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CME GROUP INC. — Director's Dealing 2013
Nov 22, 2013
29871_dirs_2013-11-22_36f4fe55-21fa-4287-9aa7-bd2931929268.zip
Director's Dealing
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SEC Form 4 — Statement of Changes in Beneficial Ownership
Issuer: CME GROUP INC. (CME)
CIK: 0001156375
Period of Report: 2013-11-21
Reporting Person: DUFFY TERRENCE A (Director, Executive Chairman & President)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2013-11-21 | Common Stock Class A | M | 5340.0 | $54.37 | Acquired | 104393 | Direct |
| 2013-11-21 | Common Stock Class A | S | 5340.0 | $83.1822 | Disposed | 99053 | Direct |
| 2013-11-21 | Common Stock Class A | M | 9240.0 | $54.3 | Acquired | 108293 | Direct |
| 2013-11-21 | Common Stock Class A | S | 9240.0 | $83.1822 | Disposed | 99053 | Direct |
| 2013-11-21 | Common Stock Class A | M | 7945.0 | $56.87 | Acquired | 106998 | Direct |
| 2013-11-21 | Common Stock Class A | S | 7945.0 | $83.1822 | Disposed | 99053 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2013-11-21 | Non-Qualified Stock Option (right to buy) | $54.3 | M | 9240.0 | Disposed | 2020-09-15 | Common Stock Class A (9240) | Direct |
| 2013-11-21 | Non-Qualified Stock Option (right to buy) | $54.37 | M | 5340.0 | Disposed | 2021-09-15 | Common Stock Class A (5340) | Direct |
| 2013-11-21 | Non-Qualified Stock Option (right to buy) | $56.87 | M | 7945.0 | Disposed | 2019-09-15 | Common Stock Class A (7945) | Direct |
Footnotes
F1: On November 21, 2013, Mr. Duffy sold a total of 22,525 shares of CME Group Class A common stock at an average price of $83.18 per share, including the exercise of options. The price ranges were $83.15 through $83.28. The Company maintains a record of the transactions and copies will be provided upon request.
F2: These options were granted on September 15, 2010. They vest over a four-year period, with 25% vesting one year after the grant date and 25% vesting on that same date in each of the following three years, subject to acceleration or termination in certain circumstances.
F3: These options were granted on September 15, 2011. They vest over a four-year period, with 25% vesting one year after the grant date and 25% vesting on that same date in each of the following three years, subject to acceleration or termination in certain circumstances
F4: As of September 15, 2013, this option vested with respect to 100% of the option.