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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 | ||||||||
Restricted Stock Units | (2) | 03/07/2018 | M | 10,163 | (5) | (5) | Class A Common Stock | 10,163 | $ 0 | 20,326 | D | ||||
Restricted Stock Units | (2) | 03/07/2018 | M | 12,097 | (6) | (6) | Class A Common Stock | 12,097 | $ 0 | 36,291 | D | ||||
Restricted Stock Units | (7) | 03/05/2018 | A | 82,048 | (8) | (8) | Class A Common Stock | 82,048 | $ 0 | 82,048 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Penn Daniel C/O CME MEDIA SERVICES LIMITED BRANCH KRIZENECKEHO NAM. 1078/5A PRAGUE, 2N 15200 |
EVP, General Counsel |
/s/ Lucia Laurincova on behalf of Daniel Penn | 03/07/2018 | |
**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) | Shares of Class A Common Stock acquired upon the vesting and settlement of part of a grant of time-based restricted stock units made on March 7, 2016. |
(2) | Each restricted stock unit represents a contingent right to receive one share of Class A Common Stock. The Reporting Person is entitled to receive one share of Class A Common Stock for each restricted stock unit that vested. |
(3) | Shares of Class A Common Stock acquired upon the vesting and settlement of part of a grant of time-based restricted stock units made on March 7, 2017. |
(4) | Payment of tax liability by withholding shares of common stock incident to the vesting and settlement of restricted stock units referred to in footnote (1) and footnote (3) of this Form 4. |
(5) | Represents the number from a grant of restricted stock units made to the Reporting Person on March 7, 2016 that settled on March 7, 2018. |
(6) | Represents the number from a grant of restricted stock units made to the Reporting Person on March 7, 2017 that settled on March 7, 2018. |
(7) | Each restricted stock unit represents a contingent right to receive one share of Class A Common Stock. |
(8) | Unless earlier forfeited under the award agreement, 20,512 restricted stock units will vest on each of 03/05/2019, 03/05/2020, 03/05/2021 and 03/05/2022. |