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 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 | |
CANTOR FITZGERALD SECURITIES 110 EAST 59TH STREET NEW YORK, NY 10022 |
X | |||
CANTOR FITZGERALD, L. P. 110 EAST 59TH STREET NEW YORK, NY 10022 |
X | |||
CF GROUP MANAGEMENT INC 110 EAST 59TH STREET NEW YORK, NY 10022 |
X | |||
LUTNICK HOWARD W 110 EAST 59TH STREET NEW YORK, NY 10022 |
X |
/s/ Howard Lutnick, as Chief Executive Officer of Cantor Fitzgerald Securities | 06/16/2022 | |
**Signature of Reporting Person | Date | |
/s/ Howard Lutnick, as Chief Executive Officer of Cantor Fitzgerald L.P. | 06/16/2022 | |
**Signature of Reporting Person | Date | |
/s/ Howard Lutnick, as Chief Executive Officer of CF Group Management, Inc. | 06/16/2022 | |
**Signature of Reporting Person | Date | |
/s/ Howard Lutnick | 06/16/2022 | |
**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). |
Remarks: Cantor Fitzgerald Securities ("CFS") is 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. |