SEC Form 4 · accession 0001156375-16-000121
CME GROUP INC. · CME
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Terrence A Duffy
Officer — Executive Chairman & President · Director
Period of report
Mar 9, 2016
Accepted (ET)
Mar 10, 2016 · 4:34 pm EST
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 | Mar 9, 2016 | M | 5,340 | $54.37 | A | 92,244 | D | |
| Common Stock Class AF1 | Mar 9, 2016 | S | 5,340 | $93.5603 | D | 86,904 | D | |
| Common Stock Class A | Mar 9, 2016 | S | 5,000 | $93.45 | D | 81,904 | D | |
| Common Stock Class A | Mar 9, 2016 | S | 5,000 | $93.51 | D | 76,904 | 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 | $54.37 | Mar 9, 2016 | M | 5,340 | D | Sep 15, 2015 | Sep 15, 2021 | Common Stock Class A | 5,340 | 0 | D |
Explanation of responses
- F1On March 9, 2016, Mr. Duffy sold an aggregate of 5,340 shares of CME Group Class A common stock. For reporting purposes, the sales prices within a $1 range have been aggregated and the weighted average sales price has been reported. The price ranges were: $93.50 to $93.63. The Company maintains a record of the transactions and copies will be provided upon request.
- F2As of 9/15/2015, this option vested with respect to 100% of the granted number of shares covered by the option.