SEC Form 4 · accession 0001156375-17-000027
CME GROUP INC. · CME
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Terrence A Duffy
Officer — Chairman and CEO · Director
Period of report
Mar 15, 2017
Accepted (ET)
Mar 17, 2017 · 6:35 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 | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock Class AF1 | Mar 15, 2017 | F | 13,938 | $124.74 | D | 96,018 | D | |
| Common Stock Class AF2 | Mar 15, 2017 | A | 30,496 | $0.00 | A | 126,514 | D | |
| Common Stock Class AF3 | Mar 15, 2017 | A | 6,012 | $0.00 | A | 132,526 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Mr. Duffy surrendered shares to the Company in order to fulfill tax withholding obligations in connection with the receipt of the performance share award.
- F2Represents shares earned from a 2013 performance share award based upon the company's achievement of cash earnings per share growth and total shareholder return relative to the S&P 500 measured over 2014-2016.
- F3On March 15, 2017, Mr. Duffy received a grant of 6,012 shares of restricted stock based upon 2016 TSR performance as measured against the S&P 500.