0001437749-23-026584.txt : 20230922 0001437749-23-026584.hdr.sgml : 20230922 20230922160743 ACCESSION NUMBER: 0001437749-23-026584 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20230710 FILED AS OF DATE: 20230922 DATE AS OF CHANGE: 20230922 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Windeatt Sean A CENTRAL INDEX KEY: 0001450108 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-35591 FILM NUMBER: 231271791 MAIL ADDRESS: STREET 1: C/O BGC PARTNERS, INC. CITY: 499 PARK AVENNUE STATE: NY ZIP: 10022 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: BGC Group, Inc. CENTRAL INDEX KEY: 0001094831 STANDARD INDUSTRIAL CLASSIFICATION: SECURITY & COMMODITY BROKERS, DEALERS, EXCHANGES & SERVICES [6200] IRS NUMBER: 863748217 FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 499 PARK AVENUE CITY: NEW YORK STATE: NY ZIP: 10022 BUSINESS PHONE: 212-610-2200 MAIL ADDRESS: STREET 1: 499 PARK AVENUE CITY: NEW YORK STATE: NY ZIP: 10022 FORMER COMPANY: FORMER CONFORMED NAME: BGC Partners, Inc. DATE OF NAME CHANGE: 20080404 FORMER COMPANY: FORMER CONFORMED NAME: ESPEED INC DATE OF NAME CHANGE: 19990913 4 1 rdgdoc.xml FORM 4 X0508 4 2023-07-10 0001094831 BGC Group, Inc. BGC 0001450108 Windeatt Sean A C/O BGC PARTNERS, INC. 499 PARK AVENUE NEW YORK NY 10022 1 Chief Operating Officer 0 Class A Common Stock, par value $0.01 per share 2023-07-10 4 F 0 245701 4.45 D 1083284 D Class A Common Stock, par value $0.01 per share 2023-09-21 4 D 0 474808 5.29 D 608476 D The reported transaction involved the surrender to BGC Group, Inc. (the "Company") of 245,701 shares of Class A common stock, par value $0.01 per share ("Class A Common Stock"), issuable upon the accelerated vesting of 720,509 restricted stock units which each represent a contingent right to receive one share of Class A Common Stock ("RSUs") granted under the Company's Long Term Incentive Plan (the "LTIP"), due to the amendment of the reporting persons employment arrangements, in a transaction exempt pursuant to Rule 16b-3 under the Securities Exchange Act of 1934, as amended, and the shares were withheld for taxes. The accelerated vesting of the RSUs was not a reportable event, but the surrender is being reported late at this time due to an inadvertent administrative delay. On September 21, 2023, the reporting person sold 474,808 shares of Class A Common Stock, to the Company in an exempt transaction made pursuant to Rule 16b-3 under the Exchange Act. The sale price per share of $5.29 was the closing price of a share of Class A Common Stock on September 21, 2023. The transaction was approved by the Audit Committee and the Compensation Committee of the Board and was made pursuant to the Company's stock buyback authorization. Includes 210,037 RSUs granted under the LTIP that will vest on July 1, 2033, provided that the reporting person remains employed through such vesting date, and contingent upon BGC Group generating at least $5 million in revenue for the quarter in which the vesting occurs. /s/ Sean A. Windeatt 2023-09-22