FILED: NEW YORK COUNTY CLERK 05/16/2013 INDEX NO /2012 NYSCEF DOC. NO. 23 RECEIVED NYSCEF: 05/16/2013 EXHIBIT B
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1 FILED: COUNTY CLERK 05/16/2013 INDEX NO /2012 NYSCEF DOC. NO. 23 RECEIVED NYSCEF: 05/16/2013 EXHIBIT B
2 BGC PARTNERS, INC. FORM 10-K (Annual Report) Filed 03/12/13 for the Period Ending 12/31/12 Address 499 PARK AVENUE, NY Telephone CIK Symbol BGCP SIC Code Security & Commodity Brokers, Dealers, Exchanges & Services Industry Investment Services Sector Financial Fiscal Year 12/31 Copyright 2013, EDGAR Online, Inc. All Rights Reserved. Distribution and use of this document restricted under EDGAR Online, Inc. Terms of Use.
3 Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C FORM 10-K FOR ANNUAL AND TRANSITION REPORTS PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 (Mark One) ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2012 OR TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Numbers: , BGC Partners, Inc. (Exact Name of Registrant as Specified in Its Charter) Delaware (State or Other Jurisdiction of (I.R.S. Employer Incorporation or Organization) Identification No.) 499 Park Avenue, New York, NY (Address of Principal Executive Offices) (Zip Code) (212) (Registrant s telephone number, including area code) Securities registered pursuant to Section 12(b) of the Act: Title of Each Class Name of Each Exchange on Which Registered Class A Common Stock, $0.01 par value The NASDAQ Stock Market LLC 8.125% Senior Notes due 2042 New York Stock Exchange Securities registered pursuant to Section 12(g) of the Act: None (Title of Class) Indicate by check mark if the registrant is a well-known seasoned issuer, as defined in Rule 405 of the Securities Act. Yes No Indicate by check mark if the registrant is not required to file reports pursuant to Section 13 or Section 15(d) of the Act. Yes No Indicate by check mark whether the registrant: (1) has filed all reports required to be filed by Section 13 or 15(d) of the Securities Exchange Act of 1934 during the preceding 12 months (or for such shorter period that the registrant was required to file such reports), and (2) has been subject to such filing requirements for the past 90 days. Yes No Indicate by check mark whether the registrant has submitted electronically and posted on its corporate Web site, if any, every Interactive Data File required to be submitted and posted pursuant to Rule 405 of Regulation S-T ( of this chapter) during the preceding 12 months (or for such shorter period that the registrant was required to submit and post such files). Yes No Indicate by check mark if disclosure of delinquent filers pursuant to Item 405 of Regulation S-K is not contained herein, and will not be contained, to the best of registrant s knowledge, in definitive proxy or information statements incorporated by reference in Part III of this Form 10-K or any amendment to this Form 10-K. Indicate by check mark whether the registrant is a large accelerated filer, an accelerated filer, a non-accelerated filer, or a smaller reporting company. See definition of accelerated filer and large accelerated filer in Rule 12b-2 of the Exchange Act. Large Accelerated Filer Accelerated Filer Non-accelerated Filer Smaller Reporting Company Indicate by check mark whether the registrant is a shell company (as defined in Rule 12b-2 of the Exchange Act). Yes No The aggregate market value of voting common equity held by non-affiliates of the registrant, based upon the closing price of the Class A common stock on June 30, 2012 as reported on NASDAQ, was approximately $596,769,481. Indicate the number of shares outstanding of each of the registrant s classes of common stock, as of the latest practicable date. Class Outstanding at March 6, 2013 Class A Common Stock, par value $0.01 per share 129,229,265 shares Class B Common Stock, par value $0.01 per share 34,848,107 shares DOCUMENTS INCORPORATED BY REFERENCE. Portions of the registrant s definitive proxy statement for its 2013 annual meeting of stockholders are incorporated by reference in Part III of this Annual Report on Form 10-K.
