SEC Form 4 · accession 0001156375-18-000088
CME GROUP INC. · CME
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Jack J Tobin
Officer — MD Chief Accounting Officer
Period of report
Sep 5, 2018
Accepted (ET)
Sep 7, 2018 · 1:50 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 | Sep 5, 2018 | M | 1,780 | $56.87 | A | 17,534 | D | |
| Common Stock Class AF1,F2 | Sep 5, 2018 | S | 1,780 | $174.8653 | D | 15,754 | D | |
| Common Stock Class A | Sep 5, 2018 | M | 1,100 | $54.30 | A | 16,854 | D | |
| Common Stock Class AF1,F2 | Sep 5, 2018 | S | 1,100 | $174.8653 | D | 15,754 | D | |
| Common Stock Class A | Sep 5, 2018 | M | 4,940 | $54.37 | A | 20,694 | D | |
| Common Stock Class AF1,F2 | Sep 5, 2018 | S | 4,940 | $174.8653 | D | 15,754 | 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)F3 | $54.30 | Sep 5, 2018 | M | 1,100 | D | Sep 15, 2014 | Sep 15, 2020 | Common Stock Class A | 1,100 | 0 | D |
| Non-Qualified Stock Option (right to buy)F4 | $54.37 | Sep 5, 2018 | M | 4,940 | D | Sep 15, 2015 | Sep 15, 2021 | Common Stock Class A | 4,940 | 0 | D |
| Non-Qualified Stock Option (right to buy)F5 | $56.87 | Sep 5, 2018 | M | 1,780 | D | Sep 15, 2013 | Sep 15, 2019 | Common Stock Class A | 1,780 | 0 | D |
Explanation of responses
- F1This sale was completed pursuant to the terms of a pre-arranged trading plan established in accordance with Rule 10b5-1.
- F2On September 5, 2018, Mr. Tobin sold an aggregate of 7,820 shares of CME Group Class A common stock. For reporting purposes, the sale prices within a $1 range have been aggregated and the weighted average has been reported. The price ranges were 173.02 to $173.99; $174.09 to $174.78; $175.07 to $175.98; $176.06 to $176.99; $177.05 to $177.31. The Company maintains a record of the transactions and copies will be provided upon request.
- F3As of 9/15/2014, this option vested with respect to 100% of the granted number of shares covered by the option.
- F4As of 9/15/2015, this option vested with respect to 100% of the granted number of shares covered by the option.
- F5As of 9/15/2013, this option vested with respect to 100% of the granted number of shares covered by the option.