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CME GROUP INC. — Director's Dealing 2013
Sep 3, 2013
29871_dirs_2013-09-03_039f1369-3fad-40c0-9f22-aa9ef3b428cc.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: 2013-08-29
Reporting Person: Pieper James V. (MD & CAO)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2013-08-29 | Common Stock Class A | M | 465.0 | $62.83 | Acquired | 7756 | Direct |
| 2013-08-29 | Common Stock Class A | S | 465.0 | $70.33 | Disposed | 7291 | Direct |
| 2013-08-29 | Common Stock Class A | M | 100.0 | $25.4 | Acquired | 7391 | Direct |
| 2013-08-29 | Common Stock Class A | S | 100.0 | $70.33 | Disposed | 7291 | Direct |
| 2013-08-29 | Common Stock Class A | M | 875.0 | $50.39 | Acquired | 8166 | Direct |
| 2013-08-29 | Common Stock Class A | S | 875.0 | $70.33 | Disposed | 7291 | Direct |
| 2013-08-29 | Common Stock Class A | M | 1395.0 | $56.87 | Acquired | 8686 | Direct |
| 2013-08-29 | Common Stock Class A | S | 1395.0 | $70.33 | Disposed | 7291 | Direct |
| 2013-08-29 | Common Stock Class A | M | 1000.0 | $54.37 | Acquired | 8291 | Direct |
| 2013-08-29 | Common Stock Class A | S | 1000.0 | $70.33 | Disposed | 7291 | Direct |
| 2013-08-29 | Common Stock Class A | M | 2220.0 | $54.3 | Acquired | 9511 | Direct |
| 2013-08-29 | Common Stock Class A | S | 2220.0 | $70.33 | Disposed | 7291 | Direct |
| 2013-08-29 | Common Stock Class A | S | 2469.0 | $70.33 | Disposed | 4822 | Direct |
| 2013-08-29 | Common Stock Class A | S | 60.0 | $70.33 | Disposed | 4762 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2013-08-29 | Non-Qualified Stock Option (right to buy) | $25.4 | M | 100.0 | Disposed | 2014-06-14 | Common Stock Class A (100) | Direct |
| 2013-08-29 | Non-Qualified Stock Option (right to buy) | $50.39 | M | 875.0 | Disposed | 2015-06-15 | Common Stock Class A (875) | Direct |
| 2013-08-29 | Non-Qualified Stock Option (right to buy) | $54.3 | M | 2220.0 | Disposed | 2020-09-15 | Common Stock Class A (2220) | Direct |
| 2013-08-29 | Non-Qualified Stock Option (right to buy) | $54.37 | M | 1000.0 | Disposed | 2021-09-15 | Common Stock Class A (1000) | Direct |
| 2013-08-29 | Non-Qualified Stock Option (right to buy) | $56.87 | M | 1395.0 | Disposed | 2019-09-15 | Common Stock Class A (1395) | Direct |
| 2013-08-29 | Non-Qualified Stock Option (right to buy) | $62.83 | M | 465.0 | Disposed | 2020-03-15 | Common Stock Class A (465) | Direct |
Footnotes
F1: This sale was completed pursuant to the terms of a pre-arranged trading plan established in accordance with Rule 10b5-1.
F2: As of 6/14/2009, this option vested with respect to 100% of the granted number of shares covered by the option.
F3: As of 6/15/2010, this option vested with respect to 100% of the granted number of shares covered by the option.
F4: 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.
F5: 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.
F6: These options were granted on September 15, 2009. 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.
F7: These options were granted on March 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.