SEC Form 4 · accession 0001156375-15-000030
CME GROUP INC. · CME
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Kimberly S Taylor
Officer — Sr MD Pres Gl Ops Tech & Risk
Period of report
Mar 15, 2015
Accepted (ET)
Mar 17, 2015 · 5:48 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001156375
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock Class AF1 | Mar 15, 2015 | F | 1,101 | $96.83 | D | 97,898 | D | |
| Common Stock Class AF2 | Mar 15, 2015 | A | 2,870 | $0.00 | A | 100,768 | D | |
| Common Stock Class A | Mar 16, 2015 | M | 13,000 | $50.39 | A | 113,768 | D | |
| Common Stock Class AF3 | Mar 16, 2015 | S | 13,000 | $100.00 | D | 100,768 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Non-Qualified Stock Option (right to buy)F4 | $50.39 | Mar 16, 2015 | M | 13,000 | D | Jun 15, 2010 | Jun 15, 2015 | Common Stock Class A | 13,000 | 0 | D |
Explanation of responses
- F1Ms. Taylor surrendered shares to the Company in order to fulfill tax withholding obligations upon the vesting of restricted stock on March 15, 2015
- F2Represents shares earned from a 2012 performance share grant based on achievement of a specific initiative.
- F3This sale was completed pursuant to the terms of a pre-arranged trading plan established in accordance with Rule 10b5-1.
- F4On June 15, 2010, these options vested with respect to 100% of the granted number of shares covered by the option.