Management, Inc. ("CFGM") is the managing general partner of Cantor Fitzgerald, L.P. ("Cantor") and directly or indirectly controls the managing general partner of CFS. Mr. Lutnick is Chairman and Chief Executive of CFGM and trustee of CFGM's sole stockholder. Cantor, indirectly, holds a majority of the ownership interests of CFS. As such, each of Cantor, CFGM and Mr. Lutnick may be deemed to have beneficial ownership of the securities directly held by CFS. 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.

F3: Each of the reporting persons declares that neither the filing of this statement nor anything herein shall be construed as an admission that such person is, for the purposes of Section 13(d) of the US Securities Exchange Act of 1934, as amended, or any other purpose, (i) acting (or has agreed or is agreeing to act together with any other person) as a partnership, limited partnership, syndicate or other group for the purpose of acquiring, holding or disposing of securities of the Issuer or otherwise with respect to the Issuer or any securities of the Issuer or (ii) a member of any group with respect to the Issuer or any securities of the Issuer.

NEWMARK GROUP, INC.

Report date October 06, 2025 · Filed October 06, 2025

Section 16 reporting ended · disclosed 2025-10-06. Current position is not established by this disclosure.

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Class B Common Stock, par value $0.01 per shareSEC Table I · non-derivativeIndirectSee Footnotes0 Reported balance After 2025-10-06 transaction · row 1 Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source row

Row 1 · 2025-10-06 · Sale · Disposed 21,285,533 · Balance 0

F1: On October 6, 2025, the reporting person, in his capacity as trustee of a trust, closed the sale to trusts controlled by Brandon G. Lutnick of all of the voting shares of CF Group Management, Inc. ("CFGM"), which is the Managing General Partner of Cantor Fitzgerald, L.P. ("CFLP"). Following the close of the transaction, the reporting person no longer has beneficial ownership of the (i) 20,932,207 shares of Class B Common Stock, par value $0.01 per share ("Class B Common Stock") of Newmark Group, Inc. (the "Company") held by CFLP, (ii) 353,326 shares of Class B Common Stock held by CFGM, (iii) 1,025,612 shares of Class A Common Stock, par value $0.01 per share ("Class A Common Stock") of the Company held by CFGM, or (iv) 19,787,703 exchangeable limited partnership interests ("Interests") in Newmark Holdings, L.P. ("Newmark Holdings") held by CFLP. The aggregate sale price of the voting shares of CFGM was $200,000.

F6: The shares of Class B Common Stock are convertible at any time on a one-for-one basis (subject to adjustment) into shares of Class A Common Stock.

F8: CFGM is the Managing General Partner of CFLP and KBCR is a non-managing General Partner of CFLP. The reporting person was the sole voting member of KBCR and Tangible Benefits, through trusts, prior to the transactions described in footnote (2). The reporting person disclaims beneficial ownership of all securities held by CFLP, CFGM, KBCR, and Tangible Benefits in excess of his pecuniary interest, if any, and this report shall not be deemed an admission that he was the beneficial owner of, or had pecuniary interest in, any such excess securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

Class A Common Stock, par value $0.01 per shareSEC Table I · non-derivativeIndirectSee Footnote2,243,629 Reported balance After 2025-10-06 transaction · row 2 Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source row

Row 2 · 2025-10-06 · Sale · Disposed 1,025,612 · Balance 2,243,629

F1: On October 6, 2025, the reporting person, in his capacity as trustee of a trust, closed the sale to trusts controlled by Brandon G. Lutnick of all of the voting shares of CF Group Management, Inc. ("CFGM"), which is the Managing General Partner of Cantor Fitzgerald, L.P. ("CFLP"). Following the close of the transaction, the reporting person no longer has beneficial ownership of the (i) 20,932,207 shares of Class B Common Stock, par value $0.01 per share ("Class B Common Stock") of Newmark Group, Inc. (the "Company") held by CFLP, (ii) 353,326 shares of Class B Common Stock held by CFGM, (iii) 1,025,612 shares of Class A Common Stock, par value $0.01 per share ("Class A Common Stock") of the Company held by CFGM, or (iv) 19,787,703 exchangeable limited partnership interests ("Interests") in Newmark Holdings, L.P. ("Newmark Holdings") held by CFLP. The aggregate sale price of the voting shares of CFGM was $200,000.

F8: CFGM is the Managing General Partner of CFLP and KBCR is a non-managing General Partner of CFLP. The reporting person was the sole voting member of KBCR and Tangible Benefits, through trusts, prior to the transactions described in footnote (2). The reporting person disclaims beneficial ownership of all securities held by CFLP, CFGM, KBCR, and Tangible Benefits in excess of his pecuniary interest, if any, and this report shall not be deemed an admission that he was the beneficial owner of, or had pecuniary interest in, any such excess securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

Class A Common Stock, par value $0.01 per shareSEC Table I · non-derivativeIndirectSee Footnote134,259 Reported balance After 2025-10-06 transaction · row 3 Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source row

Row 3 · 2025-10-06 · Sale · Disposed 2,109,370 · Balance 134,259

F2: On October 6, 2025, the reporting person, in his capacity as trustee of a trust, in a transaction effective concurrently with the transaction described in footnote (1), closed the sale to certain other trusts controlled by Brandon G. Lutnick of all of the outstanding equity interests in KBCR Management Partners, LLC ("KBCR") and Tangible Benefits, LLC ("Tangible Benefits"). Following the close of the transaction, the reporting person no longer has beneficial ownership of the 1,362,415 shares of Class A Common Stock held by KBCR and the 746,955 shares of Class A Common Stock held by Tangible Benefits. The aggregate sale price of the equity interests of KBCR and Tangible Benefits was $13,096,795.70.

F8: CFGM is the Managing General Partner of CFLP and KBCR is a non-managing General Partner of CFLP. The reporting person was the sole voting member of KBCR and Tangible Benefits, through trusts, prior to the transactions described in footnote (2). The reporting person disclaims beneficial ownership of all securities held by CFLP, CFGM, KBCR, and Tangible Benefits in excess of his pecuniary interest, if any, and this report shall not be deemed an admission that he was the beneficial owner of, or had pecuniary interest in, any such excess securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

Class A Common Stock, par value $0.01 per shareSEC Table I · non-derivativeIndirectSee Footnote0 Reported balance After 2025-10-06 transaction · row 5 Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source row

Row 5 · 2025-10-06 · Disposition to issuer · Disposed 4,400 · Balance 0

F5: On October 6, 2025, effective immediately after the transaction described in footnote (1), the Company repurchased 4,400 shares of Class A Common Stock held by the reporting person's spouse in a transaction exempt pursuant to Rule 16b-3 of the Exchange Act. The price per share for the sale was $11.04, which was the closing price of the Company's Class A Common Stock on the Nasdaq Global Select Market on May 29, 2025, reduced by $0.048 per share, which is the amount of the after-tax portion of the (i) dividends declared on such shares of Class A Common Stock but unpaid and with record dates between May 29, 2025 and the transaction date payable to the reporting person's spouse, and (ii) dividends on such shares of Class A Common Stock paid to the reporting person's spouse between May 29, 2025 and the transaction date. The transaction was approved by the Audit Committee of the Company and was made pursuant to the Company's existing stock repurchase authorization.

F8: CFGM is the Managing General Partner of CFLP and KBCR is a non-managing General Partner of CFLP. The reporting person was the sole voting member of KBCR and Tangible Benefits, through trusts, prior to the transactions described in footnote (2). The reporting person disclaims beneficial ownership of all securities held by CFLP, CFGM, KBCR, and Tangible Benefits in excess of his pecuniary interest, if any, and this report shall not be deemed an admission that he was the beneficial owner of, or had pecuniary interest in, any such excess securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

Class A Common Stock, par value $0.01 per shareSEC Table I · non-derivativeIndirectSee Footnotes4,400 Reported balance After 2025-10-06 transaction · row 4 Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source row

Row 4 · 2025-10-06 · Disposition to issuer · Disposed 129,859 · Balance 4,400

F3: On October 6, 2025, in a transaction effective immediately after the transaction described in footnote (1), the Company repurchased an aggregate of 129,859 shares of Class A Common Stock beneficially owned by the reporting person and originating from retirement accounts, including certain shares held by his spouse in transactions exempt pursuant to Rule 16b-3 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), consisting of (i) 112,405 shares held in a Keogh retirement account, (ii) 13,268 shares held in other retirement accounts, and (iii) 4,186 shares held in retirement accounts for the reporting person's spouse. The price per share for the sale was $11.58, which is equal to the closing price of the Company's Class A Common Stock on the Nasdaq Global Select Market on May 16, 2025, reduced by $0.06 per share,

F4: (Continued from Footnote 3) which is equal to the amount of the after-tax portion of the (i) dividends declared on such shares of Class A Common Stock but unpaid and with record dates between May 16, 2025 and the transaction date that are payable to Howard W. Lutnick and his spouse, as applicable, and (ii) dividends paid on such shares of Class A Common Stock to the reporting person and his spouse, as applicable, between May 16, 2025 and the transaction date. The transactions were approved by the Audit Committee of the Company and were made pursuant to the Company's existing stock repurchase authorization.

