SEC Form 4 · accession 0001156375-16-000256
CME GROUP INC. · CME
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Terrence A Duffy
Officer — Chairman & CEO · Director
Period of report
Nov 25, 2016
Accepted (ET)
Nov 28, 2016 · 5:27 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 | Nov 25, 2016 | M | 17,375 | $105.90 | A | 127,739 | D | |
| Common Stock Class AF1 | Nov 25, 2016 | S | 17,375 | $112.58 | D | 110,364 | 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 | $105.90 | Nov 25, 2016 | M | 17,375 | D | Dec 15, 2011 | Dec 15, 2016 | Common Stock Class A | 17,375 | 0 | D |
Explanation of responses
- F1On November 25, 2016, Mr. Duffy sold an aggregate of 17,375 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: $112.55 to $112.61. The Company maintains a record of the transactions and copies will be provided upon request.
- F2As of December 15, 2011, this option vested with respect to 100% of the granted number of shares covered by the option.