SEC Form 4/A · accession 0001156375-15-000047
CME GROUP INC. · CME
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
This is an amendment (Form 4/A). It replaces an earlier filing for the same period.
Reporting owner
John W. Pietrowicz
Officer — Sr MD Chief Financial Officer
Period of report
May 5, 2015
Accepted (ET)
May 19, 2015 · 2:37 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 A | May 5, 2015 | M | 743 | $50.39 | A | 35,410 | D | |
| Common Stock Class AF1 | May 5, 2015 | S | 743 | $90.41 | D | 36,153 | 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)F2,F3,F1 | $50.39 | May 5, 2015 | M | 743 | D | Jun 15, 2010 | Jun 15, 2015 | Common Stock Class A | 743 | 1,507 | D |
Explanation of responses
- F1This sale was completed pursuant to the terms of a pre-arranged trading plan established in accordance with Rule 10b5-1.
- F2The original Form 4 filed on 05/05/2015 incorrectly reported the conversion as an acquisition. This amendment is being filed to correctly report the conversion as a disposition.
- F3As of 6/15/2010, this option vested with respect to 100% of the granted number of shares covered by the option.