Newmark Holdings Exchangeable Limited Partnership InterestsSEC Table II · derivative / convertible securityIndirectSee Footnotes0 Reported balance After 2025-10-06 transaction · row 6 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 6 · 2025-10-06 · Sale · Disposed 19,787,703 · Balance 0

F7: Consists of Interests held by CFLP. The exchange rights with respect to the Interests held by CFLP are exercisable at any time for shares of Class B Common Stock, or, at CFLP's option, Class A Common Stock, at the then-current exchange ratio (which is 0.9273 as of October 6, 2025), which is subject to adjustment.

F1: On October 6, 2025, the reporting person, in his capacity as trustee of a trust, closed the sale to trusts controlled by Brandon G. Lutnick of all of the voting shares of CF Group Management, Inc. ("CFGM"), which is the Managing General Partner of Cantor Fitzgerald, L.P. ("CFLP"). Following the close of the transaction, the reporting person no longer has beneficial ownership of the (i) 20,932,207 shares of Class B Common Stock, par value $0.01 per share ("Class B Common Stock") of Newmark Group, Inc. (the "Company") held by CFLP, (ii) 353,326 shares of Class B Common Stock held by CFGM, (iii) 1,025,612 shares of Class A Common Stock, par value $0.01 per share ("Class A Common Stock") of the Company held by CFGM, or (iv) 19,787,703 exchangeable limited partnership interests ("Interests") in Newmark Holdings, L.P. ("Newmark Holdings") held by CFLP. The aggregate sale price of the voting shares of CFGM was $200,000.

F8: CFGM is the Managing General Partner of CFLP and KBCR is a non-managing General Partner of CFLP. The reporting person was the sole voting member of KBCR and Tangible Benefits, through trusts, prior to the transactions described in footnote (2). The reporting person disclaims beneficial ownership of all securities held by CFLP, CFGM, KBCR, and Tangible Benefits in excess of his pecuniary interest, if any, and this report shall not be deemed an admission that he was the beneficial owner of, or had pecuniary interest in, any such excess securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

Filing footnotes · ownership attribution and instrument terms

F1: On October 6, 2025, the reporting person, in his capacity as trustee of a trust, closed the sale to trusts controlled by Brandon G. Lutnick of all of the voting shares of CF Group Management, Inc. ("CFGM"), which is the Managing General Partner of Cantor Fitzgerald, L.P. ("CFLP"). Following the close of the transaction, the reporting person no longer has beneficial ownership of the (i) 20,932,207 shares of Class B Common Stock, par value $0.01 per share ("Class B Common Stock") of Newmark Group, Inc. (the "Company") held by CFLP, (ii) 353,326 shares of Class B Common Stock held by CFGM, (iii) 1,025,612 shares of Class A Common Stock, par value $0.01 per share ("Class A Common Stock") of the Company held by CFGM, or (iv) 19,787,703 exchangeable limited partnership interests ("Interests") in Newmark Holdings, L.P. ("Newmark Holdings") held by CFLP. The aggregate sale price of the voting shares of CFGM was $200,000.

F2: On October 6, 2025, the reporting person, in his capacity as trustee of a trust, in a transaction effective concurrently with the transaction described in footnote (1), closed the sale to certain other trusts controlled by Brandon G. Lutnick of all of the outstanding equity interests in KBCR Management Partners, LLC ("KBCR") and Tangible Benefits, LLC ("Tangible Benefits"). Following the close of the transaction, the reporting person no longer has beneficial ownership of the 1,362,415 shares of Class A Common Stock held by KBCR and the 746,955 shares of Class A Common Stock held by Tangible Benefits. The aggregate sale price of the equity interests of KBCR and Tangible Benefits was $13,096,795.70.

F3: On October 6, 2025, in a transaction effective immediately after the transaction described in footnote (1), the Company repurchased an aggregate of 129,859 shares of Class A Common Stock beneficially owned by the reporting person and originating from retirement accounts, including certain shares held by his spouse in transactions exempt pursuant to Rule 16b-3 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), consisting of (i) 112,405 shares held in a Keogh retirement account, (ii) 13,268 shares held in other retirement accounts, and (iii) 4,186 shares held in retirement accounts for the reporting person's spouse. The price per share for the sale was $11.58, which is equal to the closing price of the Company's Class A Common Stock on the Nasdaq Global Select Market on May 16, 2025, reduced by $0.06 per share,

F4: (Continued from Footnote 3) which is equal to the amount of the after-tax portion of the (i) dividends declared on such shares of Class A Common Stock but unpaid and with record dates between May 16, 2025 and the transaction date that are payable to Howard W. Lutnick and his spouse, as applicable, and (ii) dividends paid on such shares of Class A Common Stock to the reporting person and his spouse, as applicable, between May 16, 2025 and the transaction date. The transactions were approved by the Audit Committee of the Company and were made pursuant to the Company's existing stock repurchase authorization.

F5: On October 6, 2025, effective immediately after the transaction described in footnote (1), the Company repurchased 4,400 shares of Class A Common Stock held by the reporting person's spouse in a transaction exempt pursuant to Rule 16b-3 of the Exchange Act. The price per share for the sale was $11.04, which was the closing price of the Company's Class A Common Stock on the Nasdaq Global Select Market on May 29, 2025, reduced by $0.048 per share, which is the amount of the after-tax portion of the (i) dividends declared on such shares of Class A Common Stock but unpaid and with record dates between May 29, 2025 and the transaction date payable to the reporting person's spouse, and (ii) dividends on such shares of Class A Common Stock paid to the reporting person's spouse between May 29, 2025 and the transaction date. The transaction was approved by the Audit Committee of the Company and was made pursuant to the Company's existing stock repurchase authorization.

F6: The shares of Class B Common Stock are convertible at any time on a one-for-one basis (subject to adjustment) into shares of Class A Common Stock.

F7: Consists of Interests held by CFLP. The exchange rights with respect to the Interests held by CFLP are exercisable at any time for shares of Class B Common Stock, or, at CFLP's option, Class A Common Stock, at the then-current exchange ratio (which is 0.9273 as of October 6, 2025), which is subject to adjustment.

F8: CFGM is the Managing General Partner of CFLP and KBCR is a non-managing General Partner of CFLP. The reporting person was the sole voting member of KBCR and Tangible Benefits, through trusts, prior to the transactions described in footnote (2). The reporting person disclaims beneficial ownership of all securities held by CFLP, CFGM, KBCR, and Tangible Benefits in excess of his pecuniary interest, if any, and this report shall not be deemed an admission that he was the beneficial owner of, or had pecuniary interest in, any such excess securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

RUM Group Inc.

Report date September 16, 2022 · Filed September 20, 2022

Jointly reported with CFAC Holdings VI, LLC, CANTOR FITZGERALD, L. P., CF GROUP MANAGEMENT INC

Section 16 reporting ended · disclosed 2022-09-20. Current position is not established by this disclosure.

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Class A common stockSEC Table I · non-derivativeDirect11,214,000 Last balance in matching sequence After 2022-09-16 transaction · row 4 Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
4 source rows

Row 1 · 2022-09-16 · Purchase · Acquired 1,159,000 · Balance 1,159,000

F1: Pursuant to that certain Subscription Agreement, dated December 1, 2021, by and between the issuer and CFAC Holdings VI, LLC (the "Sponsor"), and certain assignment agreements dated September 14 and 15, 2022, the Sponsor purchased an aggregate of 1,159,000 shares of Class A common stock, par value $0.0001 per share, of the issuer ("Class A Common Stock") on September 16, 2022 in a private placement that consummated in connection with the issuer's initial business combination with Rumble Inc., an Ontario corporation ("Legacy Rumble")

F5: 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.

Row 2 · 2022-09-16 · Purchase · Acquired 1,875,000 · Balance 3,034,000

F2: Pursuant to that certain Forward Purchase Contract, dated February 18, 2021, by and between the issuer and the Sponsor, the Sponsor purchased an aggregate of 1,875,000 shares of Class A Common Stock and 375,000 warrants (each, a "Warrant"), each whole Warrant entitling the holder thereof to purchase one share of Class A Common Stock for $11.50 per share.

F5: 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.

Row 3 · 2022-09-16 · Disposition to issuer · Acquired 7,480,000 · Balance 10,514,000

F3: As described in the issuer's registration statement on Form S-1 (File No. 333-252598) 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.

F5: 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.

Row 4 · 2022-09-16 · Disposition to issuer · Acquired 700,000 · Balance 11,214,000

F4: These shares represent shares of Class A common stock issued to the Sponsor upon separation of the 700,000 private placement units previously purchased by the Sponsor from the issuer in February 2021, each unit comprised of one share of common stock and one-fourth of one Warrant. The Sponsor acquired the private placement 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.

F5: 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.

Class B Common StockSEC Table II · derivative / convertible securityDirect0 Reported balance After 2022-09-16 transaction · row 5 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 5 · 2022-09-16 · Disposition to issuer · Disposed 7,480,000 · Balance 0

F3: As described in the issuer's registration statement on Form S-1 (File No. 333-252598) 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.

F5: 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.

WarrantsSEC Table II · derivative / convertible security · Conversion / exercise price $11.50 · Expires 2027-09-16Direct375,000 Reported balance After 2022-09-16 transaction · row 6 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 6 · 2022-09-16 · Disposition to issuer · Disposed 375,000 · Balance 375,000

F2: Pursuant to that certain Forward Purchase Contract, dated February 18, 2021, by and between the issuer and the Sponsor, the Sponsor purchased an aggregate of 1,875,000 shares of Class A Common Stock and 375,000 warrants (each, a "Warrant"), each whole Warrant entitling the holder thereof to purchase one share of Class A Common Stock for $11.50 per share.

