SEC Form 4 · accession 0001156375-18-000094
CME GROUP INC. · CME
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Derek Sammann
Officer — Sr MD Gl Hd Commodity & Option
Period of report
Sep 14, 2018
Accepted (ET)
Sep 18, 2018 · 6:12 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 | May 2, 2018 | G | 1,525 | $0.00 | D | 16,654 | D | |
| Common Stock Class A | Aug 29, 2018 | G | 528 | $0.00 | D | 16,126 | D | |
| Common Stock Class A | Sep 14, 2018 | A | 3,680 | $0.00 | A | 19,806 | D | |
| Common Stock Class AF3 | Sep 15, 2018 | F | 357 | $173.15 | D | 19,449 | D | |
| Common Stock Class AF3 | Sep 15, 2018 | F | 590 | $173.15 | D | 18,859 | D | |
| Common Stock Class AF3 | Sep 15, 2018 | F | 514 | $173.15 | D | 18,345 | D | |
| Common Stock Class AF3 | Sep 15, 2018 | F | 257 | $173.15 | D | 18,088 | D | |
| Common Stock Class A | holding | — | — | — | 1,758 | I | by Children | |
| Common Stock Class A | holding | — | — | — | 12,540 | I | by Spouse | |
| Common Stock Class A | holding | — | — | — | 10,724 | I | by Trust |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1This transaction involved a gift of securities from the reporting person to his donor advised fund.
- F2This transaction represented a gift of securities from the reporting person to his children, who share the reporting person's household. The reporting person disclaims beneficial ownership of the shares held by his children, and this report shall not be deemed as an admission that the reporting person is the beneficial owner of his children's shares for purposes of Section 16 or for any other purpose.
- F3Mr. Sammann surrendered shares to the Company in order to fulfill tax withholding obligations upon the vesting of restricted stock on 9/15/18.