4 Table of Contents PART I BGC Partners, Inc FORM 10-K ANNUAL REPORT TABLE OF CONTENTS ITEM 1. BUSINESS 6 ITEM 1A. RISK FACTORS 32 ITEM 1B. UNRESOLVED STAFF COMMENTS 73 ITEM 2. PROPERTIES 73 ITEM 3. LEGAL PROCEEDINGS 74 ITEM 4. MINE SAFETY DISCLOSURES 74 PART II ITEM 5. MARKET FOR REGISTRANT S COMMON EQUITY, RELATED STOCKHOLDER MATTERS AND ISSUER PURCHASES OF EQUITY SECURITIES 75 ITEM 6. SELECTED CONSOLIDATED FINANCIAL DATA 79 ITEM 7. MANAGEMENT S DISCUSSION AND ANALYSIS OF FINANCIAL CONDITION AND RESULTS OF OPERATIONS 80 ITEM 7A. QUANTITATIVE AND QUALITATIVE DISCLOSURES ABOUT MARKET RISK 123 ITEM 8. FINANCIAL STATEMENTS AND SUPPLEMENTARY DATA 125 ITEM 9. CHANGES IN AND DISAGREEMENTS WITH ACCOUNTANTS ON ACCOUNTING AND FINANCIAL DISCLOSURE 184 ITEM 9A. CONTROLS AND PROCEDURES 184 ITEM 9B. OTHER INFORMATION 185 PART III ITEM 10. DIRECTORS, EXECUTIVE OFFICERS AND CORPORATE GOVERNANCE 186 ITEM 11. EXECUTIVE COMPENSATION 186 ITEM 12. SECURITY OWNERSHIP OF CERTAIN BENEFICIAL OWNERS AND MANAGEMENT AND RELATED STOCKHOLDER MATTERS 186 ITEM 13. CERTAIN RELATIONSHIPS AND RELATED TRANSACTIONS, AND DIRECTOR INDEPENDENCE 186 ITEM 14. PRINCIPAL ACCOUNTANT FEES AND SERVICES 186 PART IV ITEM 15. EXHIBITS AND FINANCIAL STATEMENT SCHEDULES 187 Page
5 Exhibit 21.1 LIST OF SUBSIDIARIES OF BGC PARTNERS, INC. ENTITY NAME AMEEFI SERVICES, INC. AQUA SECURITIES HOLDINGS, LLC AQUA SECURITIES, L.P. AQUA SOFTWARE, LLC AUREL BGC BGC (SECURITIES) AUSTRALIA PTY LIMITED BGC ARGENTINA HOLDINGS I, L.P. BGC ARGENTINA HOLDINGS II, L.P. BGC ARGENTINA HOLDINGS, LLC BGC BRAZIL HOLDINGS LIMITADA BGC BRAZIL HOLDINGS, LLC BGC BROKERS GP LIMITED BGC BROKERS HOLDINGS, L.P. BGC BROKERS HOLDINGS, LLC BGC BROKERS INVESTMENT, L.P. BGC BROKERS L.P. BGC BROKERS US HOLDINGS, LLC BGC BROKERS US, L.P. BGC CANADA SECURITIES COMPANY BGC CANADA SECURITIES COMPANY HOLDINGS, L.P. BGC CANADA SECURITIES COMPANY HOLDINGS, LLC BGC CAPITAL MARKETS (HONG KONG) LIMITED BGC CAPITAL MARKETS (JAPAN) LLC BGC CAPITAL MARKETS (SWITZERLAND) LLC BGC CAPITAL MARKETS AND FOREIGN EXCHANGE BROKER (KOREA) LIMITED BGC CAPITAL MARKETS, L.P. BGC CAYMAN ISLANDS HOLDINGS I LIMITED BGC CHINA HOLDINGS, LLC JURISDICTION OF INCORPORATION OR FORMATION FRANCE AUSTRALIA BRAZIL CANADA/NOVA SCOTIA HONG KONG SOUTH KOREA CAYMAN ISLANDS
