Document:

CME-2012.12.31 10K Ex 10.1

Exhibit 10.1
FIRST AMENDMENT TO THE 
CME GROUP INC. AMENDED AND RESTATED 
OMNIBUS STOCK PLAN
(Effective as of May 23, 2012)

This First Amendment (“First Amendment”) amends the CME Group Inc. Amended and Restated Omnibus Stock Plan (effective as of May 23, 2012 and hereinafter, the “Plan”).  All capitalized terms used but not defined herein shall have the meanings assigned to those terms under the Plan.  
		
	1.
	Pursuant to Section 11.1 of the Plan, Section 8.2.3 of the Plan is hereby restated in its entirety, as follows:

8.2.3    Settlement of Vested Performance Share Awards.  The Award Agreement pertaining to a Performance Share Award (i) shall specify whether such Award may be settled in Shares (including Shares of Restricted Stock) or cash or a combination thereof and (ii) may specify whether the holder thereof shall be entitled to receive, on a deferred basis, Dividend Equivalent Rights. If a Performance Share Award is settled in Shares of Restricted Stock, a certificate or certificates or book entry record representing such Restricted Stock shall be issued, and the Participant shall have such rights of a stockholder of the Company as determined pursuant to Section 7.6 and 10.13. Prior to the settlement of a Performance Share Award in Shares, including Restricted Stock, the Participant shall have no rights as a stockholder of the Company with respect to the Shares subject to such Award.  Unless otherwise provided in an Award Agreement, Performance Share Awards are intended to qualify as short term deferrals for purposes of Section 409A of the Code.  Accordingly, settlement of a Performance Share Award shall occur no later than March 15 of the year following the year in which the Performance Goals applicable to such Performance Share Awards are attained, as determined by the Compensation Committee prior to such date, or are deemed to have been attained pursuant to Section 8.3.1.  Notwithstanding any provision herein to the contrary, to the extent necessary to avoid adverse tax consequences to a Participant who is a “specified employee” under Section 409A of the Code, settlement of a Performance Share Award shall not be made until after the expiration of the six-month period commencing on the Participant’s Termination of Service.
		
	1.
	The terms of the Plan, as amended hereby, are confirmed in all respects and remain in full force and effect.

		
	2.
	This First Amendment is effective as of December 5, 2012.

IN WITNESS WHEREOF, CME Group Inc. has caused this First Amendment to the Plan to be executed by its duly authorized officer on the 19th day of December, 2012.
By:   /s/ Hilda Harris Piell
Its:  Senior Managing Director & Chief Human Resources OfficerCME-2012.12.31 10K Ex 10.2

Exhibit 10.2

Name:         
Department:      
Division:     

Congratulations!  We are pleased to provide you with an equity grant under the CME Group Inc. Amended and Restated Omnibus Stock Plan (the “Plan”).  This equity grant is in recognition of the anticipated positive impact you will make toward the future success of CME Group.  Your equity grant may enable you to acquire ownership in CME Group Inc., which is a means for you to share in the success of the company while creating shareholder value.  Certain terms of your equity grant follow:

Restricted Stock Terms
		
	Restricted Stock:
	You have been granted [ó] restricted shares of Class A common stock, $.01 par value, of CME Group Inc. 

Grant Date:        [ó]    
		
	Vesting Schedule:
	Except as otherwise provided in the Plan, 25 percent of the restricted stock grant shall become vested on each anniversary of the grant date, with 100 percent of the restricted stock grant becoming vested on the fourth anniversary of the grant date.  

		
	Dividends:
	Dividends paid on unvested restricted shares will be accrued and paid out via E*Trade according to the vesting schedule.

Your equity grant has an economic value of [ó]. The economic value was used to calculate the number of restricted shares granted, using the closing stock price on the grant date.
To be eligible to receive this grant, you must have entered into a Confidentiality, Non-Competition and Non-Solicitation Agreement with CME Group Inc.  In addition to the terms stated in this grant letter, your equity grant shall be subject to the terms and conditions of the Plan.  All documents relating to the Plan, including the cover letter, grant letter, Plan Document, Prospectus, Frequently Asked Questions, 83b Election Memo (for U.S. employees only) and Beneficiary Form, are available online by logging on to your E*TRADE account at www.etrade.com/stockplans or by calling E*TRADE at 800-838-0908 (+1-650-599-0125 outside the U.S.). A copy of the current CME Group Form 10-K can be found at: http://investor.cmegroup.com/investor-relations/financials.cfm. Please complete your W-9 Form (or W-8BEN Form if outside the U.S.) upon activation of your E*TRADE account and submit your completed Beneficiary Designation Form to CME Group’s Compensation Department, 20 S. Wacker, 2N, Chicago, IL 60606.
By accepting this equity grant, you hereby agree to the terms and conditions of the Plan, which are subject to change at any time.  In addition, you acknowledge and agree that you are receiving this grant pursuant to CME Group’s Annual Grant Program, which is in place at the discretion of CME Group.  Accordingly, your receipt of this grant and your eligibility for any future grants are subject to the continued existence of the Annual Grant Program.CME-2012.12.31 10K Ex 10.4

Exhibit 10.4
 
Name:

Congratulations!  We are pleased to provide you with a long-term incentive opportunity under the CME Group Inc. Amended and Restated Omnibus Stock Plan (the “Plan”).  This long-term incentive opportunity is in recognition of the anticipated positive impact you will make toward the future success of the company. Your grant provides you with the opportunity to earn a range of performance shares based on the achievement of the performance goals set forth below. If earned, the ultimate payout for achieving the performance goals will be in the form of CME Group Inc. stock, which is a means for you to share in the success of the overall company.  Certain terms of your long-term incentive opportunity follow:
Performance Share Terms
		
	Performance Shares:
	Your grant has a target of [ó] Performance Shares for the achievement of Performance Goals at the target levels.  Payouts will be settled after the end of the Performance Period by the issuance of Class A common stock, $.01 par value, of CME Group Inc. if certain specified Performance Goals are achieved for the Performance Period as set forth below. 

