SEC Form 4 · accession 0001156375-16-000242

CME GROUP INC. · CME

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

Reporting owner

Officer — Sr MD Chief Commercial Officer

Period of report

Sep 28, 2016

Accepted (ET)

Sep 30, 2016 · 1:06 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
Common Stock Class A	Sep 28, 2016	M	11,600	$83.88	A	66,936	D
Common Stock Class A^F1,F2	Sep 28, 2016	S	11,600	$105.0929	D	55,336	D
Common Stock Class A	Sep 28, 2016	M	1,734	$56.87	A	57,070	D
Common Stock Class A^F1,F2	Sep 28, 2016	S	1,734	$105.0929	D	55,336	D
Common Stock Class A^F1,F3	Sep 28, 2016	S	1,656	$105.20	D	53,680	D

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	$56.87	Sep 28, 2016	M	1,734	D	Sep 15, 2010	Sep 15, 2019	Common Stock Class A	1,734	10,226	D
Non-Qualified Stock Option (right to buy)^F5	$83.88	Sep 28, 2016	M	11,600	D	Jun 16, 2013	Jun 16, 2018	Common Stock Class A	11,600	0	D

F1This sale was completed pursuant to the terms of a pre-arranged trading plan established in accordance with Rule 10b5-1.
F2On September 28, 2016, Mr. Durkin sold an aggregate of 13,334 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: $107.09 to $107.99 and $108.01 to $108.62. The Company maintains a record of the transactions and copies will be provided upon request.
F3On September 28, 2016, Mr. Durkin sold an aggregate of 1,656 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: $105.02 to $105.51. The Company maintains a record of the transactions and copies will be provided upon request.
F4These options were granted on September 15, 2009. They vest over a four-year period, with 25% vesting one year after the grant date and 25% vesting on that same date in each of the following three years, subject to acceleration or termination in certain circumstances.
F5These options were granted on June 16, 2008. They vest over a five-year period, with 20% vesting one year after the grant date and 20% vesting on that same date in each of the following three years, subject to acceleration or termination in certain circumstances.