6 BGC CHINA, L.P. BGC COMMERCIAL REAL ESTATE HOLDINGS, LLC BGC DERIVATIVE MARKETS HOLDINGS, LLC BGC DERIVATIVE MARKETS, L.P. BGC ENVIRONMENTAL BROKERAGE SERVICES HOLDINGS, LLC BGC ENVIRONMENTAL BROKERAGE SERVICES, L.P. BGC EPSILON FINANCING, LLC BGC EPSILON HOLDINGS, LLC BGC EUROPEAN GP LIMITED BGC EUROPEAN HOLDINGS, L.P. BGC FINANCIAL GROUP, INC. BGC FINANCIAL, L.P. BGC FRANCE HOLDINGS BGC FUNDING SERVICES GP LIMITED BGC FUNDING SERVICES LP BGC GLOBAL HOLDINGS GP LIMITED BGC GLOBAL HOLDINGS, L.P. BGC GLOBAL LIMITED BGC GP LIMITED BGC GP, LLC BGC HOLDINGS (TURKEY), LLC BGC HOLDINGS II, LLC BGC HOLDINGS U.S., INC. BGC HOLDINGS, L.P. BGC HOLDINGS, LLC BGC INFORMATION HOLDINGS, LLC BGC INFORMATION, L.P. BGC INTERNATIONAL BGC INTERNATIONAL GP LIMITED BGC INTERNATIONAL HOLDINGS, L.P. BGC INTERNATIONAL, L.P. BGC MARKET DATA, L.P. BGC MEXICO R.E. HOLDINGS, LLC BGC MEXICO R.E. HOLDINGS, S. de R.L. de C.V. BGC NOTE ACQUISITION CO. HOLDINGS, LLC BGC NOTE ACQUISITION CO., L.P. BGC NOTES, LLC FRANCE AND WALES AND WALES CAYMAN ISLANDS CAYMAN ISLANDS MEXICO
7 BGC PARTNERS (AUSTRALIA) PTY LIMITED BGC PARTNERS (SINGAPORE) LIMITED BGC PARTNERS CIS LLC BGC PARTNERS MENKUL DEGERLER A.S. BGC PARTNERS, INC. BGC PARTNERS, L.P. BGC RADIX ENERGY L.P. BGC REAL ESTATE OF ARIZONA, LLC BGC REAL ESTATE OF MICHIGAN, LLC BGC REAL ESTATE OF NEVADA, LLC BGC REAL ESTATE OF OHIO HOLDINGS, LLC BGC REAL ESTATE OF OHIO, L.P. BGC REAL ESTATE OF WASHINGTON, LLC BGC REAL ESTATE, LLC BGC SA FINANCIAL BROKERS (PTY) LIMITED BGC SECURITIES (HONG KONG) LLC BGC SECURITIES (SINGAPORE) LIMITED BGC SECURITIES (SOUTH AFRICA) PTY LIMITED BGC SECURITIES SARL BGC SERVICES (HOLDINGS) LLP BGC SHOKEN KAISHA LIMITED BGC TRADING HOLDINGS, LLC BGC URUGUAY HOLDINGS, LLC BGC USA HOLDINGS, LLC BGC USA, L.P. BGCANTOR MARKET DATA HOLDINGS, LLC BGCBI, LLC BGCCMHK HOLDINGS II, LLC BGCCMHK HOLDINGS, LLC BGCCMLP HOLDINGS, LLC BGCF HOLDINGS, LLC BGCIHLP, LLC BGCSHLLP HOLDINGS LIMITED CONVERGE TOWERS, LLC CREDITORS COLLECTIONS, LLC eab HOLDINGS, LLC ECCO LLC AUSTRALIA New South Wales SINGAPORE MOSCOW, RUSSIA TURKEY SOUTH AFRICA SINGAPORE SOUTH AFRICA SWITZERLAND (Nyon)
8 ECCOWARE LIMITED EIP HOLDINGS ACQUISITION, LLC EIP HOLDINGS, LLC ELX FUTURES HOLDINGS, LLC ELX FUTURES, L.P. EPSILON NETWORKS, LLC ESPEED (CANADA), INC. ESPEED (HONG KONG) HOLDINGS I, INC. ESPEED (HONG KONG) HOLDINGS II, INC. ESPEED (HONG KONG) LIMITED ESPEED (JAPAN) LIMITED ESPEED A LIMITED ESPEED B LIMITED ESPEED BROKERAGE HOLDINGS, LLC ESPEED BROKERAGE, L.P. ESPEED ELX FUTURES HOLDINGS, L.P. ESPEED ELX FUTURES HOLDINGS, LLC ESPEED ELX HOLDINGS, L.P. ESPEED ELX HOLDINGS, LLC ESPEED INTERNATIONAL LIMITED ESPEED MARKETS HOLDINGS, LLC ESPEED MARKETS, L.P. ESPEED SUPPORT SERVICES LIMITED ESPEED TECHNOLOGY SERVICES HOLDINGS, LLC ESPEED TECHNOLOGY