SEC Form 4 · accession 0001156375-16-000192
CME GROUP INC. · CME
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Derek Sammann
Officer — Sr MD Gl Hd Comm &Options Prod
Period of report
Aug 2, 2016
Accepted (ET)
Aug 3, 2016 · 3:33 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 | Aug 2, 2016 | M | 3,550 | $90.75 | A | 30,896 | D | |
| Common Stock Class AF1 | Aug 2, 2016 | S | 3,550 | $103.2009 | D | 27,346 | 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 | $90.75 | Aug 2, 2016 | M | 3,550 | D | Sep 15, 2011 | Sep 15, 2016 | Common Stock Class A | 3,550 | 0 | D |
Explanation of responses
- F1On August 2, 2016, Mr. Sammann sold an aggregate of 3,550 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: $103.20 to $103.22. The Company maintains a record of the transactions and copies will be provided upon request.
- F2On September 15, 2011, these options vested with respect to 100% of the granted number of shares covered by the option.