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CME GROUP INC. — Director's Dealing 2016
Sep 30, 2016
29871_dirs_2016-09-30_4ec4d99b-a4a4-46a1-944c-a4cb64a5ee76.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: 2016-09-28
Reporting Person: Durkin Bryan T (Sr MD Chief Commercial Officer)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2016-09-28 | Common Stock Class A | M | 11600.0 | $83.88 | Acquired | 66936 | Direct |
| 2016-09-28 | Common Stock Class A | S | 11600.0 | $105.0929 | Disposed | 55336 | Direct |
| 2016-09-28 | Common Stock Class A | M | 1734.0 | $56.87 | Acquired | 57070 | Direct |
| 2016-09-28 | Common Stock Class A | S | 1734.0 | $105.0929 | Disposed | 55336 | Direct |
| 2016-09-28 | Common Stock Class A | S | 1656.0 | $105.2 | Disposed | 53680 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2016-09-28 | Non-Qualified Stock Option (right to buy) | $56.87 | M | 1734.0 | Disposed | 2019-09-15 | Common Stock Class A (1734) | Direct |
| 2016-09-28 | Non-Qualified Stock Option (right to buy) | $83.88 | M | 11600.0 | Disposed | 2018-06-16 | Common Stock Class A (11600) | 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: On September 28, 2016, Mr. Durkin sold an aggregate of 13,334 shares of CME Group Class A common stock. For reporting purposes, the sales prices within a $1 range have been aggregated and the weighted average sales price has been reported. The price ranges were: $107.09 to $107.99 and $108.01 to $108.62. The Company maintains a record of the transactions and copies will be provided upon request.
F3: On September 28, 2016, Mr. Durkin sold an aggregate of 1,656 shares of CME Group Class A common stock. For reporting purposes, the sales prices within a $1 range have been aggregated and the weighted average sales price has been reported. The price ranges were: $105.02 to $105.51. The Company maintains a record of the transactions and copies will be provided upon request.
F4: 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.
F5: These options were granted on June 16, 2008. They vest over a five-year period, with 20% vesting one year after the grant date and 20% vesting on that same date in each of the following three years, subject to acceleration or termination in certain circumstances.