SEC Form 4 · accession 0001156375-16-000182
CME GROUP INC. · CME
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Phupinder Gill
Officer — CEO · Director
Period of report
Jun 28, 2016
Accepted (ET)
Jun 30, 2016 · 2:49 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 | Jun 28, 2016 | M | 31,120 | $54.30 | A | 165,181 | D | |
| Common Stock Class AF1,F2 | Jun 28, 2016 | S | 31,120 | $93.1406 | D | 134,061 | 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)F3 | $54.30 | Jun 28, 2016 | M | 31,120 | D | Sep 15, 2014 | Sep 15, 2020 | Common Stock Class A | 31,120 | 0 | 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.
- F2On June 28, 2016, Mr. Gill sold an aggregate of 31,120 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: $93.00 to $93.42. The Company maintains a record of the transactions and copies will be provided upon request.
- F3On September 15, 2014 these options vested with respect to 100% of the granted number of shares covered by the option.