8-K
false 0001156375 0001156375 2022-05-04 2022-05-04

 

 

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 6, 2022 (May 4, 2022)

 

 

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 2022 Annual Meeting of Shareholders on May 4, 2022 (the “Annual Meeting”).

At the close of business on March 7, 2022, the record date of the Annual Meeting, the Company had 359,422,597 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

     297,860,848        82.87

Class B-1

     190        30.40

Class B-2

     349        42.92

Class B-3

     330        25.64

Class B-4

     107        25.90

The results of the proposals are as follows:

 

  1.

The election of seventeen Equity Directors to serve until 2023 (elected by the Class A and Class B shareholders voting together as a single class):

 

Name

  

Votes For

    

Against

    

Abstain

 

Terrence A. Duffy

     248,439,611        25,821,018        2,038,398  

Timothy S. Bitsberger

     250,579,179        25,391,511        328,337  

Charles P. Carey

     250,391,622        25,579,160        328,245  

Dennis H. Chookaszian

     255,507,968        20,458,209        332,850  

Bryan T. Durkin

     256,901,192        18,960,246        437,589  

Ana Dutra

     218,730,962        57,081,772        486,293  

Martin J. Gepsman

     243,199,348        32,613,790        485,889  

Larry G. Gerdes

     249,100,714        26,853,108        345,205  

Daniel R. Glickman

     220,951,812        52,198,553        3,148,662  

Daniel G. Kaye

     265,294,877        10,502,154        501,996  

Phyllis M. Lockett

     266,199,316        9,590,906        508,805  

Deborah J. Lucas

     273,577,794        2,204,112        517,121  

Terry L. Savage

     225,950,494        50,046,670        301,863  

Rahael Seifu

     273,852,046        1,951,407        495,574  

William R. Shepard

     252,111,431        23,892,901        294,695  

Howard J. Siegel

     254,036,522        21,970,761        291,744  

Dennis A. Suskind

     248,637,611        27,303,495        357,921  

There were a total of 21,561,821 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 2022 (ratified by the Class A and Class B shareholders voting together as a single class):

 

Votes For

 

Votes Against

 

Abstentions

288,034,439   9,562,741   263,668

 

  3.

The advisory vote of the compensation of the Company’s named executive officers (by the Class A and Class B shareholders voting together as a single class) was not approved:

 

Votes For

 

Votes Against

 

Abstentions

64,176,239   211,462,766   660,022

There were a total of 21,561,821 broker non-votes in this proposal.

 

  4.

The approval of the Amended and Restated CME Group Inc. Omnibus Stock Plan (approved by the Class A and Class B shareholders voting together as a single class):

 

Votes For

 

Votes Against

 

Abstentions

229,106,367   46,633,553   559,107

There were a total of 21,561,821 broker non-votes in this proposal.

 

  5.

The approval of the Amended and Restated CME Group Inc. Director Stock Plan (approved by the Class A and Class B shareholders voting together as a single class):

 

Votes For

 

Votes Against

 

Abstentions

264,516,229   11,143,316   639,482

There were a total of 21,561,821 broker non-votes in this proposal.

 

  6.

The approval of the Amended and Restated CME Group Inc. Employee Stock Purchase Plan (approved by the Class A and Class B shareholders voting together as a single class):

 

Votes For

 

Votes Against

 

Abstentions

274,625,906   1,154,220   518,901

There were a total of 21,561,821 broker non-votes in this proposal.

 

  7.

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 2023 Annual Meeting or their earlier resignation or removal.


Name

  

Votes For

  

Votes Against

  

Abstentions

William W. Hobert

   171    9    10

Patrick J. Mulchrone

   177    4    9

Robert J. Tierney Jr.

   177    7    6

 

  b.

The election of two Class B-2 Directors to serve until 2023 from a slate of three nominees (the nominees in bold were elected by the Class B-2 shareholders):

 

Name

  

Votes For

  

Votes Against

  

Abstentions

Michael G. Dennis

   208    0    141

Patrick W. Maloney

   256    0    93

John (Jack) D. Newhouse Jr.

   154    0    195

 

  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 2023 Annual Meeting or her earlier resignation or removal.

 

Name

   Votes For    Votes Against    Abstentions

Elizabeth A. Cook

   289    31    10


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 6, 2022     By:  

/s/ John W. Pietrowicz

    Name:   John W. Pietrowicz
    Title:   Senior Managing Director and Chief Financial Officer