F5: 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.

WarrantsSEC Table II · derivative / convertible security · Conversion / exercise price $11.50 · Expires 2027-09-16Direct550,000 Reported balance After 2022-09-16 transaction · row 7 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 7 · 2022-09-16 · Disposition to issuer · Disposed 175,000 · Balance 550,000

F4: These shares represent shares of Class A common stock issued to the Sponsor upon separation of the 700,000 private placement units previously purchased by the Sponsor from the issuer in February 2021, each unit comprised of one share of common stock and one-fourth of one Warrant. The Sponsor acquired the private placement 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.

F5: 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.

Filing footnotes · ownership attribution and instrument terms

F1: Pursuant to that certain Subscription Agreement, dated December 1, 2021, by and between the issuer and CFAC Holdings VI, LLC (the "Sponsor"), and certain assignment agreements dated September 14 and 15, 2022, the Sponsor purchased an aggregate of 1,159,000 shares of Class A common stock, par value $0.0001 per share, of the issuer ("Class A Common Stock") on September 16, 2022 in a private placement that consummated in connection with the issuer's initial business combination with Rumble Inc., an Ontario corporation ("Legacy Rumble")

F2: Pursuant to that certain Forward Purchase Contract, dated February 18, 2021, by and between the issuer and the Sponsor, the Sponsor purchased an aggregate of 1,875,000 shares of Class A Common Stock and 375,000 warrants (each, a "Warrant"), each whole Warrant entitling the holder thereof to purchase one share of Class A Common Stock for $11.50 per share.

F3: As described in the issuer's registration statement on Form S-1 (File No. 333-252598) 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.

F4: These shares represent shares of Class A common stock issued to the Sponsor upon separation of the 700,000 private placement units previously purchased by the Sponsor from the issuer in February 2021, each unit comprised of one share of common stock and one-fourth of one Warrant. The Sponsor acquired the private placement 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.

F5: 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.

Satellogic Inc.

Report date October 06, 2025 · Filed October 07, 2025

Section 16 reporting ended · disclosed 2025-10-07. Current position is not established by this disclosure.

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Class A common stockSEC Table I · non-derivativeIndirectSee footnote0 Reported balance After 2025-10-06 transaction · row 1 Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source row

Row 1 · 2025-10-06 · Sale · Disposed 13,380,873 · Balance 0

F1: On October 6, 2025, the reporting person, in his capacity as trustee of a trust, closed the sale to trusts controlled by Brandon G. Lutnick (the "Purchaser Trusts") of all of the voting shares of CF Group Management, Inc. ("CFGM"), which is the managing general partner of Cantor Fitzgerald, L.P. ("CFLP"). CFLP is the sole member of CFAC Holdings V, LLC ("CFAC") and the indirect holder of a majority of the equity interests of Cantor Fitzgerald & Co. ("CF&Co.") and Cantor Fitzgerald Securities ("CFS").

F2: CFAC directly owns (a) 10,488,738 shares of Class A common stock (including up to 1,863,696 shares of Class A common stock that are subject to forfeiture based on vesting and earn-out targets) and (b) 533,333 shares of Class A common stock underlying an equal number of warrants to purchase shares of Class A common stock which are exercisable within 60 days. CF&Co. directly owns 2,078,064 shares of Class A common stock. CFS directly owns 814,071 shares of Class A common stock and may be deemed to beneficially own the 2,078,064 shares of Class A common stock directly owned by CF&Co. Following the closing of the transaction, the reporting person no longer has beneficial ownership of the shares of Class A common stock owned by CFAC, CF&Co. and CFS. The aggregate sale price of the voting shares of CFGM was $200,000.

F3: CFAC, CF&Co. and CFS are the record holders of the shares reported herein. CFLP is the sole member of CFAC and the indirect holder of a majority of the equity interests of CF&Co. and CFS. CFGM is the managing general partner of CFLP. The reporting person was the trustee of CFGM's sole stockholder prior to the transaction described in footnote (1). The reporting person disclaims beneficial ownership of all securities held by CFAC, CF&Co. and CFS in excess of his pecuniary interest, if any, and this report shall not be deemed an admission that he was the beneficial owner of, or had pecuniary interest in, any such excess securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

WarrantsSEC Table II · derivative / convertible security · Conversion / exercise price $8.63 · Expires 2027-01-25IndirectSee footnote0 Reported balance After 2025-10-06 transaction · row 2 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 2 · 2025-10-06 · Sale · Disposed 533,333 · Balance 0

F1: On October 6, 2025, the reporting person, in his capacity as trustee of a trust, closed the sale to trusts controlled by Brandon G. Lutnick (the "Purchaser Trusts") of all of the voting shares of CF Group Management, Inc. ("CFGM"), which is the managing general partner of Cantor Fitzgerald, L.P. ("CFLP"). CFLP is the sole member of CFAC Holdings V, LLC ("CFAC") and the indirect holder of a majority of the equity interests of Cantor Fitzgerald & Co. ("CF&Co.") and Cantor Fitzgerald Securities ("CFS").

F2: CFAC directly owns (a) 10,488,738 shares of Class A common stock (including up to 1,863,696 shares of Class A common stock that are subject to forfeiture based on vesting and earn-out targets) and (b) 533,333 shares of Class A common stock underlying an equal number of warrants to purchase shares of Class A common stock which are exercisable within 60 days. CF&Co. directly owns 2,078,064 shares of Class A common stock. CFS directly owns 814,071 shares of Class A common stock and may be deemed to beneficially own the 2,078,064 shares of Class A common stock directly owned by CF&Co. Following the closing of the transaction, the reporting person no longer has beneficial ownership of the shares of Class A common stock owned by CFAC, CF&Co. and CFS. The aggregate sale price of the voting shares of CFGM was $200,000.

F3: CFAC, CF&Co. and CFS are the record holders of the shares reported herein. CFLP is the sole member of CFAC and the indirect holder of a majority of the equity interests of CF&Co. and CFS. CFGM is the managing general partner of CFLP. The reporting person was the trustee of CFGM's sole stockholder prior to the transaction described in footnote (1). The reporting person disclaims beneficial ownership of all securities held by CFAC, CF&Co. and CFS in excess of his pecuniary interest, if any, and this report shall not be deemed an admission that he was the beneficial owner of, or had pecuniary interest in, any such excess securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

Filing footnotes · ownership attribution and instrument terms

F1: On October 6, 2025, the reporting person, in his capacity as trustee of a trust, closed the sale to trusts controlled by Brandon G. Lutnick (the "Purchaser Trusts") of all of the voting shares of CF Group Management, Inc. ("CFGM"), which is the managing general partner of Cantor Fitzgerald, L.P. ("CFLP"). CFLP is the sole member of CFAC Holdings V, LLC ("CFAC") and the indirect holder of a majority of the equity interests of Cantor Fitzgerald & Co. ("CF&Co.") and Cantor Fitzgerald Securities ("CFS").

F2: CFAC directly owns (a) 10,488,738 shares of Class A common stock (including up to 1,863,696 shares of Class A common stock that are subject to forfeiture based on vesting and earn-out targets) and (b) 533,333 shares of Class A common stock underlying an equal number of warrants to purchase shares of Class A common stock which are exercisable within 60 days. CF&Co. directly owns 2,078,064 shares of Class A common stock. CFS directly owns 814,071 shares of Class A common stock and may be deemed to beneficially own the 2,078,064 shares of Class A common stock directly owned by CF&Co. Following the closing of the transaction, the reporting person no longer has beneficial ownership of the shares of Class A common stock owned by CFAC, CF&Co. and CFS. The aggregate sale price of the voting shares of CFGM was $200,000.

F3: CFAC, CF&Co. and CFS are the record holders of the shares reported herein. CFLP is the sole member of CFAC and the indirect holder of a majority of the equity interests of CF&Co. and CFS. CFGM is the managing general partner of CFLP. The reporting person was the trustee of CFGM's sole stockholder prior to the transaction described in footnote (1). The reporting person disclaims beneficial ownership of all securities held by CFAC, CF&Co. and CFS in excess of his pecuniary interest, if any, and this report shall not be deemed an admission that he was the beneficial owner of, or had pecuniary interest in, any such excess securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

View, Inc.

Report date March 08, 2021 · Filed March 10, 2021

Jointly reported with CF Finance Holdings II, LLC, CANTOR FITZGERALD, L. P., CF GROUP MANAGEMENT INC

Section 16 reporting ended · disclosed 2021-03-10. Current position is not established by this disclosure.

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Class A common stockSEC Table I · non-derivativeDirect18,570,000 Last balance in matching sequence After 2021-03-08 transaction · row 3 Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
3 source rows

Row 1 · 2021-03-08 · Purchase · Acquired 5,000,000 · Balance 5,000,000

F1: 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: 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.

Row 2 · 2021-03-08 · Disposition to issuer · Acquired 12,470,000 · Balance 17,470,000

F2: 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: 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.

Row 3 · 2021-03-08 · Disposition to issuer · Acquired 1,100,000 · Balance 18,570,000

F4: 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: 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.

