UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
SCHEDULE 13G
Information To Be Included in Statements Filed
Pursuant to Rules 13d-1(b), (c), and (d) and
Amendments Thereto Filed Pursuant to 13d-2(b)
(Amendment No. 4)(1)
Check the appropriate box to designate the rule pursuant to which this Schedule
is filed:
[ ] Rule 13d-1(b)
[ ] Rule 13d-1(c)
[X] Rule 13d-1(d)
(1) The remainder of this cover page shall be filled out for a reporting person's initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter disclosures provided in a prior cover page. The information required on the remainder of this cover page shall not be deemed to be "filed" for the purpose of Section 18 of the Securities Exchange Act of 1934 ("Act") or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act (however, see the Notes).
Page 1 of 13 Pages
Page 2 of 13 Pages
SCHEDULE 13G
CUSIP No. 296643 10 9
1 NAME OF REPORTING PERSON
I.R.S. IDENTIFICATION NO. OF ABOVE PERSON (ENTITIES ONLY)
Cantor Fitzgerald Securities
--------------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [ ]
(b) [ ]
--------------------------------------------------------------------------------
3 SEC USE ONLY
--------------------------------------------------------------------------------
4 CITIZENSHIP OR PLACE OF ORGANIZATION
New York
--------------------------------------------------------------------------------
5 SOLE VOTING POWER
NUMBER OF 0 shares of Class A Common Stock
SHARES -----------------------------------------------------------
BENEFICIALLY 6 SHARED VOTING POWER
OWNED BY 22,497,800 shares of Class A Common Stock
EACH -----------------------------------------------------------
REPORTING 7 SOLE DISPOSITIVE POWER
PERSON 0 shares of Class A Common Stock
WITH -----------------------------------------------------------
8 SHARED DISPOSITIVE POWER
22,497,800 shares of Class A Common Stock
--------------------------------------------------------------------------------
9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
22,497,800 shares of Class A Common Stock
--------------------------------------------------------------------------------
10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* [ ]
--------------------------------------------------------------------------------
11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
40.4%
--------------------------------------------------------------------------------
12 TYPE OF REPORTING PERSON*
PN
--------------------------------------------------------------------------------
*SEE INSTRUCTIONS BEFORE FILLING OUT!
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Page 3 of 13 Pages
SCHEDULE 13G
CUSIP No. 296643 10 9
1 NAME OF REPORTING PERSON
I.R.S. IDENTIFICATION NO. OF ABOVE PERSON (ENTITIES ONLY)
Cantor Fitzgerald, L.P.
--------------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [ ]
(b) [ ]
--------------------------------------------------------------------------------
3 SEC USE ONLY
--------------------------------------------------------------------------------
4 CITIZENSHIP OR PLACE OF ORGANIZATION
Delaware
--------------------------------------------------------------------------------
5 SOLE VOTING POWER
NUMBER OF 0 shares of Class A Common Stock
SHARES -----------------------------------------------------------
BENEFICIALLY 6 SHARED VOTING POWER
OWNED BY 25,139,270 shares of Class A Common Stock
EACH -----------------------------------------------------------
REPORTING 7 SOLE DISPOSITIVE POWER
PERSON 0 shares of Class A Common Stock
WITH -----------------------------------------------------------
8 SHARED DISPOSITIVE POWER
25,139,270 shares of Class A Common Stock
--------------------------------------------------------------------------------
9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
25,139,270 shares of Class A Common Stock
--------------------------------------------------------------------------------
10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* [ ]
--------------------------------------------------------------------------------
11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
45.1%
--------------------------------------------------------------------------------
12 TYPE OF REPORTING PERSON*
PN
--------------------------------------------------------------------------------
*SEE INSTRUCTIONS BEFORE FILLING OUT!
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Page 4 of 13 Pages
SCHEDULE 13G
CUSIP No. 296643 10 9
1 NAME OF REPORTING PERSON
I.R.S. IDENTIFICATION NO. OF ABOVE PERSON (ENTITIES ONLY)
CF Group Management, Inc.
