SEC Form 4 · accession 0001156375-16-000260
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
Dec 8, 2016
Accepted (ET)
Dec 9, 2016 · 4:36 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 | Dec 8, 2016 | M | 27,550 | $110.54 | A | 137,914 | D | |
| Common Stock Class AF1 | Dec 8, 2016 | S | 27,550 | $120.4353 | 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 | $110.54 | Dec 8, 2016 | M | 27,550 | D | Jun 15, 2012 | Jun 15, 2017 | Common Stock Class A | 27,550 | 0 | D |
Explanation of responses
- F1On December 8, 2016, Mr. Duffy sold an aggregate of 27,550 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: $120.14 to $120.76. The Company maintains a record of the transactions and copies will be provided upon request.
- F2On June 15, 2012, these options vested with respect to 100% of the granted number of shares covered by the option.