Initial Statement of Beneficial Ownership (3)
December 19 2014 - 12:36PM
Edgar (US Regulatory)
FORM 3
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
OMB Number:
3235-0104
Estimated average burden
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
*
Pietrowicz John W.
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2. Date of Event Requiring Statement (MM/DD/YYYY)
12/10/2014
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3. Issuer Name
and
Ticker or Trading Symbol
CME GROUP INC. [CME]
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(Last)
(First)
(Middle)
20 S. WACKER DRIVE
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4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
_____ Director
_____ 10% Owner
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X
___ Officer (give title below)
_____ Other (specify below)
CFO & Sr MD Finance /
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(Street)
CHICAGO, IL 60606
(City)
(State)
(Zip)
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5. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
_
X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Beneficially Owned
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1.Title of Security
(Instr. 4)
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2. Amount of Securities Beneficially Owned
(Instr. 4)
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3. Ownership Form: Direct (D) or Indirect (I)
(Instr. 5)
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4. Nature of Indirect Beneficial Ownership
(Instr. 5)
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Class A Common Stock
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35368
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D
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Table II - Derivative Securities Beneficially Owned (
e.g.
, puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security
(Instr. 4)
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2. Date Exercisable and Expiration Date
(MM/DD/YYYY)
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3. Title and Amount of Securities Underlying Derivative Security
(Instr. 4)
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4. Conversion or Exercise Price of Derivative Security
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5. Ownership Form of Derivative Security: Direct (D) or Indirect (I)
(Instr. 5)
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6. Nature of Indirect Beneficial Ownership
(Instr. 5)
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Date Exercisable
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Expiration Date
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Title
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Amount or Number of Shares
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Non-Qualified Stock Option (right to buy)
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9/15/2013
(1)
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9/15/2019
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Common Stock Class A
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4160
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$56.87
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D
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Non-Qualified Stock Option (right to buy)
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3/15/2011
(2)
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3/15/2016
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Common Stock Class A
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500
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$86.09
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D
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Non-Qualified Stock Option (right to buy)
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6/15/2011
(3)
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6/15/2016
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Common Stock Class A
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3900
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$88.13
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D
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Non-Qualified Stock Option (right to buy)
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6/15/2012
(4)
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6/15/2017
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Common Stock Class A
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4625
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$110.54
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D
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Non-Qualified Stock Option (right to buy)
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6/16/2013
(5)
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6/16/2018
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Common Stock Class A
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5175
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$83.88
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D
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Non-Qualified Stock Option (right to buy)
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3/15/2014
(6)
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3/15/2020
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Common Stock Class A
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1740
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$62.83
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D
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Non-Qualified Stock Option (right to buy)
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9/15/2014
(7)
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9/15/2020
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Common Stock Class A
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12060
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$5430
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D
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Non-Qualified Stock Option (right to buy)
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9/15/2014
(8)
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9/15/2021
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Common Stock Class A
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5000
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$54.37
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D
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Non-Qualfied Stock (right to buy)
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6/15/2010
(9)
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6/15/2015
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Common Stock Class A
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4000
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$50.39
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D
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Explanation of Responses:
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(
1)
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As of 9/15/2013, this option vested with respect to 100% of the granted number of shares covered by the option.
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(
2)
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As of 3/15/2011, this option vested with respect to 100% of the granted number of shares covered by the option.
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(
3)
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As of 6/15/2011, this option vested with respect to 100% of the granted number of shares covered by the option.
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(
4)
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As of 6/15/2012, this option vested with respect to 100% of the granted number of shares covered by the option.
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(
5)
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As of 6/16/2013, this option vested with respect to 100% of the granted number of shares covered by the option.
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(
6)
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As of 3/15/2014, this option vested with respect to 100% of the granted number of shares coverd by the option.
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(
7)
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As of 9/15/2014, this option vested with respect to 100% of the granted number of shares coverd by the option.
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(
8)
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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.
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(
9)
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As of 6/15/2009, this option vested with respect to 100% of the granted number of shares covered by the option.
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Reporting Owners
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Reporting Owner Name / Address
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Relationships
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Director
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10% Owner
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Officer
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Other
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Pietrowicz John W.
20 S. WACKER DRIVE
CHICAGO, IL 60606
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CFO & Sr MD Finance
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Signatures
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Margaret Austin Wright for John W. Pietrowicz
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12/19/2014
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**
Signature of Reporting Person
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Date
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
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*
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If the form is filed by more than one reporting person,
see
Instruction 5(b)(v).
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**
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Intentional misstatements or omissions of facts constitute Federal Criminal Violations.
See
18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
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Note:
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File three copies of this Form, one of which must be manually signed. If space is insufficient,
see
Instruction 6 for procedure.
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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.
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