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CME GROUP INC. — Director's Dealing 2017
May 26, 2017
29871_dirs_2017-05-26_b3dc492c-0e12-4cd4-94a3-bc661492e8bc.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: 2017-05-24
Reporting Person: Cutinho Sunil (Sr MD & President CME Clearing)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2017-05-24 | Common Stock Class A | S | 2600 | $117.84 | Disposed | 21690 | Direct |
| 2017-05-24 | Common Stock Class A | M | 890 | $54.3 | Acquired | 22580 | Direct |
| 2017-05-24 | Common Stock Class A | S | 890 | $117.8463 | Disposed | 21690 | Direct |
| 2017-05-24 | Common Stock Class A | M | 140 | $54.23 | Acquired | 21830 | Direct |
| 2017-05-24 | Common Stock Class A | S | 140 | $117.8463 | Disposed | 21690 | Direct |
| 2017-05-24 | Common Stock Class A | M | 550 | $97.21 | Acquired | 22240 | Direct |
| 2017-05-24 | Common Stock Class A | S | 550 | $117.8463 | Disposed | 21690 | Direct |
| 2017-05-24 | Common Stock Class A | M | 750 | $110.54 | Acquired | 22440 | Direct |
| 2017-05-24 | Common Stock Class A | S | 750 | $117.8463 | Disposed | 21690 | Direct |
| 2017-05-24 | Common Stock Class A | M | 3360 | $54.37 | Acquired | 25050 | Direct |
| 2017-05-24 | Common Stock Class A | S | 3360 | $117.8463 | Disposed | 21690 | Direct |
| 2017-05-24 | Common Stock Class A | M | 1975 | $83.88 | Acquired | 23665 | Direct |
| 2017-05-24 | Common Stock Class A | S | 1975 | $117.85 | Disposed | 21690 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2017-05-24 | Non-Qualified Stock Option (right to buy) | $54.23 | M | 140 | Disposed | 2021-06-15 | Common Stock Class A (140) | Direct |
| 2017-05-24 | Non-Qualified Stock Option (right to buy) | $54.3 | M | 890 | Disposed | 2020-09-15 | Common Stock Class A (890) | Direct |
| 2017-05-24 | Non-Qualified Stock Option (right to buy) | $54.37 | M | 3360 | Disposed | 2021-09-15 | Common Stock Class A (3360) | Direct |
| 2017-05-24 | Non-Qualified Stock Option (right to buy) | $83.88 | M | 1975 | Disposed | 2018-06-16 | Common Stock Class A (1975) | Direct |
| 2017-05-24 | Non-Qualified Stock Option (right to buy) | $97.21 | M | 550 | Disposed | 2018-03-14 | Common Stock Class A (550) | Direct |
| 2017-05-24 | Non-Qualified Stock Option (right to buy) | $110.54 | M | 750 | Disposed | 2017-06-15 | Common Stock Class A (750) | 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 May 24, 2017, Mr. Cutinho sold an aggregate of 2,600 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 $117.56 to $117.95 and $118.04 to $118.23. The Company maintains a record of the transactions and copies will be provided upon request.
F3: On May 24, 2017, Mr. Cutinho sold an aggregate of 7,665 shares of CME Group Class A common stock acquired from the exercise of options. 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 $117.50 to $117.97 and $118.00 to $118.23. The Company maintains a record of the transactions and copies will be provided upon request.
F4: As of June 15, 2015, this option vested with respect to 100% of the granted number of shares covered by the option.
F5: As of September 15, 2014, this option vested with respect to 100% of the granted number of shares covered by the option.
F6: As of September 15, 2015, this option vested with respect to 100% of the granted number of shares covered by the option.
F7: As of June 16, 2013, this option vested with respect to 100% of the granted number of shares covered by the option.
F8: As of March 14, 2013, this option vested with respect to 100% of the granted number of shares covered by the option.
F9: As of June 15, 2012, this option vested with respect to 100% of the granted number of shares covered by the option.