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) November 12, 2019

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))

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

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 5.02. Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers.

On November 12, 2019, Alex J. Pollock notified the Board of Directors of CME Group Inc. (the “Company”) of his intent to retire from the Company’s Board of Directors, effective as of November 15, 2019. Mr. Pollock’s decision to resign did not involve any disagreement with the Company, the Company’s management or the Board of Directors.

As described in the attached press release, Mr. Pollock will be joining the U.S. Treasury Department as Principal Deputy Director of the Office of Financial Research.

Item 7.01 Regulation FD Disclosure.

The Company issued a press release regarding the retirement of Mr. Pollock. A copy of the press release, which is attached to this current report on Form 8-K as Exhibit 99.1, is hereby furnished pursuant to this Item 7.01.

Item 9.01 Financial Statements and Exhibits.

(d) Exhibits.

Exhibit  Number		Description
	99.1	Press release, dated November 12, 2019, announcing Alex J. Pollock’s retirement
	104	Cover Page Interactive Data File (embedded within the Inline XBRL document)

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: November 13, 2019	By:	/s/ Kathleen M. Cronin
	Name:	Kathleen M. Cronin
	Title:	Senior Managing Director, General Counsel and Corporate Secretary

EX-99.1

Exhibit 99.1

Media Contacts Anita Liskey, 312.466.4613 Laurie Bischel, 312.648.8698 news@cmegroup.com www.cmegroup.mediaroom.com Investor Contact John Peschier, 312.930.8491 CME-G

FOR IMMEDIATE RELEASE

CME Group Announces Resignation of Alex J. Pollock from Its Board of Directors to Accept Senior Position with the U.S. Treasury

CHICAGO, November 12, 2019 – CME Group today announced that Alex J. Pollock will step down from the company’s Board of Directors effective November 15 as he accepts a new role within the U.S. Treasury Department as Principal Deputy Director of the Office of Financial Research. Pollock has served as a CME Group director since 2004.

“We sincerely thank Alex for more than 15 years of leadership on the CME Group Board,” said CME Group Chairman and Chief Executive Officer Terry Duffy. “He has made many contributions and was instrumental in helping our institution manage through significant market events and with its ongoing organizational development. While we are sorry to see him leave the Board, we wish him well in his new position with Treasury.”

“It has been a privilege to serve on the Board of CME Group,” said Pollock. “I have greatly enjoyed the opportunity to work closely with its outstanding Chairman and CEO, Terry Duffy, my colleagues on the Board, and the talented management team as the company has transformed into the global industry leader it is today. At the U.S. Treasury, I look forward to helping the nation cope with the evolution of systemic risk and with inevitable financial cycles.”

During his tenure on the CME Group Board, Pollock has served as chairman of the Compensation Committee and of the Nominating Committee as well as a member of the Executive, Finance, Governance, Clearing House Oversight and Market Regulation Oversight Committees. He was Lead Director August 2012 – August 2014.

Pollock has been the Distinguished Senior Fellow, Financial Markets, at the R Street Institute in Washington DC since January 2016. He previously served as Resident Fellow of the American Enterprise Institute 2004-2016 and as President and CEO of the Federal Home Loan Bank of Chicago 1991-2004. He is the author of Boom and Bust (2011) and Finance and Philosophy: Why We’re Always Surprised (2018).

As the world’s leading and most diverse derivatives marketplace, CME Group (www.cmegroup.com) is where the world comes to manage risk. CME Group exchanges offer the widest range of global benchmark products across all major asset classes, including futures and options based on interest rates, equity indexes, foreign exchange, energy, agricultural products and metals. Around the world, CME Group brings buyers and sellers together through its CME Globex^® electronic trading platform. CME Group also operates one of the world’s leading central counterparty clearing providers through CME Clearing, which offers clearing and settlement services across asset classes for exchange-traded and over-the-counter derivatives. CME Group products and services ensure that businesses around the world can effectively manage risk and achieve growth.

CME Group, the Globe logo, CME, Chicago Mercantile Exchange, Globex and E-mini are trademarks of Chicago Mercantile Exchange Inc. CBOT, Chicago Board of Trade, KCBT and Kansas City Board of Trade are trademarks of Board of Trade of the City of Chicago, Inc. NYMEX, New York Mercantile Exchange and ClearPort are trademarks of New York Mercantile Exchange, Inc. COMEX is a trademark of Commodity Exchange, Inc. Dow Jones, Dow Jones Industrial Average, S&P 500 and S&P are service and/or trademarks of Dow Jones Trademark Holdings LLC, Standard & Poor’s Financial Services LLC and S&P/Dow Jones Indices LLC, as the case may be, and have been licensed for use by Chicago Mercantile Exchange Inc. All other trademarks are the property of their respective owners.

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20 South Wacker Drive Chicago, Illinois 60606 cmegroup.com

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Document and Entity Information	Nov. 12, 2019
Cover [Abstract]
Amendment Flag	false
Entity Central Index Key	0001156375
Document Type	8-K
Document Period End Date	Nov. 12, 2019
Entity Registrant Name	CME GROUP INC.
Entity Incorporation State Country Code	DE
Entity File Number	001-31553
Entity Tax Identification Number	36-4459170
Entity Address, Address Line One	20 South Wacker Drive
Entity Address, City or Town	Chicago
Entity Address, State or Province	IL
Entity Address, Postal Zip Code	60606
City Area Code	(312)
Local Phone Number	930-1000
Written Communications	false
Soliciting Material	false
Pre Commencement Tender Offer	false
Pre Commencement Issuer Tender Offer	false
Security 12b Title	Class A Common Stock
Trading Symbol	CME
Security Exchange Name	NASDAQ
Entity Emerging Growth Company	false