SEC Form 4 · accession 0001156375-18-000031
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, 2018
Accepted (ET)
Mar 19, 2018 · 6:30 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, 2018 | A | 28,710 | $0.00 | A | 127,949 | D | |
| Common Stock Class AF2 | Mar 15, 2018 | F | 12,720 | $165.66 | D | 115,229 | D | |
| Common Stock Class AF3 | Mar 15, 2018 | F | 635 | $165.66 | D | 114,594 | D | |
| Common Stock Class AF4 | Mar 15, 2018 | A | 92 | $0.00 | A | 114,686 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Represents shares earned from a 2014 performance share award based on the company's achievement of net income margin growth relative to the diversified financial services index of the S&P 500 and total shareholder return relative to the S&P 500 measured over 2015-2017.
- F2Mr. Duffy surrendered shares to the Company in order to fulfill tax withholding obligations in connection with the receipt of the performance share award.
- F3Mr. Duffy surrendered shares to the Company in order to fulfill tax withholding obligations upon the vesting of restricted stock on 3/15/18.
- F4On March 15, 2018, Mr. Duffy received a performance grant of 92 shares of restricted stock based upon the company's achievement of relative total shareholder return relative to the S&P 500 for 2017.