Class B Common StockSEC Table II · derivative / convertible securityDirect12,470,000 Reported balance After 2021-03-08 transaction · row 4 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 4 · 2021-03-08 · Disposition to issuer · Disposed 12,470,000 · Balance 12,470,000

F2: 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: 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.

WarrantsSEC Table II · derivative / convertible security · Conversion / exercise price $11.50 · Expires 2026-03-08Direct366,667 Reported balance After 2021-03-08 transaction · row 5 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 5 · 2021-03-08 · Disposition to issuer · Disposed 366,667 · Balance 366,667

F5: 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: 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.

Filing footnotes · ownership attribution and instrument terms

F1: 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.

F2: 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: 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.

F4: 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.

F5: 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.

XBP Global Holdings, Inc.

Report date October 06, 2025 · Filed October 06, 2025

Section 16 reporting ended · disclosed 2025-10-06. Current position is not established by this disclosure.

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Common stockSEC Table I · non-derivativeIndirectSee Footnotes0 Reported balance After 2025-10-06 transaction · row 1 Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source row

Row 1 · 2025-10-06 · Sale · Disposed 6,064,404 · Balance 0

F1: On October 6, 2025, the reporting person, in his capacity as trustee of a trust, closed the sale to trusts controlled by Brandon G. Lutnick of all of the voting shares of CF Group Management, Inc. ("CFGM"), which is the managing general partner of Cantor Fitzgerald, L.P. ("CFLP"). CFLP is the sole member of CFAC Holdings VIII, LLC ("CFAC"). CFAC directly owns (a) 6,064,404 shares of common stock and (b) 385,000 shares of common stock underlying an equal number of warrants to purchase shares of common stock which are exercisable within 60 days. Following the closing of the transaction, the reporting person no longer has beneficial ownership of the shares of common stock owned by CFAC. The aggregate sale price of the voting shares of CFGM was $200,000.

F2: CFAC is the record holder of the shares reported herein. CFLP is the sole member of CFAC. CFGM is the managing general partner of CFLP. The reporting person was the trustee of CFGM's sole stockholder prior to the transaction described in footnote (1). The reporting person disclaims beneficial ownership of all securities held by CFAC in excess of his pecuniary interest, if any, and this report shall not be deemed an admission that he was the beneficial owner of, or had pecuniary interest in, any such excess securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

WarrantsSEC Table II · derivative / convertible security · Conversion / exercise price $11.50 · Expires 2028-12-29IndirectSee Footnotes0 Reported balance After 2025-10-06 transaction · row 2 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 2 · 2025-10-06 · Sale · Disposed 385,000 · Balance 0

F1: On October 6, 2025, the reporting person, in his capacity as trustee of a trust, closed the sale to trusts controlled by Brandon G. Lutnick of all of the voting shares of CF Group Management, Inc. ("CFGM"), which is the managing general partner of Cantor Fitzgerald, L.P. ("CFLP"). CFLP is the sole member of CFAC Holdings VIII, LLC ("CFAC"). CFAC directly owns (a) 6,064,404 shares of common stock and (b) 385,000 shares of common stock underlying an equal number of warrants to purchase shares of common stock which are exercisable within 60 days. Following the closing of the transaction, the reporting person no longer has beneficial ownership of the shares of common stock owned by CFAC. The aggregate sale price of the voting shares of CFGM was $200,000.

F2: CFAC is the record holder of the shares reported herein. CFLP is the sole member of CFAC. CFGM is the managing general partner of CFLP. The reporting person was the trustee of CFGM's sole stockholder prior to the transaction described in footnote (1). The reporting person disclaims beneficial ownership of all securities held by CFAC in excess of his pecuniary interest, if any, and this report shall not be deemed an admission that he was the beneficial owner of, or had pecuniary interest in, any such excess securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

Filing footnotes · ownership attribution and instrument terms

F1: On October 6, 2025, the reporting person, in his capacity as trustee of a trust, closed the sale to trusts controlled by Brandon G. Lutnick of all of the voting shares of CF Group Management, Inc. ("CFGM"), which is the managing general partner of Cantor Fitzgerald, L.P. ("CFLP"). CFLP is the sole member of CFAC Holdings VIII, LLC ("CFAC"). CFAC directly owns (a) 6,064,404 shares of common stock and (b) 385,000 shares of common stock underlying an equal number of warrants to purchase shares of common stock which are exercisable within 60 days. Following the closing of the transaction, the reporting person no longer has beneficial ownership of the shares of common stock owned by CFAC. The aggregate sale price of the voting shares of CFGM was $200,000.

F2: CFAC is the record holder of the shares reported herein. CFLP is the sole member of CFAC. CFGM is the managing general partner of CFLP. The reporting person was the trustee of CFGM's sole stockholder prior to the transaction described in footnote (1). The reporting person disclaims beneficial ownership of all securities held by CFAC in excess of his pecuniary interest, if any, and this report shall not be deemed an admission that he was the beneficial owner of, or had pecuniary interest in, any such excess securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

Transaction history

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Purchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”

The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.

Transaction dateCompanyActivity / securityShares / unitsReported priceReported valueDetails
December 13, 2017 Filed Dec 21, 2017 23:36 UTC NEWMARK GROUP, INC. NMRK · Entity 4097 Disposition to issuerCommon stock, par value $0.01 per share 100 Not disclosed Not disclosed
Disclosure

SEC source: 0001437749-17-021056 · rdgdoc.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnotes

Disclosed balance after: 0

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

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

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

F2 · ownership.nature: The reporting person disclaims beneficial ownership of all such securities in excess of its pecuniary interest, if any, and this report shall not be deemed an admission that reporting person is the beneficial owner of, or has pecuniary interest in, any such excess securities for purposes of Section 16 of the Securities Exchange Act of 1934 or for any other purpose.

Read SEC document
November 29, 2017 Filed Dec 1, 2017 23:27 UTC BGC Group, Inc. BGCP · Entity 3818 Exercise / conversionStock Option (Right to Buy) · Derivative 1,000,000 $0.00 Strike: $10.82 $0.00
Disclosure

SEC source: 0001437749-17-020078 · rdgdoc.xml · derivative · entry 4

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Class A Common Stock, par value $0.01 per share · 1,000,000 shares

Expires 2017-12-28

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

F1 · shares: Reflects a cashless net exercise of an option granted in 2007 and expiring on December 28, 2017, which resulted in 147,448 shares of Class A Common Stock, par value $0.01 per share (the "Class A Common Stock"), of BGC Partners, Inc. (the "Company") being issued to the reporting person. The calculation reflects the number of shares withheld by the Company at the fair market value of $16.24 per share on the date of exercise to pay the exercise price and the tax withholding in connection with the exercise of the 1,000,000 options by the reporting person, in transactions exempt pursuant to Rule 16b-3 under the Securities Exchange Act of 1934, as amended.

F1 · derivative.underlying_shares: Reflects a cashless net exercise of an option granted in 2007 and expiring on December 28, 2017, which resulted in 147,448 shares of Class A Common Stock, par value $0.01 per share (the "Class A Common Stock"), of BGC Partners, Inc. (the "Company") being issued to the reporting person. The calculation reflects the number of shares withheld by the Company at the fair market value of $16.24 per share on the date of exercise to pay the exercise price and the tax withholding in connection with the exercise of the 1,000,000 options by the reporting person, in transactions exempt pursuant to Rule 16b-3 under the Securities Exchange Act of 1934, as amended.

Read SEC document
November 29, 2017 Filed Dec 1, 2017 23:27 UTC BGC Group, Inc. BGCP · Entity 3818 Tax withholdingClass A Common Stock, par value $0.01 per share 852,552 $16.24 $13,845,444.48
Disclosure

SEC source: 0001437749-17-020078 · rdgdoc.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,463,014

F1 · shares: Reflects a cashless net exercise of an option granted in 2007 and expiring on December 28, 2017, which resulted in 147,448 shares of Class A Common Stock, par value $0.01 per share (the "Class A Common Stock"), of BGC Partners, Inc. (the "Company") being issued to the reporting person. The calculation reflects the number of shares withheld by the Company at the fair market value of $16.24 per share on the date of exercise to pay the exercise price and the tax withholding in connection with the exercise of the 1,000,000 options by the reporting person, in transactions exempt pursuant to Rule 16b-3 under the Securities Exchange Act of 1934, as amended.

F1 · balance_after: Reflects a cashless net exercise of an option granted in 2007 and expiring on December 28, 2017, which resulted in 147,448 shares of Class A Common Stock, par value $0.01 per share (the "Class A Common Stock"), of BGC Partners, Inc. (the "Company") being issued to the reporting person. The calculation reflects the number of shares withheld by the Company at the fair market value of $16.24 per share on the date of exercise to pay the exercise price and the tax withholding in connection with the exercise of the 1,000,000 options by the reporting person, in transactions exempt pursuant to Rule 16b-3 under the Securities Exchange Act of 1934, as amended.

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 (after the acquisition of the 147,448 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")).

