SEC Form 4 · accession 0001156375-16-000257
CME GROUP INC. · CME
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Bryan T Durkin
Officer — President
Period of report
Nov 30, 2016
Accepted (ET)
Dec 1, 2016 · 2:46 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 30, 2016 | M | 15,000 | $54.30 | A | 68,680 | D | |
| Common Stock Class AF1,F2 | Nov 30, 2016 | S | 15,000 | $112.849 | D | 53,680 | 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 | Nov 30, 2016 | M | 15,000 | D | Sep 15, 2014 | Sep 15, 2020 | Common Stock Class A | 15,000 | 2,606 | 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 November 30, 2016, Mr. Durkin sold an aggregate of 15,000 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: $112.67 to $112.98 and $113.00 to $113.29. 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.