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
                      

1. Name and Address of Reporting Person *

MERKEL STEPHEN M
2. Issuer Name and Ticker or Trading Symbol

NEWMARK GROUP, INC. [ NMRK ]
5. Relationship of Reporting Person(s) to Issuer (Check all applicable)

_____ Director                    _____ 10% Owner
__X__ Officer (give title below)    _____ Other (specify below)
EVP and Chief Legal Officer
(Last)          (First)          (Middle)

C/O NEWMARK GROUP, INC., 125 PARK AVENUE
3. Date of Earliest Transaction (MM/DD/YYYY)

10/30/2019
(Street)

NEW YORK, NY 10017
(City)        (State)        (Zip)
4. If Amendment, Date Original Filed (MM/DD/YYYY)

 
6. Individual or Joint/Group Filing (Check Applicable Line)

_X _ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person

Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1.Title of Security
(Instr. 3)
2. Trans. Date 2A. Deemed Execution Date, if any 3. Trans. Code
(Instr. 8)
4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 7. Nature of Indirect Beneficial Ownership (Instr. 4)
Code V Amount (A) or (D) Price
Class A common stock, par value $0.01 per share  10/30/2019    D    55193 (1) D $10.69  0  D   
Class A Common Stock, par value $0.01 per share                 2901  I  By various trusts (2)
Class A common stock, par value $0.01 per share                 10458  I  By 401(k) plan (3)
Class A common stock, par value $0.01 per share                 1043  I  By reporting person's spouse 

Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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)  These shares of Newmark Group, Inc. (the "Company") Class A Common Stock, par value $0.01 per share ("Class A Common Stock"), were sold by the reporting person to the Company in an exempt transaction pursuant to Rule 16b-3 under the Securities Exchange Act of 1934, as amended. The sale price per share for the stock buyback was the closing price of the Class A Common Stock on October 30, 2019. The transaction was approved by the Audit Committee of the Board of Directors of the Company.
(2)  Represents shares of Class A Common Stock of the Company held in trusts for the benefit of the reporting person's immediate family, of which the reporting person's spouse is the sole trustee of each trust and the reporting person has the power to remove and replace such trustee.
(3)  Represents shares of Class A Common Stock held in the reporting person's 401(k) account as of October 31, 2019

Reporting Owners
Reporting Owner Name / Address
Relationships
Director 10% Owner Officer Other
MERKEL STEPHEN M
C/O NEWMARK GROUP, INC.
125 PARK AVENUE
NEW YORK, NY 10017


EVP and Chief Legal Officer

Signatures
/s/ Stephen M. Merkel 11/1/2019
**Signature of Reporting Person Date


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Newmark Group, Inc. News

Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 4(b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number.
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Form 424B3 - Prospectus [Rule 424(b)(3)]
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Form EFFECT - Notice of Effectiveness
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Monday 3 June 2024 (1 month ago) • Edgar (US Regulatory)
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