--------------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [ ]
(b) [ ]
--------------------------------------------------------------------------------
3 SEC USE ONLY
--------------------------------------------------------------------------------
4 CITIZENSHIP OR PLACE OF ORGANIZATION
New York
--------------------------------------------------------------------------------
5 SOLE VOTING POWER
NUMBER OF 0 shares of Class A Common Stock
SHARES -----------------------------------------------------------
BENEFICIALLY 6 SHARED VOTING POWER
OWNED BY 25,526,739 shares of Class A Common Stock
EACH -----------------------------------------------------------
REPORTING 7 SOLE DISPOSITIVE POWER
PERSON 0 shares of Class A Common Stock
WITH -----------------------------------------------------------
8 SHARED DISPOSITIVE POWER
25,526,739 shares of Class A Common Stock
--------------------------------------------------------------------------------
9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
25,526,739 shares of Class A Common Stock
--------------------------------------------------------------------------------
10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* [ ]
--------------------------------------------------------------------------------
11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
45.8%
--------------------------------------------------------------------------------
12 TYPE OF REPORTING PERSON*
CO
--------------------------------------------------------------------------------
*SEE INSTRUCTIONS BEFORE FILLING OUT!
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Page 5 of 13 Pages
CUSIP No. 296643 10 9
1 NAME OF REPORTING PERSON
I.R.S. IDENTIFICATION NO. OF ABOVE PERSON (ENTITIES ONLY)
Howard W. Lutnick
--------------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [ ]
(b) [ ]
--------------------------------------------------------------------------------
3 SEC USE ONLY
--------------------------------------------------------------------------------
4 CITIZENSHIP OR PLACE OF ORGANIZATION
USA
--------------------------------------------------------------------------------
5 SOLE VOTING POWER
NUMBER OF 4,526,242 shares of Class A Common Stock
SHARES -----------------------------------------------------------
BENEFICIALLY 6 SHARED VOTING POWER
OWNED BY 25,702,328 shares of Class A Common Stock
EACH -----------------------------------------------------------
REPORTING 7 SOLE DISPOSITIVE POWER
PERSON 4,526,242 shares of Class A Common Stock
WITH -----------------------------------------------------------
8 SHARED DISPOSITIVE POWER
25,702,328 shares of Class A Common Stock
--------------------------------------------------------------------------------
9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
30,228,570 shares of Class A Common Stock
--------------------------------------------------------------------------------
10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* [ ]
--------------------------------------------------------------------------------
11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
54.3%
--------------------------------------------------------------------------------
12 TYPE OF REPORTING PERSON*
IN
--------------------------------------------------------------------------------
*SEE INSTRUCTIONS BEFORE FILLING OUT!
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Page 6 of 13 Pages
eSpeed, Inc.
135 East 57th Street
New York, New York 10022
This statement is being filed pursuant to a Joint Filing Agreement
(attached as Exhibit 1 and incorporated herein by reference) by (i)
Cantor Fitzgerald Securities ("CFS"), (ii) Cantor Fitzgerald, L.P.
("CFLP"), the managing partner of CFS, (iii) CF Group Management, Inc.
("CFGM"), the managing general partner of CFLP, and (iv) Howard W.
Lutnick, the sole shareholder of CFGM (sometimes collectively referred
to as the "Reporting Persons").
The information required by this Item is set forth in Appendix 1 attached hereto.
Class A Common Stock, par value $.01 per share.
296643 10 9
If this statement is filed pursuant to Rule 13d-1(b), or 13d-2(b) or
(c), check whether the person filing is a:
(a) [ ] Broker or Dealer registered under Section 15 of the Exchange Act
Page 7 of 13 Pages
(b) [ ] Bank as defined in Section 3(a)(6) of the Exchange Act
(c) [ ] Insurance company as defined in Section 3(a)(19) of
the Exchange Act
(d) [ ] Investment company registered under Section 8 of the
Investment Company Act
(e) [ ] An investment adviser in accordance with
Rule 13d-1(b)(1)(ii)(E)
(f) [ ] An employee benefit plan or endowment fund in
accordance with Rule 13d- 1(b)(1)(ii)(F)
(g) [ ] A parent holding company or control person in
accordance with Rule 13d- 1(b)(1)(ii)(G)
(h) [ ] A savings association as defined in Section 3(b) of
the Federal Deposit Insurance Act
(i) [ ] A church plan that is excluded from the definition of an
investment company under Section 3(c)(14) of the Investment
Company Act
(j) [ ] Group, in accordance with Rule 13d-1(b)(1)(ii)(J)
If this statement is filed pursuant to Rule 13d-1(c), check this
box. [ ]
Inapplicable.
