Affiliate Files Form 144 to Resell Awards — CME (NASDAQ: CME)

Rhea-AI Filing Summary

Morgan Stanley Smith Barney LLC Executive Financial Services reported proposed sales under a Form 144 of several equity award lots, including 2,947 Performance Shares dated 03/15/2024 and multiple Restricted Stock lots dated 03/16/2024, 09/15/2024, and 09/15/2025 with counts of 498, 180, 475, 525, and 535 respectively.

Insights

Corporate Governance Analyst

Form 144 lists proposed resale lots of award shares by an affiliate.

The filing enumerates specific award grants and dates, notably 2,947 Performance Shares (03/15/2024) and multiple Restricted Stock lots (counts shown). This is a notification of intended resale under securities rules rather than a transaction confirmation.

Watch for subsequent filings that report actual trades and resulting ownership disclosures; timing, sale method, and proceeds are governed by applicable transfer rules and market conditions.

Form 144 Filer Information	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 144 NOTICE OF PROPOSED SALE OF SECURITIES PURSUANT TO RULE 144 UNDER THE SECURITIES ACT OF 1933
FORM 144

144: Filer Information

Filer CIK
Filer CCC
Is this a LIVE or TEST Filing?	LIVE TEST
Submission Contact Information
Name
Phone
E-Mail Address

144: Issuer Information

Name of Issuer

SEC File Number

Address of Issuer

Phone

Name of Person for Whose Account the Securities are To Be Sold

See the definition of "person" in paragraph (a) of Rule 144. Information is to be given not only as to the person for whose account the securities are to be sold but also as to all other persons included in that definition. In addition, information shall be given as to sales by all persons whose sales are required by paragraph (e) of Rule 144 to be aggregated with sales for the account of the person filing this notice.

Relationship to Issuer

144: Securities Information

Title of the Class of Securities To Be Sold	Name and Address of the Broker	Number of Shares or Other Units To Be Sold	Aggregate Market Value	Number of Shares or Other Units Outstanding	Approximate Date of Sale	Name the Securities Exchange
Common	Morgan Stanley Smith Barney LLC Executive Financial Services 1 New York Plaza 8th Floor New York NY 10004	5160	1594453.93	358622331	03/12/2026	NASDAQ

Furnish the following information with respect to the acquisition of the securities to be sold and with respect to the payment of all or any part of the purchase price or other consideration therefor:

144: Securities To Be Sold

Title of the Class	Date you Acquired	Nature of Acquisition Transaction	Name of Person from Whom Acquired	Is this a Gift?	Date Donor Acquired	Amount of Securities Acquired	Date of Payment	Nature of Payment *
Common	09/15/2024	Restricted Stock	Issuer			498	09/15/2024	Not Applicable
Common	03/16/2024	Restricted Stock	Issuer			180	03/16/2024	Not Applicable
Common	03/15/2024	Performance Shares	Issuer			2947	03/15/2024	Not Applicable
Common	09/15/2024	Restricted Stock	Issuer			475	09/15/2024	Not Applicable
Common	09/15/2024	Restricted Stock	Issuer			525	09/15/2024	Not Applicable
Common	09/15/2025	Restricted Stock	Issuer			535	09/15/2025	Not Applicable

* If the securities were purchased and full payment therefor was not made in cash at the time of purchase, explain in the table or in a note thereto the nature of the consideration given. If the consideration consisted of any note or other obligation, or if payment was made in installments describe the arrangement and state when the note or other obligation was discharged in full or the last installment paid.

Furnish the following information as to all securities of the issuer sold during the past 3 months by the person for whose account the securities are to be sold.

144: Securities Sold During The Past 3 Months

Nothing to Report

144: Remarks and Signature

Remarks

Date of Notice

ATTENTION:

The person for whose account the securities to which this notice relates are to be sold hereby represents by signing this notice that he does not know any material adverse information in regard to the current and prospective operations of the Issuer of the securities to be sold which has not been publicly disclosed. If such person has adopted a written trading plan or given trading instructions to satisfy Rule 10b5-1 under the Exchange Act, by signing the form and indicating the date that the plan was adopted or the instruction given, that person makes such representation as of the plan adoption or instruction date.

Signature

ATTENTION: Intentional misstatements or omission of facts constitute Federal Criminal Violations (See 18 U.S.C. 1001)

FAQ

What does the Form 144 filed for CME show?

The filing lists proposed resales of equity awards by an affiliate. It includes 2,947 Performance Shares (03/15/2024) and several Restricted Stock lots dated 03/16/2024 and 09/15/2024 and 09/15/2025 with counts shown.

Do the Form 144 entries mean the shares have already been sold?

No. Form 144 is a notice of proposed sale under resale rules. It identifies planned lots and grant dates; actual sales must be reported separately when executed and settled in public filings or broker reports.

What quantities of restricted stock are listed in the filing?

The filing lists Restricted Stock lots of 498, 180, 475, 525, and 535 shares tied to grant dates in 2024 and 2025, each labeled with its respective grant date in the table.

Which award in the filing is the largest single lot?

The largest single lot shown is 2,947 Performance Shares dated 03/15/2024. Other lots listed are Restricted Stock grants with smaller share counts on the dates provided.

Will this Form 144 change CME's outstanding share count?

The Form 144 itself is a reseller notice and does not alter outstanding shares. Any change to outstanding share counts would occur if and when the listed shares are sold and reported in subsequent filings or exchange records.