SEC Form 4 · accession 0001156375-17-000115
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
Nov 28, 2017
Accepted (ET)
Nov 30, 2017 · 2:47 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 28, 2017 | M | 4,580 | $54.37 | A | 45,563 | D | |
| Common Stock Class AF1 | Nov 28, 2017 | S | 4,580 | $144.0839 | D | 40,983 | D | |
| Common Stock Class A | Nov 28, 2017 | M | 8,340 | $54.30 | A | 49,323 | D | |
| Common Stock Class AF1 | Nov 28, 2017 | S | 8,340 | $144.0839 | D | 40,983 | 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 | $54.30 | Nov 28, 2017 | M | 8,340 | D | Sep 15, 2014 | Sep 15, 2020 | Common Stock Class A | 8,340 | 0 | D |
| Non-Qualified Stock Option (right to buy)F3 | $54.37 | Nov 28, 2017 | M | 4,580 | D | Sep 15, 2015 | Sep 15, 2021 | Common Stock Class A | 4,580 | 0 | D |
Explanation of responses
- F1On November 28, 2017, Ms. Holzrichter sold an aggregate of 12,920 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: $144.00 to $144.23. The Company maintains a record of the transactions and copies will be provided upon request.
- F2As of 9/15/2014, this option vested with respect to 100% of the granted number of shares covered by the option.
- F3As of 9/15/2015, this option vested with respect to 100% of the granted number of shares covered by the option.