The following information is provided as of December 31, 2003:
CFS owns of record an aggregate of 22,497,800 shares of Class B Common Stock of
the Issuer. Each Share of Class B Common Stock is convertible at any time into
one share of Class A Common Stock. The rights of holders of shares of Class A
and Class B Common Stock are substantially identical, except that holders of
Class B Common Stock are entitled to 10 votes per share, while holders of Class
A Common Stock are entitled to one vote per share on all matters to be voted on
by stockholders in general. Class A Common Stock and Class B Common Stock are
hereinafter collectively called "Common Stock." Since CFLP is the managing
partner of CFS, CFGM is the managing general partner of CFLP and Howard W.
Lutnick is the sole shareholder of CFGM, CFS shares voting and dispositive power
over these shares with CFLP, CFGM and Mr. Lutnick.
CFLP owns of record 2,641,470 shares of Common Stock. CFLP shares voting and dispositive power over these shares with CFGM, its managing general partner, and with Mr. Lutnick, the sole shareholder of CFGM. CFLP also shares voting and dispositive power over the 22,497,800 shares of Common Stock owned of record by CFS by virtue of being the managing partner of CFS.
CFGM owns of record 387,469 shares of Common Stock. CFGM shares voting and dispositive power over these shares with Howard Lutnick, the sole shareholder of CFGM. In addition, CFGM has shared voting and dispositive power with respect to an aggregate of 25,139,270 shares of Common Stock owned of record by CFLP and CFS by virtue of being the managing general partner of CFLP.
Howard W. Lutnick has sole voting and dispositive power with respect to (i) 957,492 shares of Common Stock owned of record by him, (ii) presently exercisable options and options exercisable within 60 days to purchase an aggregate of 3,068,750 shares of Common Stock and (iii) presently exercisable options to purchase 500,000 shares of Common Stock which are held in a Grantor Retained Annuity Trust and payable to Mr. Lutnick, pursuant to which Mr. Lutnick is the sole trustee. Mr. Lutnick has shared voting and dispositive power with respect to 175,589 shares of Common Stock held for the benefit of Mr. Lutnick's descendants by The Lutnick 1999 Descendants Trust, of which Mr. Lutnick's wife and one other person are co-trustees who must act together. Mr. Lutnick has limited powers to remove and replace the trustees of this trust. Mr. Lutnick also has shared voting and dispositive power with respect to an aggregate of 25,526,739 shares of Common Stock owned of record by CFGM, CFLP and CFS by virtue of being the sole shareholder of CFGM.
The above information is as of December 31, 2003 and does not reflect 500,000 shares of Class A Common Stock that were gifted by CFS on January 2, 2004.
Page 8 of 13 Pages
The following sets forth in tabular format the share ownership of the Reporting Persons:
(a) Amount Beneficially Owned:
(i) Cantor Fitzgerald Securities is the beneficial owner of 22,497,800 shares of Class A Common Stock, par value $.01 per share.
(ii) Cantor Fitzgerald, L.P. is the beneficial owner of 25,139,270 shares of Class A Common Stock, par value $.01 per share.
(iii) CF Group Management, Inc. is the beneficial owner of 25,526,739 shares of Class A Common Stock, par value $.01 per share.
(iv) Howard W. Lutnick is the beneficial owner of 30,228,570 shares of Class A Common Stock, par value $.01 per share.
(b) Percent of Class:
40.4% for CFS;
45.1% for CFLP;
45.8% for CFGM; and
54.3% for Howard W. Lutnick.
(c) Number of shares as to which such person has:
(i) sole power to vote or to direct the vote:
0 shares for CFS; 0 shares for CFLP; 0 shares for CFGM; and 4,526,242 shares for Howard W. Lutnick.
(ii) shared power to vote or to direct the vote:
22,497,800 shares for CFS; 25,139,270 shares for CFLP; 25,526,739 shares for CFGM; and 25,702,328 shares for Howard W. Lutnick.
(iii) sole power to dispose or to direct the disposition of:
0 shares for CFS; 0 shares for CFLP; 0 shares for CFGM; and 4,526,242 shares for Howard W. Lutnick.
