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UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

WASHINGTON, D.C. 20549

 

 

FORM 8-K

 

 

CURRENT REPORT

PURSUANT TO SECTION 13 OR 15(d)

OF THE SECURITIES EXCHANGE ACT OF 1934

Date of report (Date of earliest event reported)

May 10, 2021 (May 5, 2021)

 

 

CME GROUP INC.

(Exact Name of Registrant as Specified in Charter)

 

 

 

Delaware   001-31553   36-4459170

(State or Other Jurisdiction

of Incorporation)

 

(Commission

File No.)

 

(IRS Employer

Identification No.)

20 South Wacker Drive

Chicago, Illinois 60606

(Address of Principal Executive Offices) (Zip Code)

Registrant’s telephone number, including area code: (312) 930-1000

N/A

(Former Name or Former Address, if Changed Since Last Report)

 

 

Securities registered pursuant to Section 12(b) of the Act:

 

Title of each class

 

Trading

symbol

 

Name of each exchange

on which registered

Class A Common Stock   CME   Nasdaq

Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions (see General Instruction A.2. below):

Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)

Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)

Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))

Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))

Indicate by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of 1933 (§230.405 of this chapter) or Rule 12b-2 of the Securities Exchange Act of 1934 (§240.12b-2 of this chapter).

Emerging growth company  

If an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 13(a) of the Exchange Act.  ☐

 

 

 


Item 5.07.

Submission of Matters to a Vote of Security Holders.

CME Group Inc. (the “Company”) held its 2021 Annual Meeting of Shareholders on May 5, 2021 (the “Annual Meeting”).

At the close of business on March 8, 2021, the record date of the Annual Meeting, the Company had 359,056,196 shares of Class A and Class B common stock issued and outstanding. The following shares were present at the Annual meeting, either in person at the virtual shareholder meeting or by proxy.

 

Class(es) of Common Stock

   Aggregate No.
of Shares
     % of the
Issued and
Outstanding
 

Classes A and B

     296,276,223        82.51

Class B-1

     175        28.00

Class B-2

     320        39.36

Class B-3

     309        24.00

Class B-4

     93        22.51

The results of the proposals are as follows:

 

  1.

The election of seventeen Equity Directors to serve until 2022 (elected by the Class A and Class B shareholders voting together as a single class):

 

Name

   Votes For      Against      Abstain  

Terrence A. Duffy

     247,159,352        23,751,722        2,458,419  

Timothy S. Bitsberger

     257,961,211        15,081,204        327,078  

Charles P. Carey

     257,553,681        15,517,133        298,679  

Dennis H. Chookaszian

     256,357,277        16,692,322        319,894  

Bryan T. Durkin

     260,298,501        12,724,491        346,501  

Ana Dutra

     268,294,198        4,664,426        410,869  

Martin J. Gepsman

     252,207,306        20,811,707        350,480  

Larry G. Gerdes

     255,696,073        17,344,037        329,383  

Daniel R. Glickman

     219,859,522        50,001,771        3,508,260  

Daniel G. Kaye

     266,656,881        6,279,037        433,575  

Phyllis M. Lockett

     244,085,558        28,851,919        432,016  

Deborah J. Lucas

     270,752,621        2,191,894        424,978  

Terry L. Savage

     253,214,960        19,851,125        303,408  

Rahael Seifu

     271,669,471        1,272,392        427,630  

William R. Shepard

     258,212,621        14,830,058        326,814  

Howard J. Siegel

     259,339,392        13,694,251        335,850  

Dennis A. Suskind

     254,358,055        18,707,642        303,796  

There were a total of 22,906,730 broker non-votes in this proposal.


  2.

The ratification of the appointment of Ernst & Young LLP as the Company’s independent public accounting firm for 2021 (ratified by the Class A and Class B shareholders voting together as a single class):

 

Votes For

 

Votes Against

 

Abstentions

290,527,012   5,313,241   435,970

 

  3.

The approval, by advisory vote, of the compensation of the Company’s named executive officers (approved by the Class A and Class B shareholders voting together as a single class):

 

Votes For

 

Votes Against

 

Abstentions

246,577,868   25,639,350   1,152,275

There were a total of 22,906,730 broker non-votes in this proposal.

 

  4.

The election of Class B Directors:

 

  a.

In the election of the three Class B-1 Directors, no quorum was achieved. Therefore, William W. Hobert, Patrick J. Mulchrone and Robert J. Tierney Jr. are each a “holdover” under Delaware law and the Company’s bylaws. They will continue to serve until their successors are duly elected at the 2022 Annual Meeting or their earlier resignation or removal.

 

Name

 

Votes For

 

Votes Against

 

Abstentions

William W. Hobert

  156   8   11

Patrick J. Mulchrone

  158   9   8

Robert J. Tierney Jr.

  160   5   10

 

  b.

The election of two Class B-2 Directors to serve until 2022 from a slate of four nominees (the nominees in bold were elected by the Class B-2 shareholders):

 

Name

 

Votes For

 

Votes Against

 

Abstentions

Michael G. Dennis

  168   1   151

Yra G. Harris

  89   1   230

Patrick W. Maloney

  173   0   147

John (Jack) D. Newhouse Jr.

  145   1   174

 

  c.

In the election of one Class B-3 Director, no quorum was achieved. Therefore, Elizabeth A. Cook is a “holdover” under Delaware law and the Company’s bylaws. She will continue to serve until her successor is duly elected at the 2022 Annual Meeting or her earlier resignation or removal.

 

Name

 

Votes For

 

Votes Against

 

Abstentions

Elizabeth A. Cook

  273   22   14


SIGNATURES

Pursuant to the requirements of the Securities Exchange Act of 1934, as amended, the registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.

 

    CME Group Inc.
    Registrant
Date: May 10, 2021     By:  

/s/ Kathleen M. Cronin

    Name:   Kathleen M. Cronin
    Title:   Senior Managing Director, General Counsel and Corporate Secretary