UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | SEC 1473 (7-02) | ||
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. |
1. Title of Derivative Security (Instr. 4) |
2. Date Exercisable and Expiration Date (Month/Day/Year) |
3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) |
4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 5) |
6. Nature of Indirect Beneficial Ownership (Instr. 5) |
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Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Curwood Stephen T C/O BGC PARTNERS 499 PARK AVENUE NEW YORK, NY 10022 |
 X |  |  |  |
/s/ Stephen T. Curwood | 12/22/2009 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 5(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). |
(1) | The 15,982 shares of Class A Common Stock are represented by restricted stock units granted to Mr. Curwood, on December 14, 2009, under the Second Amended and Restated BGC Partners, Inc. Long-Term Incentive Plan. Each restricted stock unit represents a contingent right to receive one (1) share of BGC Partners, Inc. Class A Common Stock. The restricted stock units vest in two equal annual installments on December 14, 2010 and December 14, 2011. Vested shares will be delivered to Mr. Curwood on each vesting date, provided that Mr. Curwood continues to serve as a member of the BGC Partners, Inc. Board of Directors on such dates. |