SERVICES, L.P. ESPEED, LLC ESX CLEARING HOLDINGS, LLC ESX CLEARING, L.P. EURO BROKERS (SWITZERLAND) S.A. EURO BROKERS CANADA LIMITED EURO BROKERS HOLDINGS LTD EURO BROKERS MEXICO S.A. de C.V. FHLP, LLC FREEDOM INTERNATIONAL BROKERAGE COMPANY FREEDOM INTERNATIONAL HOLDING, L.P. G&E ACQUISITION COMPANY, LLC G&E APPRAISAL SERVICES, LLC AND WALES CANADA/NOVA SCOTIA HONG KONG JAPAN AND WALES AND WALES AND WALES SWITZERLAND CANADA MEXICO CANADA/NOVA SCOTIA
9 G&E MANAGEMENT SERVICES, LLC G&E REAL ESTATE MANAGEMENT SERVICES, INC. G&E REAL ESTATE, INC. GINALFI FINANCE HOLDING DI SERVIZI FINANZIARI SRL ITSECCO HOLDINGS LIMITED JADESTONE CONSULTANTS LIMITED KLEOS MANAGED SERVICES HOLDINGS, LLC KLEOS MANAGED SERVICES, L.P. LIQUIDEZ DISTRIBUIDORA DE TITULOS E VALORES MOBILIARIOS LTDA. MINT BROKERS MINT BROKERS HOLDINGS I, LLC MINT BROKERS HOLDINGS II, LLC MIS BROKERS LIMITED MIS HOLDINGS, LLC MUNICIPAL PARTNERS LLC NEWMARK & COMPANY REAL ESTATE, INC. NEWMARK BUILDING SERVICES, LLC NEWMARK CONSTRUCTION SERVICES, L.L.C. NEWMARK LI LLC NEWMARK MIDWEST REGION, LLC NEWMARK OF CONNECTICUT LLC NEWMARK OF LONG ISLAND LLC NEWMARK OF MASSACHUSETTS LLC NEWMARK OF SOUTHERN CALIFORNIA NEWMARK OF WASHINGTON D.C. LLC NEWMARK REAL ESTATE OF DALLAS, LLC NEWMARK REAL ESTATE OF HOUSTON, LLC NEWMARK REAL ESTATE OF MASSACHUSETTS, LLC NEWMARK REAL ESTATE OF NEW JERSEY, L.L.C. NEWMARK REAL ESTATE OF PRINCETON LLC NEWMARK RETAIL PARTNERS LLC NEWMARK RETAIL, LLC NEWMARK SOUTHERN REGION, LLC NGA, LLC NNJ, L.L.C. NOC LLC PARIS, FRANCE ITALY AND WALES CYPRUS BRAZIL ILLINOIS CONNECTICUT MASSACHUSETTS CALIFORNIA DISTRICT OF COLUMBIA TEXAS TEXAS MASSACHUSETTS NEW JERSEY NEW JERSEY GEORGIA GEORGIA NEW JERSEY ILLINOIS
10 NOH, LLC NRB, LLC NRED, LLC NREP, LLC NWDC LLC REXX INDEX, LLC ROSS PROPERTY SERVICES, INC. ROSS REAL ESTATE, LTD. RRE GENERAL, LLC SCARP LIMITED SEMINOLE CAPITAL MARKETS, L.P. SEMINOLE FINANCIAL (EUROPE) LP SEMINOLE FINANCIAL LIMITED SMITH MACK & CO., INC. SMITH MACK HOLDINGS, INC. SMITH MACK PROPERTY MANAGEMENT CO., INC. TOWER BRIDGE GP LIMITED TOWER BRIDGE INTERNATIONAL SERVICES HOLDINGS, L.P. TOWER BRIDGE INTERNATIONAL SERVICES HOLDINGS, LLC TOWER BRIDGE INTERNATIONAL SERVICES L.P. TOWER BRIDGE SECURITIES LIMITED TP HOLDINGS, LLC TRADESOFT TECHNOLOGIES, INC. TRADESPARK, L.P. TREASURYCONNECT LLC STERLING BROKERS LIMITED TEXAS MASSACHUSETTS TEXAS NEW JERSEY DISTRICT OF COLUMBIA CONNECTICUT COLORADO COLORADO COLORADO CAYMAN ISLANDS PENNSYLVANIA PENNSYLVANIA PENNSYLVANIA
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