Read SEC document
November 29, 2017 Filed Dec 1, 2017 23:27 UTC BGC Group, Inc. BGCP · Entity 3818 Exercise / conversionClass A Common Stock, par value $0.01 per share 1,000,000 $10.82 $10,820,000.00
Disclosure

SEC source: 0001437749-17-020078 · 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: 12,315,566

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

F1 · shares: Reflects a cashless net exercise of an option granted in 2007 and expiring on December 28, 2017, which resulted in 147,448 shares of Class A Common Stock, par value $0.01 per share (the "Class A Common Stock"), of BGC Partners, Inc. (the "Company") being issued to the reporting person. The calculation reflects the number of shares withheld by the Company at the fair market value of $16.24 per share on the date of exercise to pay the exercise price and the tax withholding in connection with the exercise of the 1,000,000 options by the reporting person, in transactions exempt pursuant to Rule 16b-3 under the Securities Exchange Act of 1934, as amended.

Read SEC document
November 07, 2017 Filed Nov 9, 2017 23:06 UTC BGC Group, Inc. BGCP · Entity 3818 GrantBGC Holdings Exchangeable Limited Partnership Interests · Derivative 1,179,788 Not disclosed Not disclosed
Disclosure

SEC source: 0001437749-17-018953 · rdgdoc.xml · derivative · 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: 36,549,932

Underlying: Class A or Class B Common Stock, par value $0.01 per share · 1,179,788 shares

Expires not disclosed

F1 · security: On November 7, 2017, Cantor Fitzgerald, L.P. ("CFLP") purchased from BGC Holdings, L.P. ("BGC Holdings"), an aggregate of 1,179,788 exchangeable limited partnership interests in BGC Holdings (the "Interests") in a transaction exempt pursuant to Rule 16b-3 under the Securities Exchange Act of 1934, as amended, in accordance with the Agreement of Limited Partnership of BGC Holdings, as amended and restated as of March 31, 2008 (as further amended from time to time, the "BGC Holdings Agreement").

F2 · derivative.exercise_price: The exchange rights with respect to the Interests are exercisable at any time for shares of Class B Common Stock (or, at CFLP's option or if there are no additional authorized but unissued shares of Class B Common Stock available, shares of Class A Common Stock) on a one-for-one basis (subject to adjustment). The shares of Class B Common Stock are convertible at any time on a one-for-one basis (subject to adjustment) into shares of Class A Common Stock.

F1 · kind: On November 7, 2017, Cantor Fitzgerald, L.P. ("CFLP") purchased from BGC Holdings, L.P. ("BGC Holdings"), an aggregate of 1,179,788 exchangeable limited partnership interests in BGC Holdings (the "Interests") in a transaction exempt pursuant to Rule 16b-3 under the Securities Exchange Act of 1934, as amended, in accordance with the Agreement of Limited Partnership of BGC Holdings, as amended and restated as of March 31, 2008 (as further amended from time to time, the "BGC Holdings Agreement").

F3 · shares: Includes 823,178 Interests purchased from BGC Holdings as a result of the redemption of the 823,178 non-exchangeable founding partner units for an aggregate consideration of $2,828,629, and 356,610 Interests purchased from BGC Holdings pursuant to the Sixth Amendment of the BGC Holdings Agreement as a result of the exchange of 356,610 non-exchangeable founding partner units, at an aggregate consideration of $1,091,175.

F3 · price: Includes 823,178 Interests purchased from BGC Holdings as a result of the redemption of the 823,178 non-exchangeable founding partner units for an aggregate consideration of $2,828,629, and 356,610 Interests purchased from BGC Holdings pursuant to the Sixth Amendment of the BGC Holdings Agreement as a result of the exchange of 356,610 non-exchangeable founding partner units, at an aggregate consideration of $1,091,175.

F2 · derivative.exercise_date: The exchange rights with respect to the Interests are exercisable at any time for shares of Class B Common Stock (or, at CFLP's option or if there are no additional authorized but unissued shares of Class B Common Stock available, shares of Class A Common Stock) on a one-for-one basis (subject to adjustment). The shares of Class B Common Stock are convertible at any time on a one-for-one basis (subject to adjustment) into shares of Class A Common Stock.

F2 · derivative.expiration_date: The exchange rights with respect to the Interests are exercisable at any time for shares of Class B Common Stock (or, at CFLP's option or if there are no additional authorized but unissued shares of Class B Common Stock available, shares of Class A Common Stock) on a one-for-one basis (subject to adjustment). The shares of Class B Common Stock are convertible at any time on a one-for-one basis (subject to adjustment) into shares of Class A Common Stock.

F2 · derivative.underlying: The exchange rights with respect to the Interests are exercisable at any time for shares of Class B Common Stock (or, at CFLP's option or if there are no additional authorized but unissued shares of Class B Common Stock available, shares of Class A Common Stock) on a one-for-one basis (subject to adjustment). The shares of Class B Common Stock are convertible at any time on a one-for-one basis (subject to adjustment) into shares of Class A Common Stock.

F2 · derivative.underlying_shares: The exchange rights with respect to the Interests are exercisable at any time for shares of Class B Common Stock (or, at CFLP's option or if there are no additional authorized but unissued shares of Class B Common Stock available, shares of Class A Common Stock) on a one-for-one basis (subject to adjustment). The shares of Class B Common Stock are convertible at any time on a one-for-one basis (subject to adjustment) into shares of Class A Common Stock.

F4 · balance_after: As of the date of this report, an aggregate of 15,813,032 shares of Class A Common Stock remain subject to CFLP's deferred stock distribution obligations, consisting of (i) 14,033,084 shares subject to deferred stock distribution obligations provided to certain current and former partners of CFLP on April 1, 2008 and (ii) 1,779,948 shares subject to deferred stock distribution obligations provided to partners of CFLP on February 14, 2012.

F5 · balance_after: Does not include exchange rights with respect to an aggregate of 15,813,032 Interests assumed to have been exercised for shares of Class A Common Stock to satisfy CFLP's deferred share distribution obligations pursuant to rights provided to certain current and former partners of CFLP on April 1, 2008 and February 14, 2012.

F6 · balance_after: As of the date of this report, CFLP held an aggregate of 52,362,964 Interests.

F7 · ownership.nature: Cantor Fitzgerald Group Management, Inc. ("CFGM") is the managing general partner of CFLP, and the reporting person is the Chief Executive Officer and sole stockholder of CFGM. The reporting person disclaims beneficial ownership of all such securities in excess of his pecuniary interest, if any, and this report shall not be deemed an admission that he is the beneficial owner of, or has pecuniary interest in, any such excess securities for purposes of Section 16 of the Securities Exchange Act of 1934 or for any other purpose.

Read SEC document
November 11, 2016 Filed Nov 15, 2016 23:19 UTC BGC Group, Inc. BGCP · Entity 3818 Exercise / conversionStock Option (Right to Buy) · Derivative 800,000 $0.00 Strike: $8.80 $0.00
Disclosure

SEC source: 0001437749-16-042198 · rdgdoc.xml · derivative · entry 4

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Class A Common Stock, par value $0.01 per share · 800,000 shares

Expires 2016-12-15

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.

Read SEC document
November 11, 2016 Filed Nov 15, 2016 23:19 UTC BGC Group, Inc. BGCP · Entity 3818 Tax withholdingClass A Common Stock, par value $0.01 per share 748,936 $9.40 $7,039,998.40
Disclosure

SEC source: 0001437749-16-042198 · rdgdoc.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,366,630

F1 · shares: Reflects a net exercise of an option granted in 2006 and expiring on December 15, 2016, which resulted in 51,064 shares of Class A Common Stock, par value $0.01 per share (the "Class A Common Stock"), of BGC Partners, Inc. (the "Company") issued to the reporting person. The calculation reflects the number of shares withheld by the Company at the fair market value of $9.40 per share on the date of exercise to pay the exercise price for the 800,000 options exercised by the reporting person, in transactions exempt pursuant to Rule 16b-3 under the Securities Exchange Act of 1934, as amended.

F1 · balance_after: Reflects a net exercise of an option granted in 2006 and expiring on December 15, 2016, which resulted in 51,064 shares of Class A Common Stock, par value $0.01 per share (the "Class A Common Stock"), of BGC Partners, Inc. (the "Company") issued to the reporting person. The calculation reflects the number of shares withheld by the Company at the fair market value of $9.40 per share on the date of exercise to pay the exercise price for the 800,000 options exercised by the reporting person, in transactions exempt pursuant to Rule 16b-3 under the Securities Exchange Act of 1934, as amended.

F2 · balance_after: The 11,366,630 shares of Class A Common Stock consist of (i) 2,392,909 shares held by the reporting person (after the acquisition of the 51,064 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")).

Read SEC document
November 11, 2016 Filed Nov 15, 2016 23:19 UTC BGC Group, Inc. BGCP · Entity 3818 Exercise / conversionClass A Common Stock, par value $0.01 per share 800,000 $8.80 $7,040,000.00
Disclosure

SEC source: 0001437749-16-042198 · 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: 12,115,566

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

F1 · shares: Reflects a net exercise of an option granted in 2006 and expiring on December 15, 2016, which resulted in 51,064 shares of Class A Common Stock, par value $0.01 per share (the "Class A Common Stock"), of BGC Partners, Inc. (the "Company") issued to the reporting person. The calculation reflects the number of shares withheld by the Company at the fair market value of $9.40 per share on the date of exercise to pay the exercise price for the 800,000 options exercised by the reporting person, in transactions exempt pursuant to Rule 16b-3 under the Securities Exchange Act of 1934, as amended.

