8-K

 

 

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 9, 2018

 

 

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)

 

 

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.

At the close of business on March 12, 2018, the record date of the Annual Meeting, the Company had 340,409,136 shares of Class A and Class B common stock issued and outstanding. The holders of a total of 301,780,934 shares of Class A and Class B common stock were present at the Annual Meeting, either in person or by proxy, which total constituted approximately 89% of the issued and outstanding shares on the record date for the Annual Meeting. Approximately, 36% of the Class B-2 and 36% of the Class B-3 shares of common stock were present at the Annual Meeting, either in person or by proxy. The proposals for the Class B-1 shareholders did not reach a quorum at the time of the Annual Meeting and were adjourned to May 23, 2018. The results for the adjourned Class B-1 proposals will be reported on a Current Report on Form 8-K within four business days of the meeting.

The results of the proposals are as follows:

 

  1. The election of fourteen Equity Directors to serve until 2019 (elected by the Class A and Class B shareholders voting together as a single class):

 

Name

           Votes For                    Against                    Abstain        

Terrence A. Duffy

   259,411,313    10,075,509    2,738,549

Timothy S. Bitsberger

   267,614,110    4,103,607    507,654

Charles P. Carey

   267,289,833    4,548,810    386,728

Dennis H. Chookaszian

   261,175,617    10,510,335    539,419

Ana Dutra

   269,625,589    1,952,691    647,091

Martin J. Gepsman

   257,033,246    14,737,331    454,794

Larry G. Gerdes

   263,692,437    8,030,245    502,689

Daniel R. Glickman

   255,620,106    16,070,884    534,381

Deborah J. Lucas

   269,383,352    2,343,348    498,671

Alex J. Pollock

   258,533,523    13,195,451    496,397

Terry L. Savage

   261,792,441    9,891,356    541,574

William R. Shepard

   239,016,516    32,736,038    472,817

Howard J. Siegel

   260,908,584    10,881,102    435,685

Dennis A. Suskind

   267,764,568    3,956,209    504,594

 

       There were a total of 29,555,563 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 2018 (ratified by the Class A and Class B shareholders voting together as a single class):

 

Votes For

  

Votes Against

  

Abstentions

296,866,209    4,603,461    311,264

 

  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

252,688,278    18,760,628    776,465

 

       There were a total of 29,555,563 broker non-votes in this proposal.


  4. The election of Class B Directors:

 

  a. The election of two Class B-2 Directors to serve until 2019 from a slate of four nominees (the nominees in bold were elected by the Class B-2 shareholders):

 

Name

   Votes For    Votes Against    Abstentions

Patrick W. Maloney

   72    61    135

Ronald A. Pankau

   186    20    70

David J. Wescott

   202    15    64

James J. Zellinger

   39    61    165

 

  c. The election of one Class B-3 Director to serve until 2019 from a slate of two nominees (the nominee in bold was elected by the Class B-3 shareholders):

 

Name

   Votes For    Votes Against    Abstentions

Elizabeth A. Cook

   346    36    58

Georgi Z. Komon Gold

   69    111    243

 

  5. The election of Class B Nominating Committees:

 

  a. The election of five members of the Class B-2 Nominating Committee to serve until 2019 from a slate of seven nominees (the nominees in bold were elected by the Class B-2 shareholders):

 

Name

   Votes For    Votes Against    Abstentions

Frank Catizone

   113    18    137

Richard J. Duran

   131    16    125

Yra G. Harris

   169    12    92

Patrick J. Lahey

   111    19    139

Patrick J. Mulchrone

   184    9    78

Stuart A. Unger

   114    18    139

Barry D. Ward

   145    10    115

 

  b. The election of five members of the Class B-3 Nominating Committee to serve until 2018 from a slate of nine nominees (the nominees in bold were elected by the Class B-3 shareholders):

 

Name

   Votes For    Votes Against    Abstentions

John F. Connors

   177    27    231

Joel P. Glickman

   181    54    204

Spencer K. Hauptman

   138    31    262

Kevin P. Heaney

   178    27    227

Robert J. Kevil Jr.

   102    54    274

Stephen J. Leuer

   79    77    274

Kimberly Marinaro

   138    61    232

Thomas G. Rossi

   188    25    220

Richard S. Turim

   143    47    241


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 15, 2018     By:   /s/ Kathleen M. Cronin
    Name:   Kathleen M. Cronin
    Title:   Senior Managing Director, General Counsel and Corporate Secretary