SEC Form 4 · accession 0001156375-17-000083
CME GROUP INC. · CME
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Julie Holzrichter
Officer — Sr MD Chief Operating Officer
Period of report
Aug 7, 2017
Accepted (ET)
Aug 8, 2017 · 3:24 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 A | Aug 7, 2017 | M | 5,875 | $83.88 | A | 43,657 | D | |
| Common Stock Class AF1 | Aug 7, 2017 | S | 5,875 | $125.6709 | D | 37,782 | D | |
| Common Stock Class A | Aug 7, 2017 | M | 6,040 | $56.87 | A | 43,822 | D | |
| Common Stock Class AF1 | Aug 7, 2017 | S | 6,040 | $125.6709 | D | 37,782 | 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 | $56.87 | Aug 7, 2017 | M | 6,040 | D | Sep 15, 2013 | Sep 15, 2019 | Common Stock Class A | 6,040 | 0 | D |
| Non-Qualified Stock Option (right to buy)F3 | $83.88 | Aug 7, 2017 | M | 5,875 | D | Jun 16, 2013 | Jun 16, 2018 | Common Stock Class A | 5,875 | 0 | D |
Explanation of responses
- F1On August 7, 2017, Ms. Holzrichter sold a total of 11,915 shares of CME Group Class A common stock at an average price of $125.67 per share, including the exercise of options. The price ranges were $125.65 through $125.70. The Company maintains a record of the transactions and copies will be provided upon request.
- F2As of September 15, 2013, this option vested with respect to 100% of the option.
- F3As of June 16, 2013, this option vested with respect to 100% of the option.