Read SEC document
November 07, 2016 Filed Nov 10, 2016 01:20 UTC BGC Group, Inc. BGCP · Entity 3818 GrantBGC Holdings Exchangeable Limited Partnership Interests · Derivative 624,762 Not disclosed Not disclosed
Disclosure

SEC source: 0001437749-16-041645 · rdgdoc.xml · derivative · 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: 35,363,486

Underlying: Class A or Class B Common Stock, par value $0.01 per share · 624,762 shares

Expires not disclosed

F1 · security: On November 7, 2016, Cantor Fitzgerald, L.P. ("CFLP") purchased from BGC Holdings, L.P. ("BGC Holdings"), an aggregate of 624,762 exchangeable limited partnership interests in BGC Holdings (the "Interests") in a transaction exempt pursuant to Rule 16b-3 under the Securities Exchange Act of 1934, as amended, in accordance with the Agreement of Limited Partnership of BGC Holdings, as amended and restated as of March 31, 2008 (as further amended from time to time, the "BGC Holdings Agreement").

F2 · derivative.exercise_price: The exchange rights with respect to the Interests are exercisable at any time for shares of Class B Common Stock of BGC Partners (or, at CFLP's option or if there are no additional authorized but unissued shares of Class B Common Stock, shares of Class A Common Stock) on a one-for-one basis (subject to adjustment). The shares of Class B Common Stock are convertible at any time on a one-for-one basis (subject to adjustment) into shares of Class A Common Stock.

F1 · kind: On November 7, 2016, Cantor Fitzgerald, L.P. ("CFLP") purchased from BGC Holdings, L.P. ("BGC Holdings"), an aggregate of 624,762 exchangeable limited partnership interests in BGC Holdings (the "Interests") in a transaction exempt pursuant to Rule 16b-3 under the Securities Exchange Act of 1934, as amended, in accordance with the Agreement of Limited Partnership of BGC Holdings, as amended and restated as of March 31, 2008 (as further amended from time to time, the "BGC Holdings Agreement").

F3 · shares: Includes 141,523 Interests purchased from BGC Holdings as a result of the redemption of the 141,523 non-exchangeable founding partner units for an aggregate consideration of $560,190, and 483,239 Interests purchased from BGC Holdings pursuant to the Sixth Amendment of the BGC Holdings Agreement as a result of the exchange of 483,239 non-exchangeable founding partner units, at an aggregate consideration of $1,796,367.

F3 · price: Includes 141,523 Interests purchased from BGC Holdings as a result of the redemption of the 141,523 non-exchangeable founding partner units for an aggregate consideration of $560,190, and 483,239 Interests purchased from BGC Holdings pursuant to the Sixth Amendment of the BGC Holdings Agreement as a result of the exchange of 483,239 non-exchangeable founding partner units, at an aggregate consideration of $1,796,367.

F2 · derivative.exercise_date: The exchange rights with respect to the Interests are exercisable at any time for shares of Class B Common Stock of BGC Partners (or, at CFLP's option or if there are no additional authorized but unissued shares of Class B Common Stock, shares of Class A Common Stock) on a one-for-one basis (subject to adjustment). The shares of Class B Common Stock are convertible at any time on a one-for-one basis (subject to adjustment) into shares of Class A Common Stock.

F2 · derivative.expiration_date: The exchange rights with respect to the Interests are exercisable at any time for shares of Class B Common Stock of BGC Partners (or, at CFLP's option or if there are no additional authorized but unissued shares of Class B Common Stock, shares of Class A Common Stock) on a one-for-one basis (subject to adjustment). The shares of Class B Common Stock are convertible at any time on a one-for-one basis (subject to adjustment) into shares of Class A Common Stock.

F2 · derivative.underlying: The exchange rights with respect to the Interests are exercisable at any time for shares of Class B Common Stock of BGC Partners (or, at CFLP's option or if there are no additional authorized but unissued shares of Class B Common Stock, shares of Class A Common Stock) on a one-for-one basis (subject to adjustment). The shares of Class B Common Stock are convertible at any time on a one-for-one basis (subject to adjustment) into shares of Class A Common Stock.

F2 · derivative.underlying_shares: The exchange rights with respect to the Interests are exercisable at any time for shares of Class B Common Stock of BGC Partners (or, at CFLP's option or if there are no additional authorized but unissued shares of Class B Common Stock, shares of Class A Common Stock) on a one-for-one basis (subject to adjustment). The shares of Class B Common Stock are convertible at any time on a one-for-one basis (subject to adjustment) into shares of Class A Common Stock.

F4 · balance_after: As of the date of this report, an aggregate of 15,819,690 shares of Class A Common Stock remain subject to CFLP's deferred stock distribution obligations, consisting of (i) 14,038,084 shares subject to deferred stock distribution obligations provided to certain current and former partners of CFLP on April 1, 2008 and (ii) 1,781,606 shares subject to deferred stock distribution obligations provided to partners of CFLP on February 14, 2012.

F5 · balance_after: Does not include exchange rights with respect to an aggregate of 15,819,690 Interests assumed to have been exercised for shares of Class A Common Stock to satisfy CFLP's deferred share distribution obligations pursuant to rights provided to certain current and former partners of CFLP on April 1, 2008 and February 14, 2012.

F6 · balance_after: As of the date of this report, CFLP held an aggregate of 51,183,176 Interests.

F7 · ownership.nature: Cantor Fitzgerald Group Management, Inc. ("CFGM") is the managing general partner of CFLP, and the reporting person is the Chief Executive Officer and sole stockholder of CFGM. The reporting person disclaims beneficial ownership of all such securities in excess of his pecuniary interest, if any, and this report shall not be deemed an admission that he is the beneficial owner of, or has pecuniary interest in, any such excess securities for purposes of Section 16 of the Securities Exchange Act of 1934 or for any other purpose.

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September 23, 2016 Filed Sep 27, 2016 21:38 UTC BGC Group, Inc. BGCP · Entity 3818 OtherClass A Common Stock, par value $0.01 per share 2,228,860 $0.00 $0.00
Disclosure

SEC source: 0001437749-16-039166 · rdgdoc.xml · nonDerivative · entry 7

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnotes

Disclosed balance after: 27,412,581

F2 · kind: On September 23, 2016, Cantor Fitzgerald, L.P. ("CFLP") distributed to its partners pro rata an aggregate of 2,228,860 shares of Class A Common Stock , which includes the 1,156,310 shares of Class A Common Stock referred to in the third row of Table I, the 93,816 shares of Class A Common Stock referred to in the fourth row of Table I, the 188,223 shares of Class A Common Stock referred to in the fifth row of Table I, and the 1,584 shares of Class A Common Stock referred to in the sixth Row of Table I, which shares were acquired in such pro rata distribution by the reporting person, CF Group Management, Inc. ("CFGM"), KBCR Management Partners, LLC ("KBCR") and the spouse of the reporting person (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") (continued in footnote 3);

F3 · kind: The shares of Class A Common Stock distributed by CFLP are outstanding and do not impact the fully diluted share count of BGC Partners, Inc. The reporting person does not currently intend to sell these shares.

F2 · shares: On September 23, 2016, Cantor Fitzgerald, L.P. ("CFLP") distributed to its partners pro rata an aggregate of 2,228,860 shares of Class A Common Stock , which includes the 1,156,310 shares of Class A Common Stock referred to in the third row of Table I, the 93,816 shares of Class A Common Stock referred to in the fourth row of Table I, the 188,223 shares of Class A Common Stock referred to in the fifth row of Table I, and the 1,584 shares of Class A Common Stock referred to in the sixth Row of Table I, which shares were acquired in such pro rata distribution by the reporting person, CF Group Management, Inc. ("CFGM"), KBCR Management Partners, LLC ("KBCR") and the spouse of the reporting person (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") (continued in footnote 3);

F3 · shares: The shares of Class A Common Stock distributed by CFLP are outstanding and do not impact the fully diluted share count of BGC Partners, Inc. The reporting person does not currently intend to sell these shares.

F2 · ownership.nature: On September 23, 2016, Cantor Fitzgerald, L.P. ("CFLP") distributed to its partners pro rata an aggregate of 2,228,860 shares of Class A Common Stock , which includes the 1,156,310 shares of Class A Common Stock referred to in the third row of Table I, the 93,816 shares of Class A Common Stock referred to in the fourth row of Table I, the 188,223 shares of Class A Common Stock referred to in the fifth row of Table I, and the 1,584 shares of Class A Common Stock referred to in the sixth Row of Table I, which shares were acquired in such pro rata distribution by the reporting person, CF Group Management, Inc. ("CFGM"), KBCR Management Partners, LLC ("KBCR") and the spouse of the reporting person (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") (continued in footnote 3);

F3 · ownership.nature: The shares of Class A Common Stock distributed by CFLP are outstanding and do not impact the fully diluted share count of BGC Partners, Inc. The reporting person does not currently intend to sell these shares.

