SEC Form 4 · accession 0001156375-19-000001
CME GROUP INC. · CME
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
John W. Pietrowicz
Officer — Sr MD Chief Financial Officer
Period of report
Jan 2, 2019
Accepted (ET)
Jan 3, 2019 · 5:46 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 | Jan 2, 2019 | M | 12,060 | $54.30 | A | 44,780 | D | |
| Common Stock Class AF1,F2 | Jan 2, 2019 | S | 12,060 | $186.8972 | D | 32,720 | D | |
| Common Stock Class A | Jan 2, 2019 | M | 1,740 | $62.83 | A | 34,460 | D | |
| Common Stock Class AF1,F2 | Jan 2, 2019 | S | 1,740 | $186.8972 | D | 32,720 | D | |
| Common Stock Class A | Jan 2, 2019 | M | 4,160 | $56.87 | A | 36,880 | D | |
| Common Stock Class AF1,F3 | Jan 2, 2019 | S | 4,160 | $186.9795 | D | 32,720 | 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)F4 | $54.30 | Jan 2, 2019 | M | 12,060 | D | Sep 15, 2014 | Sep 15, 2020 | Common Stock Class A | 12,060 | 0 | D |
| Non-Qualified Stock Option (right to buy)F5 | $56.87 | Jan 2, 2019 | M | 4,160 | D | Sep 15, 2013 | Sep 15, 2019 | Common Stock Class A | 4,160 | 0 | D |
| Non-Qualified Stock Option (right to buy)F6 | $62.83 | Jan 2, 2019 | M | 1,740 | D | Mar 15, 2014 | Mar 15, 2020 | Common Stock Class A | 1,740 | 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 January 2, 2019, Mr. Pietrowicz sold an aggregate of 13,800 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 $186.04 to $186.99 and $187.00 to $187.69. The Company maintains a record of the transactions and copies will be provided upon request.
- F3On January 2, 2019, Mr. Pietrowicz sold an aggregate of 4,160 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 $186.25 to $186.97 and $187.00 to $187.65. The Company maintains a record of the transactions and copies will be provided upon request.
- F4As of 9/15/2014, 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.
- F6As of 3/15/2014, this option vested with respect to 100% of the granted number of shares covered by the option.