(iv) shared power to dispose or to direct the disposition of:
22,497,800 shares for CFS; 25,139,270 shares for CFLP; 25,526,739 shares for CFGM; and 25,702,328 shares for Howard W. Lutnick.
Page 9 of 13 Pages
Inapplicable.
No other person has the right to receive or the power to direct the receipt of dividends from, or proceeds from the sale of, the securities beneficially owned by CFS, CFLP and CFGM. With respect to Howard W. Lutnick, 175,589 shares of Class A Common Stock are held by The Lutnick 1999 Descendants Trust for the benefits of the descendants of Mr. Lutnick, of which Mr. Lutnick's wife is one of two trustees, both of whom must act together.
Inapplicable.
Inapplicable.
Inapplicable.
Page 10 of 13 Pages
SIGNATURE
After reasonable inquiry and to the best of each of the undersigned's knowledge and belief, each of the undersigned certifies that the information set forth in this statement on Schedule 13G with respect to it or him is true, complete and correct.
February 13, 2004
Cantor Fitzgerald Securities
By: /s/ Howard W. Lutnick
---------------------------
Name: Howard W. Lutnick
Title: President
|
Cantor Fitzgerald, L.P.
By: /s/ Howard W. Lutnick
---------------------------
Name: Howard W. Lutnick
Title: Chairman
|
CF Group Management, Inc.
By: /s/ Howard W. Lutnick
---------------------------
Name: Howard W. Lutnick
Title: President
/s/ Howard W. Lutnick
-------------------------------
Howard W. Lutnick
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Page 11 of 13 Pages
Exhibit 1
JOINT FILING AGREEMENT
JOINT FILING AGREEMENT, dated as of the 13th day of February, 2004, among Cantor Fitzgerald Securities, Cantor Fitzgerald, L.P., CF Group Management, Inc. and Howard W. Lutnick (collectively, the "Joint Filers").
WHEREAS, pursuant to Rule 13d-1(k) under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), the parties hereto desire to satisfy any filing obligation under Section 13(d) of the Exchange Act by a single joint filing;
NOW, THEREFORE, in consideration of the premises and the mutual covenants herein contained, the Joint Filers hereby agree and represent as follows:
1. Schedule 13G with respect to the Class A Common Stock, par value $.01 per share, of eSpeed, Inc. (to which this Joint Filing Agreement is an exhibit) is filed on behalf of each of the Joint Filers.
2. Each of the Joint Filers is eligible to use Schedule 13G for the filing of information therein contained.
3. Each of the Joint Filers is responsible for the timely filing of Schedule 13G and any amendments thereto, and for the completeness and accuracy of the information concerning such person contained therein, provided that each such person is not responsible for the completeness or accuracy of the information concerning the other persons making the filing, unless such person knows or has reason to believe that such information is inaccurate.
[remainder of page intentionally left blank]
Page 12 of 13 Pages
IN WITNESS WHEREOF, the undersigned have caused this Joint Filing Agreement to be duly executed and delivered as of the date first above written.
Cantor Fitzgerald Securities
By: /s/ Howard W. Lutnick
---------------------------
Name: Howard W. Lutnick
Title: President
|
Cantor Fitzgerald, L.P.
By: /s/ Howard W. Lutnick
---------------------------
Name: Howard W. Lutnick
Title: Chairman
|
CF Group Management, Inc.
By: /s/ Howard W. Lutnick
---------------------------
Name: Howard W. Lutnick
Title: President
/s/ Howard W. Lutnick
-------------------------------
Howard W. Lutnick
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Page 13 of 13 Pages
Appendix 1
ADDRESS, ORGANIZATION AND PRINCIPAL BUSINESS OF EACH REPORTING PERSON REQUIRED
BY ITEMS 2(a), (b) and (c)
NAME OF PERSON FILING PRINCIPAL BUSINESS OFFICE ADDRESS PLACE OF ORGANIZATION
Cantor Fitzgerald Securities 135 E. 57th Street New York general partnership
New York, NY 10022
Cantor Fitzgerald, L.P. 135 E. 57th Street Delaware limited partnership
New York, NY 10022
CF Group Management, Inc. 135 E. 57th Street New York corporation
New York, NY 10022
Howard W. Lutnick c/o Cantor Fitzgerald, L.P. United States citizen
135 E. 57th Street
New York, NY 10022
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