Statement of Changes in Beneficial Ownership (4)
September 23 2020 - 4:52PM
Edgar (US Regulatory)
FORM 4
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
*
Cervinka Peter F |
2. Issuer Name and Ticker or Trading Symbol
NEWMARK GROUP, INC.
[
NMRK
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
__X__ Director _____ 10% Owner _____ Officer (give title below) _____ Other (specify below)
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(Last)
(First)
(Middle)
C/O NEWMARK GROUP, INC., 125 PARK AVENUE |
3. Date of Earliest Transaction
(MM/DD/YYYY)
9/22/2020 |
(Street)
NEW YORK, NY 10017
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
_X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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1.Title of Security (Instr. 3)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code (Instr. 8)
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4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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Class A common stock, par value $0.01 per share | 9/22/2020 | | A | | 12049 (1) | A | $0 | 26773 (2) | D | |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any | 4. Trans. Code (Instr. 8) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) | 6. Date Exercisable and Expiration Date | 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) | 8. Price of Derivative Security (Instr. 5) | 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) | 10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) |
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Explanation of Responses: |
(1) | The 12,049 shares of Class A Common Stock, par value $0.01 per share (the "Class A Common Stock") are represented by 12,049 restricted stock units ("RSUs") granted under the Newmark Group, Inc. Long Term Incentive Plan. Each RSU represents a contingent right to receive one share of Class A Common Stock. Of the 12,049 RSUs, 6,025 RSUs will vest on September 22, 2021 and 6,024 RSUs will vest on September 22, 2022, provided that the reporting person continues to serve as a member of the Board of Directors on such dates. |
(2) | Includes 5,291 RSUs granted on September 24, 2019, 2,646 RSUs of which will vest on September 24, 2020 and 2,645 RSUs will vest on September 24, 2021 and 2,256 RSUs granted on September 25, 2018 all of which will vest on September 25, 2020, provided that the reporting person continues to serve as a member of the Board of Directors on such dates. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Cervinka Peter F C/O NEWMARK GROUP, INC. 125 PARK AVENUE NEW YORK, NY 10017 | X |
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Signatures
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/s/ Peter F. Cervinka | | 9/23/2020 |
**Signature of Reporting Person | Date |
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