Annual Statement of Changes in Beneficial Ownership (5)
February 12 2021 - 3:07PM
Edgar (US Regulatory)
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
[ ]
Form 3 Holdings Reported
[ ]
Form 4 Transactions Reported
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
ANNUAL STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
|
OMB APPROVAL
OMB Number:
3235-0362
Estimated average burden hours per response...
1.0
|
|
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
|
|
1. Name and Address of Reporting Person
*
Sammann Derek | 2. Issuer Name and Ticker or Trading SymbolCME GROUP INC. [CME] |
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director _____ 10% Owner __X__ Officer (give title below) _____ Other (specify below) Sr MD Gl Hd Commodity & Option |
(Last)
(First)
(Middle)
20 S. WACKER DRIVE | 3. Statement for Issuer's Fiscal Year Ended (MM/DD/YYYY) 12/31/2020 |
(Street)
CHICAGO, IL 60606
(City)
(State)
(Zip)
| 4. If Amendment, Date Original Filed(MM/DD/YYYY) | 6. Individual or Joint/Group Filing(Check Applicable Line)
_X_ Form Filed by One Reporting Person
___ Form Filed by More than One Reporting Person
|
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
|
1.Title of Security (Instr. 3) | 2. Trans. Date | 2A. Deemed Execution Date, if any | 3. Trans. Code (Instr. 8) | 4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) | 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) | 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) | 7. Nature of Indirect Beneficial Ownership (Instr. 4) |
Amount | (A) or (D) | Price |
Common Stock Class A | 11/23/2020 | | G | 540 | A | $0.0 | 931 | I | by Children (1) |
Common Stock Class A | 6/12/2020 | | G | 4485 | A | $0.0 | 16394 | I | by Spouse (2) |
Common Stock Class A | 11/23/2020 | | G | 2137 | A | $0.0 | 20879 | I | by Spouse (2) |
Common Stock Class A | 6/12/2020 | | J | 5064 (3) | A | $0.0 | 21811 | I | by Trust |
Common Stock Class A | | | | | | | 9515 | D | |
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
|
1. Title of Derivate Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any | 4. Trans. 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 (MM/DD/YYYY) | 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) | 8. Price of Derivative Security (Instr. 5) | 9. Number of Derivative Securities Beneficially Owned at End of Issuer's Fiscal Year (Instr. 4) | 10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) |
(A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Explanation of Responses: |
(1) | This transaction represented a gift of securities from the reporting person to his children, one of whom shares reporting person's household. The reporting person disclaims beneficial ownership of the shares held by his children, and this report shall not be deemed as an admission that the reporting person is the beneficial owner of his children's shares for purposes of Section 16 or for any other purpose. |
(2) | This transaction represented a gift of securities from the reporting person to his spouse. The reporting person disclaims beneficial ownership of the shares held by his spouse, and this report shall not be deemed as an admission that the reporting person is the beneficial owner of his spouse's shares for purposes of Section 16 or for any other purpose. |
(3) | Ownership has been updated to reflect the transfer of CME Group Class A common stock to reporting person's revocable living trust. |
Reporting Owners
|
Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Sammann Derek 20 S. WACKER DRIVE CHICAGO, IL 60606 |
|
| Sr MD Gl Hd Commodity & Option |
|
Signatures
|
By: Margaret Austin Wright For: Derek Louis Sammann | | 2/12/2021 |
**Signature of Reporting Person | Date |
CME (NASDAQ:CME)
Historical Stock Chart
From Mar 2024 to Apr 2024
CME (NASDAQ:CME)
Historical Stock Chart
From Apr 2023 to Apr 2024