F5 · ownership.nature: The reporting person's indirect pecuniary interest in 27,412,581 shares of Class A Common Stock consists of (i) 14,252,875 shares held by CFLP (after the distribution of the 2,228,860 shares referred to in footnote 2). (ii) 598,071 shares held by CFGM (after the acquisition in the distribution of the 93,816 shares referred to footnote 2), (iii) 2,050,197 April 2008 distribution rights shares and 160,675 February 2012 distribution rights shares receivable by CFGM (continued in footnote 6);

F6 · ownership.nature: 6. (iv) 5,562,928 shares held in various trust, retirement and custodial accounts of the reporting person (consisting of (A) 4,467,454 held in a personal asset trust (after giving effect to the gifts of shares of Class A common stock referred to in footnote 1), of which the reporting person is sole trustee, (B) 271,757 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, (C) 199,248 shares held in a Keogh retirement account for the reporting person, (D) 576,048 shares held by trust accounts for the benefit of the reporting person and members of his immediately family, (E) 32,507 shares held in other retirement accounts, and (continued in footnote 7);

F7 · 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 shares owned by LFA (after the acquisition in the distribution of the 1,584 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 8);

F8 · ownership.nature: (viii) 395,125 shares held by KBCR (after the acquisition in the distribution of the 188,223 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) 416,976 shares held in the reporting person's 401(k) account as of August 31, 2016.

F9 · 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 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.

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September 23, 2016 Filed Sep 27, 2016 21:38 UTC BGC Group, Inc. BGCP · Entity 3818 OtherClass A Common Stock, par value $0.01 per share 1,584 $0.00 $0.00
Disclosure

SEC source: 0001437749-16-039166 · 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: 29,585

F2 · kind: On September 23, 2016, Cantor Fitzgerald, L.P. ("CFLP") distributed to its partners pro rata an aggregate of 2,228,860 shares of Class A Common Stock , which includes the 1,156,310 shares of Class A Common Stock referred to in the third row of Table I, the 93,816 shares of Class A Common Stock referred to in the fourth row of Table I, the 188,223 shares of Class A Common Stock referred to in the fifth row of Table I, and the 1,584 shares of Class A Common Stock referred to in the sixth Row of Table I, which shares were acquired in such pro rata distribution by the reporting person, CF Group Management, Inc. ("CFGM"), KBCR Management Partners, LLC ("KBCR") and the spouse of the reporting person (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") (continued in footnote 3);

F3 · kind: The shares of Class A Common Stock distributed by CFLP are outstanding and do not impact the fully diluted share count of BGC Partners, Inc. The reporting person does not currently intend to sell these shares.

F2 · shares: On September 23, 2016, Cantor Fitzgerald, L.P. ("CFLP") distributed to its partners pro rata an aggregate of 2,228,860 shares of Class A Common Stock , which includes the 1,156,310 shares of Class A Common Stock referred to in the third row of Table I, the 93,816 shares of Class A Common Stock referred to in the fourth row of Table I, the 188,223 shares of Class A Common Stock referred to in the fifth row of Table I, and the 1,584 shares of Class A Common Stock referred to in the sixth Row of Table I, which shares were acquired in such pro rata distribution by the reporting person, CF Group Management, Inc. ("CFGM"), KBCR Management Partners, LLC ("KBCR") and the spouse of the reporting person (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") (continued in footnote 3);

F3 · shares: The shares of Class A Common Stock distributed by CFLP are outstanding and do not impact the fully diluted share count of BGC Partners, Inc. The reporting person does not currently intend to sell these shares.

F2 · ownership.nature: On September 23, 2016, Cantor Fitzgerald, L.P. ("CFLP") distributed to its partners pro rata an aggregate of 2,228,860 shares of Class A Common Stock , which includes the 1,156,310 shares of Class A Common Stock referred to in the third row of Table I, the 93,816 shares of Class A Common Stock referred to in the fourth row of Table I, the 188,223 shares of Class A Common Stock referred to in the fifth row of Table I, and the 1,584 shares of Class A Common Stock referred to in the sixth Row of Table I, which shares were acquired in such pro rata distribution by the reporting person, CF Group Management, Inc. ("CFGM"), KBCR Management Partners, LLC ("KBCR") and the spouse of the reporting person (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") (continued in footnote 3);

F3 · ownership.nature: The shares of Class A Common Stock distributed by CFLP are outstanding and do not impact the fully diluted share count of BGC Partners, Inc. The reporting person does not currently intend to sell these shares.

F5 · ownership.nature: The reporting person's indirect pecuniary interest in 27,412,581 shares of Class A Common Stock consists of (i) 14,252,875 shares held by CFLP (after the distribution of the 2,228,860 shares referred to in footnote 2). (ii) 598,071 shares held by CFGM (after the acquisition in the distribution of the 93,816 shares referred to footnote 2), (iii) 2,050,197 April 2008 distribution rights shares and 160,675 February 2012 distribution rights shares receivable by CFGM (continued in footnote 6);

F6 · ownership.nature: 6. (iv) 5,562,928 shares held in various trust, retirement and custodial accounts of the reporting person (consisting of (A) 4,467,454 held in a personal asset trust (after giving effect to the gifts of shares of Class A common stock referred to in footnote 1), of which the reporting person is sole trustee, (B) 271,757 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, (C) 199,248 shares held in a Keogh retirement account for the reporting person, (D) 576,048 shares held by trust accounts for the benefit of the reporting person and members of his immediately family, (E) 32,507 shares held in other retirement accounts, and (continued in footnote 7);

F7 · 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 shares owned by LFA (after the acquisition in the distribution of the 1,584 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 8);

F8 · ownership.nature: (viii) 395,125 shares held by KBCR (after the acquisition in the distribution of the 188,223 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) 416,976 shares held in the reporting person's 401(k) account as of August 31, 2016.

F9 · 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 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.

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September 23, 2016 Filed Sep 27, 2016 21:38 UTC BGC Group, Inc. BGCP · Entity 3818 OtherClass A Common Stock, par value $0.01 per share 188,223 $0.00 $0.00
Disclosure

SEC source: 0001437749-16-039166 · 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: 2,731,092

F2 · kind: On September 23, 2016, Cantor Fitzgerald, L.P. ("CFLP") distributed to its partners pro rata an aggregate of 2,228,860 shares of Class A Common Stock , which includes the 1,156,310 shares of Class A Common Stock referred to in the third row of Table I, the 93,816 shares of Class A Common Stock referred to in the fourth row of Table I, the 188,223 shares of Class A Common Stock referred to in the fifth row of Table I, and the 1,584 shares of Class A Common Stock referred to in the sixth Row of Table I, which shares were acquired in such pro rata distribution by the reporting person, CF Group Management, Inc. ("CFGM"), KBCR Management Partners, LLC ("KBCR") and the spouse of the reporting person (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") (continued in footnote 3);

F3 · kind: The shares of Class A Common Stock distributed by CFLP are outstanding and do not impact the fully diluted share count of BGC Partners, Inc. The reporting person does not currently intend to sell these shares.

F2 · shares: On September 23, 2016, Cantor Fitzgerald, L.P. ("CFLP") distributed to its partners pro rata an aggregate of 2,228,860 shares of Class A Common Stock , which includes the 1,156,310 shares of Class A Common Stock referred to in the third row of Table I, the 93,816 shares of Class A Common Stock referred to in the fourth row of Table I, the 188,223 shares of Class A Common Stock referred to in the fifth row of Table I, and the 1,584 shares of Class A Common Stock referred to in the sixth Row of Table I, which shares were acquired in such pro rata distribution by the reporting person, CF Group Management, Inc. ("CFGM"), KBCR Management Partners, LLC ("KBCR") and the spouse of the reporting person (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") (continued in footnote 3);

F3 · shares: The shares of Class A Common Stock distributed by CFLP are outstanding and do not impact the fully diluted share count of BGC Partners, Inc. The reporting person does not currently intend to sell these shares.

F2 · ownership.nature: On September 23, 2016, Cantor Fitzgerald, L.P. ("CFLP") distributed to its partners pro rata an aggregate of 2,228,860 shares of Class A Common Stock , which includes the 1,156,310 shares of Class A Common Stock referred to in the third row of Table I, the 93,816 shares of Class A Common Stock referred to in the fourth row of Table I, the 188,223 shares of Class A Common Stock referred to in the fifth row of Table I, and the 1,584 shares of Class A Common Stock referred to in the sixth Row of Table I, which shares were acquired in such pro rata distribution by the reporting person, CF Group Management, Inc. ("CFGM"), KBCR Management Partners, LLC ("KBCR") and the spouse of the reporting person (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") (continued in footnote 3);

F3 · ownership.nature: The shares of Class A Common Stock distributed by CFLP are outstanding and do not impact the fully diluted share count of BGC Partners, Inc. The reporting person does not currently intend to sell these shares.

F5 · ownership.nature: The reporting person's indirect pecuniary interest in 27,412,581 shares of Class A Common Stock consists of (i) 14,252,875 shares held by CFLP (after the distribution of the 2,228,860 shares referred to in footnote 2). (ii) 598,071 shares held by CFGM (after the acquisition in the distribution of the 93,816 shares referred to footnote 2), (iii) 2,050,197 April 2008 distribution rights shares and 160,675 February 2012 distribution rights shares receivable by CFGM (continued in footnote 6);

F6 · ownership.nature: 6. (iv) 5,562,928 shares held in various trust, retirement and custodial accounts of the reporting person (consisting of (A) 4,467,454 held in a personal asset trust (after giving effect to the gifts of shares of Class A common stock referred to in footnote 1), of which the reporting person is sole trustee, (B) 271,757 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, (C) 199,248 shares held in a Keogh retirement account for the reporting person, (D) 576,048 shares held by trust accounts for the benefit of the reporting person and members of his immediately family, (E) 32,507 shares held in other retirement accounts, and (continued in footnote 7);

F7 · 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 shares owned by LFA (after the acquisition in the distribution of the 1,584 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 8);

F8 · ownership.nature: (viii) 395,125 shares held by KBCR (after the acquisition in the distribution of the 188,223 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) 416,976 shares held in the reporting person's 401(k) account as of August 31, 2016.

