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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 | ||||||||
Option: Right to Buy | $ 72.05 | 06/25/2013 | D | 1,000 | (1) | (1) | Class A Common Stock, par value $0.08 per share | 1,000 | (1) | 0 | D | ||||
Option: Right to Buy | $ 113.56 | 06/25/2013 | D | 1,000 | (2) | (2) | Class A Common Stock, par value $0.08 per share | 1,000 | (2) | 0 | D | ||||
Option: Right to Buy | $ 22.64 | 06/25/2013 | D | 2,000 | (3) | (3) | Class A Common Stock, par value $0.08 per share | 2,000 | (3) | 0 | D | ||||
Option: Right to Buy | $ 17.52 | 06/25/2013 | D | 2,000 | (4) | (4) | Class A Common Stock, par value $0.08 per share | 2,000 | (4) | 0 | D | ||||
Option: Right to Buy | $ 22.38 | 06/25/2013 | D | 7,500 | (5) | (5) | Class A Common Stock, par value $0.08 per share | 7,500 | (5) | 0 | D | ||||
Restricted Stock Units | (6) | 06/25/2013 | A | 4,233 | (7) | (7) | Class A Common Stock, par value $0.08 per share | 4,233 | (8) | 4,233 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Stancu Ionut-Ciprian BOULEVARD PACHE PROTOPOPESCU 109 BUCHAREST, S5 021409 |
Head of CME Group Sales |
/s/ Lucia Laurincova on behalf of Ciprian Stancu | 06/26/2013 | |
**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 June 25, 2013, the issuer cancelled, pursuant to the issuers Offer to Exchange Certain Outstanding Stock Options for Restricted Stock Units dated May 24, 2013 ("Offer to Exchange"), options granted to the reporting person on December 14, 2006. In exchange, the reporting person received 18 restricted stock units in accordance with the terms of the Offer to Exchange. |
(2) | On June 25, 2013, the issuer cancelled, pursuant to the Offer to Exchange, options granted to the reporting person on December 5, 2007. In exchange, the reporting person received 3 restricted stock units in accordance with the terms of the Offer to Exchange. |
(3) | On June 25, 2013, the issuer cancelled, pursuant to the Offer to Exchange, options granted to the reporting person on December 16, 2008. In exchange, the reporting person received 303 restricted stock units in accordance with the terms of the Offer to Exchange. |
(4) | On June 25, 2013, the issuer cancelled, pursuant to the Offer to Exchange, options granted to the reporting person on May 15, 2009. In exchange, the reporting person received 159 restricted stock units in accordance with the terms of the Offer to Exchange. |
(5) | On June 25, 2013, the issuer cancelled, pursuant to the Offer to Exchange, options granted to the reporting person on May 16, 2011. In exchange, the reporting person received 3,750 restricted stock units in accordance with the terms of the Offer to Exchange. |
(6) | Each restricted stock unit represents a contingent right to receive one share of Class A Common Stock. |
(7) | Subject to the award agreement, 1,411 of these time-vested restricted stock units will vest on each of 6/25/2014, 6/25/2015 and 6/25/2016. |
(8) | Restricted stock units were granted in exchange of certain outstanding stock options in accordance with the Offer to Exchange. |