false 0001156375 0001156375 2023-05-04 2023-05-04

 

 

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 9, 2023 (May 4, 2023)

 

 

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 2023 Annual Meeting of Shareholders on May 4, 2023 (the “Annual Meeting”).

At the close of business on March 6, 2023, the record date of the Annual Meeting, the Company had 359,742,876 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

    310,372,673    86.27%

Class B-1

    154    24.64%

Class B-2

    185    22.75%

Class B-3

    240    18.64%

Class B-4

    70    16.94%

The results of the proposals are as follows:

 

  1.

The election of seventeen Equity Directors to serve until 2024 (elected by the Class A and Class B shareholders voting together as a single class):

 

Name

    Votes For    Against    Abstain

Terrence A. Duffy

    257,479,451    25,732,170    2,098,057

Kathryn Benesh

    282,267,364    2,555,828    486,486

Timothy S. Bitsberger

    198,497,526    86,445,091    367,061

Charles P. Carey

    155,494,092    129,564,682    250,904

Bryan T. Durkin

    267,937,596    17,028,091    343,991

Harold Ford Jr.

    281,691,480    3,189,468    428,730

Martin J. Gepsman

    235,257,908    49,757,675    294,095

Larry G. Gerdes

    230,887,901    53,928,040    493,737

Daniel R. Glickman

    176,633,967    108,293,802    381,909

Daniel G. Kaye

    273,525,747    11,242,868    541,063

Phyllis M. Lockett

    188,837,757    95,728,347    743,574

Deborah J. Lucas

    279,035,366    5,735,455    538,857

Terry L. Savage

    181,492,942    103,516,285    300,451

Rahael Seifu

    208,237,395    76,506,646    565,637

William R. Shepard

    259,019,070    25,988,278    302,350

Howard J. Siegel

    250,269,690    34,605,690    434,298

Dennis A. Suskind

    240,914,215    43,968,153    427,310

There were a total of 25,062,995 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 2023 (ratified by the Class A and Class B shareholders voting together as a single class):

 

Votes For

  

Votes Against

  

Abstentions

288,023,555   22,067,160   281,958

 

  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

91,525,185   192,824,961   959,532

There were a total of 25,062,995 broker non-votes in this proposal.

 

  4.

The advisory vote on the frequency of future advisory votes on the compensation of the Company’s named executive officers of one year was approved:

 

1 Year

  

2 Years

  

3 Years

  

Abstentions

280,593,543   331,495   3,580,093   804,547

There were a total of 25,062,995 broker non-votes in this proposal.

The Board of Directors will follow its recommendation to include a non-binding advisory vote on the compensation of the Company’s named executive officers at each annual meeting until the next required vote on the frequency of future advisory votes on the compensation of the Company’s named executive officers at its 2029 annual meeting.

 

  5.

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 2024 Annual Meeting or their earlier resignation or removal.

 

Name

    Votes For    Votes Against    Abstentions

William W. Hobert

    145    4    5

Patrick J. Mulchrone

    150    1    3

Robert J. Tierney Jr.

    147    4    3

 

  a.

In the election of the two Class B-2 Directors, no quorum was achieved. Therefore, Michael G. Dennis and Patrick W. Maloney 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 2024 Annual Meeting or their earlier resignation or removal.

 

Name

    Votes For    Votes Against    Abstentions

Michael G. Dennis

    166    12    7

Patrick W. Maloney

    172    7    6

 

  b.

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 2024 Annual Meeting or her earlier resignation or removal.

 

Name

    Votes For    Votes Against    Abstentions

Elizabeth A. Cook

    201    34    5

 

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 9, 2023     By:  

/s/ Jonathan Marcus

    Name:       Jonathan Marcus
    Title:       Senior Managing Director and
          General Counsel
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