F9 · 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 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.

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September 23, 2016 Filed Sep 27, 2016 21:38 UTC BGC Group, Inc. BGCP · Entity 3818 OtherClass A Common Stock, par value $0.01 per share 93,816 $0.00 $0.00
Disclosure

SEC source: 0001437749-16-039166 · 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: 2,808,943

F2 · kind: On September 23, 2016, Cantor Fitzgerald, L.P. ("CFLP") distributed to its partners pro rata an aggregate of 2,228,860 shares of Class A Common Stock , which includes the 1,156,310 shares of Class A Common Stock referred to in the third row of Table I, the 93,816 shares of Class A Common Stock referred to in the fourth row of Table I, the 188,223 shares of Class A Common Stock referred to in the fifth row of Table I, and the 1,584 shares of Class A Common Stock referred to in the sixth Row of Table I, which shares were acquired in such pro rata distribution by the reporting person, CF Group Management, Inc. ("CFGM"), KBCR Management Partners, LLC ("KBCR") and the spouse of the reporting person (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") (continued in footnote 3);

F3 · kind: The shares of Class A Common Stock distributed by CFLP are outstanding and do not impact the fully diluted share count of BGC Partners, Inc. The reporting person does not currently intend to sell these shares.

F2 · shares: On September 23, 2016, Cantor Fitzgerald, L.P. ("CFLP") distributed to its partners pro rata an aggregate of 2,228,860 shares of Class A Common Stock , which includes the 1,156,310 shares of Class A Common Stock referred to in the third row of Table I, the 93,816 shares of Class A Common Stock referred to in the fourth row of Table I, the 188,223 shares of Class A Common Stock referred to in the fifth row of Table I, and the 1,584 shares of Class A Common Stock referred to in the sixth Row of Table I, which shares were acquired in such pro rata distribution by the reporting person, CF Group Management, Inc. ("CFGM"), KBCR Management Partners, LLC ("KBCR") and the spouse of the reporting person (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") (continued in footnote 3);

F3 · shares: The shares of Class A Common Stock distributed by CFLP are outstanding and do not impact the fully diluted share count of BGC Partners, Inc. The reporting person does not currently intend to sell these shares.

F2 · ownership.nature: On September 23, 2016, Cantor Fitzgerald, L.P. ("CFLP") distributed to its partners pro rata an aggregate of 2,228,860 shares of Class A Common Stock , which includes the 1,156,310 shares of Class A Common Stock referred to in the third row of Table I, the 93,816 shares of Class A Common Stock referred to in the fourth row of Table I, the 188,223 shares of Class A Common Stock referred to in the fifth row of Table I, and the 1,584 shares of Class A Common Stock referred to in the sixth Row of Table I, which shares were acquired in such pro rata distribution by the reporting person, CF Group Management, Inc. ("CFGM"), KBCR Management Partners, LLC ("KBCR") and the spouse of the reporting person (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") (continued in footnote 3);

F3 · ownership.nature: The shares of Class A Common Stock distributed by CFLP are outstanding and do not impact the fully diluted share count of BGC Partners, Inc. The reporting person does not currently intend to sell these shares.

F5 · ownership.nature: The reporting person's indirect pecuniary interest in 27,412,581 shares of Class A Common Stock consists of (i) 14,252,875 shares held by CFLP (after the distribution of the 2,228,860 shares referred to in footnote 2). (ii) 598,071 shares held by CFGM (after the acquisition in the distribution of the 93,816 shares referred to footnote 2), (iii) 2,050,197 April 2008 distribution rights shares and 160,675 February 2012 distribution rights shares receivable by CFGM (continued in footnote 6);

F6 · ownership.nature: 6. (iv) 5,562,928 shares held in various trust, retirement and custodial accounts of the reporting person (consisting of (A) 4,467,454 held in a personal asset trust (after giving effect to the gifts of shares of Class A common stock referred to in footnote 1), of which the reporting person is sole trustee, (B) 271,757 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, (C) 199,248 shares held in a Keogh retirement account for the reporting person, (D) 576,048 shares held by trust accounts for the benefit of the reporting person and members of his immediately family, (E) 32,507 shares held in other retirement accounts, and (continued in footnote 7);

F7 · 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 shares owned by LFA (after the acquisition in the distribution of the 1,584 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 8);

F8 · ownership.nature: (viii) 395,125 shares held by KBCR (after the acquisition in the distribution of the 188,223 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) 416,976 shares held in the reporting person's 401(k) account as of August 31, 2016.

F9 · 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 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.

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September 23, 2016 Filed Sep 27, 2016 21:38 UTC BGC Group, Inc. BGCP · Entity 3818 OtherClass A Common Stock, par value $0.01 per share 1,156,310 $0.00 $0.00
Disclosure

SEC source: 0001437749-16-039166 · rdgdoc.xml · nonDerivative · entry 3

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,315,566

F2 · kind: On September 23, 2016, Cantor Fitzgerald, L.P. ("CFLP") distributed to its partners pro rata an aggregate of 2,228,860 shares of Class A Common Stock , which includes the 1,156,310 shares of Class A Common Stock referred to in the third row of Table I, the 93,816 shares of Class A Common Stock referred to in the fourth row of Table I, the 188,223 shares of Class A Common Stock referred to in the fifth row of Table I, and the 1,584 shares of Class A Common Stock referred to in the sixth Row of Table I, which shares were acquired in such pro rata distribution by the reporting person, CF Group Management, Inc. ("CFGM"), KBCR Management Partners, LLC ("KBCR") and the spouse of the reporting person (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") (continued in footnote 3);

F3 · kind: The shares of Class A Common Stock distributed by CFLP are outstanding and do not impact the fully diluted share count of BGC Partners, Inc. The reporting person does not currently intend to sell these shares.

F2 · shares: On September 23, 2016, Cantor Fitzgerald, L.P. ("CFLP") distributed to its partners pro rata an aggregate of 2,228,860 shares of Class A Common Stock , which includes the 1,156,310 shares of Class A Common Stock referred to in the third row of Table I, the 93,816 shares of Class A Common Stock referred to in the fourth row of Table I, the 188,223 shares of Class A Common Stock referred to in the fifth row of Table I, and the 1,584 shares of Class A Common Stock referred to in the sixth Row of Table I, which shares were acquired in such pro rata distribution by the reporting person, CF Group Management, Inc. ("CFGM"), KBCR Management Partners, LLC ("KBCR") and the spouse of the reporting person (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") (continued in footnote 3);

F3 · shares: The shares of Class A Common Stock distributed by CFLP are outstanding and do not impact the fully diluted share count of BGC Partners, Inc. The reporting person does not currently intend to sell these shares.

F4 · balance_after: The 11,315,566 shares of Class A Common Stock consist of (1) 2,341,845 shares held by the reporting person (after the acquisition in the distribution of the 1,156,310 shares referred to in footnote 2), 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")).

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September 14, 2016 Filed Sep 27, 2016 21:38 UTC BGC Group, Inc. BGCP · Entity 3818 GiftClass A Common Stock, par value $0.01 per share 602 $0.00 $0.00
Disclosure

SEC source: 0001437749-16-039166 · 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: 4,467,454

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 two charitable organizations.

F1 · shares: 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 two 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 two charitable organizations.

F6 · ownership.nature: 6. (iv) 5,562,928 shares held in various trust, retirement and custodial accounts of the reporting person (consisting of (A) 4,467,454 held in a personal asset trust (after giving effect to the gifts of shares of Class A common stock referred to in footnote 1), of which the reporting person is sole trustee, (B) 271,757 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, (C) 199,248 shares held in a Keogh retirement account for the reporting person, (D) 576,048 shares held by trust accounts for the benefit of the reporting person and members of his immediately family, (E) 32,507 shares held in other retirement accounts, and (continued in footnote 7);

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June 24, 2016 Filed Sep 27, 2016 21:38 UTC BGC Group, Inc. BGCP · Entity 3818 GiftClass A Common Stock, par value $0.01 per share 32,931 $0.00 $0.00
Disclosure

SEC source: 0001437749-16-039166 · 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: 4,468,056

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 two charitable organizations.

F1 · shares: 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 two 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 two charitable organizations.

F6 · ownership.nature: 6. (iv) 5,562,928 shares held in various trust, retirement and custodial accounts of the reporting person (consisting of (A) 4,467,454 held in a personal asset trust (after giving effect to the gifts of shares of Class A common stock referred to in footnote 1), of which the reporting person is sole trustee, (B) 271,757 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, (C) 199,248 shares held in a Keogh retirement account for the reporting person, (D) 576,048 shares held by trust accounts for the benefit of the reporting person and members of his immediately family, (E) 32,507 shares held in other retirement accounts, and (continued in footnote 7);

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Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.