SEC Form 5 · accession 0001156375-17-000012
CME GROUP INC. · CME
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
William R Shepard
Director
Period of report
Dec 31, 2016
Accepted (ET)
Feb 14, 2017 · 7:07 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 AF2 | Sep 28, 2012 | J | 116 | $53.19 | A | 52,340 | D | |
| Common Stock Class AF2 | Dec 28, 2010 | J | 95 | $65.31 | A | 52,435 | D | |
| Common Stock Class AF2 | Mar 28, 2011 | J | 128 | $59.16 | A | 52,564 | D | |
| Common Stock Class AF2 | Jun 28, 2011 | J | 134 | $56.74 | A | 52,698 | D | |
| Common Stock Class AF2 | Sep 27, 2011 | J | 142 | $53.90 | A | 52,840 | D | |
| Common Stock Class AF2 | Dec 31, 2011 | J | 158 | $48.65 | A | 52,998 | D | |
| Common Stock Class AF2 | Mar 26, 2012 | J | 208 | $59.30 | A | 53,206 | D | |
| Common Stock Class AF2 | Jun 26, 2012 | J | 232 | $53.67 | A | 53,438 | D | |
| Common Stock Class A | Sep 26, 2012 | J | 222 | $56.86 | A | 53,660 | D | |
| Common Stock Class A | Dec 27, 2012 | J | 253 | $50.36 | A | 53,913 | D | |
| Common Stock Class A | Mar 26, 2013 | J | 209 | $61.44 | A | 54,122 | D | |
| Common Stock Class A | Jun 26, 2013 | J | 170 | $76.26 | A | 54,292 | D | |
| Common Stock Class A | Sep 30, 2013 | J | 174 | $75.04 | A | 54,466 | D | |
| Common Stock Class A | Dec 27, 2013 | J | 164 | $79.83 | A | 54,630 | D | |
| Common Stock Class A | Mar 26, 2014 | J | 180 | $76.25 | A | 54,810 | D | |
| Common Stock Class A | Jun 26, 2014 | J | 198 | $69.65 | A | 55,008 | D | |
| Common Stock Class A | Sep 26, 2014 | J | 175 | $79.46 | A | 55,183 | D | |
| Common Stock Class A | Dec 29, 2014 | J | 155 | $90.34 | A | 55,339 | D | |
| Common Stock Class AF3 | holding | — | — | — | 136,623 | I | by Trust | |
| Common Stock Class B1 | holding | — | — | — | 5 | I | by Trust | |
| Common Stock Class B2 | holding | — | — | — | 5 | I | by Trust | |
| Common Stock Class B3 | holding | — | — | — | 2 | I | by Trust | |
| Common Stock Class B4 | holding | — | — | — | 1 | I | by Trust |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1This Form 5 is being filed to correct the number of shares of CME Group Class A common stock beneficially held by Mr. Shepard. Mr. Shepard acquired a total of 3,114.51 shares of CME Group Class A common stock under a broker directed dividend reinvestment plan (DRIP) on a quarterly basis from 9/28/2010 through 12/29/2014. His total direct ownership, including 3,114.51 shares, is 55,338.69.
- F2Adjusted to account for a subsequent 5 to 1 stock split to reflect current ownership and cost.
- F3Ownership has been updated to reflect the transfer of 136,623 shares of CME Group Class A common stock to Mr. Shepard's trust on December 9, 2016.