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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. | SEC 1474 (9-02) |
1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) |
5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4, and 5) |
6. Date Exercisable and Expiration Date (Month/Day/Year) |
7. Title and Amount of Underlying Securities (Instr. 3 and 4) |
8. Price of Derivative Security (Instr. 5) |
9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) |
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Non-Qualified Stock Option (right to buy) | $ 54.3 | 11/21/2013 | M | 9,240 | 09/15/2013(2) | 09/15/2020 | Common Stock Class A | 9,240 | $ 0 | 9,240 | D | ||||
Non-Qualified Stock Option (right to buy) | $ 54.37 | 11/21/2013 | M | 5,340 | 09/15/2013(3) | 09/15/2021 | Common Stock Class A | 5,340 | $ 0 | 10,680 | D | ||||
Non-Qualified Stock Option (right to buy) | $ 56.87 | 11/21/2013 | M | 7,945 | 09/15/2013(4) | 09/15/2019 | Common Stock Class A | 7,945 | $ 0 | 0 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
DUFFY TERRENCE A 20 S. WACKER DRIVE CHICAGO, IL 60606 |
X | Executive Chairman & President |
By: Margaret Austin Wright For: Terrence Andrew Duffy | 11/22/2013 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 4(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
(1) | 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. |
(2) | 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. |
(3) | 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 |
(4) | As of September 15, 2013, this option vested with respect to 100% of the option. |