SEC Form 4 · accession 0001156375-18-000039
CME GROUP INC. · CME
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Sean Tully
Officer — Sr MD Global Hd Financial & OT
Period of report
Mar 15, 2018
Accepted (ET)
Mar 19, 2018 · 6:32 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 | 2,405 | $0.00 | A | 33,327 | D | |
| Common Stock Class AF2 | Mar 15, 2018 | A | 5,023 | $0.00 | A | 38,350 | D | |
| Common Stock Class AF3 | Mar 15, 2018 | F | 1,179 | $165.66 | D | 37,171 | D | |
| Common Stock Class AF3 | Mar 15, 2018 | F | 2,094 | $165.66 | D | 35,077 | D | |
| Common Stock Class AF4 | Mar 16, 2018 | F | 144 | $165.12 | D | 34,933 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Represents shares earned from a 2015 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.
- F2Represents 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.
- F3Mr. Tully surrendered shares to the Company in order to fulfill tax withholding obligations in connection with the receipt of the performance share award.
- F4Mr. Tully surrendered shares to the Company in order to fulfill tax withholding obligations upon the vesting of restricted stock on 3/16/18.