Grant Date:        [ó]
Performance Period:    [ó]
		
	Performance Goals:
	[ó]

Payment and
		
	Vesting Schedule:
	Performance Shares that are earned, if any, shall be settled in Class A common stock, $0.01 par value of CME Group Inc., which shall be issued as soon as administratively practicable after the Compensation Committee and/or its delegate confirms that the Goals have been attained.  The Goals shall not be deemed to be attained until the Compensation Committee and/or its delegate confirms that they have been attained. The Performance Shares earned shall be based on the actual performance achieved under the Performance Goals during the Performance Period and issued in accordance with the Terms and Conditions attached hereto. Such shares shall become vested on the payout date in [ó], except as otherwise provided by the terms and conditions in the Plan.      

Additional Terms
		
	and Conditions:
	The Performance Shares granted are subject to the Terms and Conditions attached hereto, as well as the terms and conditions set forth in the Plan.

To be eligible to receive this grant, you must have entered into a Confidentiality, Non-Competition and Non-Solicitation Agreement with CME Group Inc. In addition to the terms stated in this grant letter, your equity grant shall be subject to the terms and conditions of the Plan, which are subject to change at any time.  All documents relating to the Plan, including the Plan Document, Prospectus and Beneficiary Form, can be accessed  online by logging on to your E*TRADE account at www.etrade.com/stockplan or by calling E*TRADE at 800-838-0908 or +1-650-599-0125 if outside the U.S.  A copy of the current CME Group Form 10-K can be found at: http://investor.cmegroup.com/investor-relations/financials.cfm.  Please certify your W-9 (or W-8BEN if outside the U.S.) upon activation of your E*TRADE account and submit your completed Beneficiary Designation Form to CME Group’s Compensation Department, 20 S. Wacker, 2N, Chicago, IL 60606.
By accepting this equity grant, you hereby agree to the terms and conditions of the Plan, which are subject to change at any time.  In addition, you acknowledge and agree that you are receiving this grant pursuant to CME Group’s Annual Grant Program, which is in place at the discretion of CME Group.  Accordingly, your receipt of this grant and your eligibility for any future grants are subject to the continued existence of the Annual Grant Program.

[1]

TERMS AND CONDITIONS
		
	1.
	Performance Shares Earned. The number of Performance Shares earned, if any, will be based on the actual performance achieved during the Performance Period relative to each Performance Goal. This determination shall be made in accordance with the following schedules:

		
	a.
	Goal 1 - [ó]% of Performance Shares at Target, or [ó] shares:

	
		
	[Goal 1 Performance Achievement]
	Performance Shares Earned

	[Maximum]
	200% of above portion of Target Performance Shares

	[Target]
	100% of above portion of Target Performance Shares

	[Threshold]
	50% of above portion of Target Performance Shares

	[Below Threshold]
	0% of above portion of Target Performance Shares

Note: Threshold, Target and Maximum levels to be set forth in Appendix A after the Compensation Committee approves such goals. If actual performance falls between any of the levels above, then straight-line interpolation will be applied to determine the number of shares earned.

		
	b.
	Goal 2 - [ó]% of Performance Shares at Target, or [ó] shares:

	
		
	[Goal 2 Performance Achievement]
	Performance Shares Earned

	[Maximum]
	200% of above portion of Target Performance Shares

	[Target]
	100% of above portion of Target Performance Shares

	[Threshold]
	50% of above portion of Target Performance Shares

	[Below Threshold]
	0% of above portion of Target Performance Shares

Note: If actual performance falls between any of the levels above, then straight-line interpolation will be applied to determine the number of shares earned.

		
	2.
	Eligibility to Receive Grant and Condition of Receipt of Performance Shares.  Notwithstanding any other eligibility requirements specified in this grant or in the Plan, in order to be eligible to receive this award and as a condition of receipt of payment of any earned Performance Shares under this award, you must have entered into an agreement with the Company containing certain post-termination of employment restrictions.  The post-termination employment restrictions applicable to you are set forth in the Confidentiality, Non-Competition and Non-Solicitation Agreement with the Company, which is incorporated herein by reference.

		
	3.
	Eligibility to Receive Performance Shares. Notwithstanding any other eligibility requirements specified in this grant or in the Plan, in order for you to be eligible to receive payment of any earned Performance Shares after the end of the Performance Period, you must remain employed through the payout date. 

		
	4.
	Termination of Service. If your employment is terminated by reason of death or Disability (as defined in the Plan), your eligibility for payment of the Performance Shares is governed by the terms of the Plan.  If your employment is terminated for any other reason, any Performance Shares that are not vested will be forfeited.

[2]

Source: [{"source": "alea-institute/alea-institute/kl3m-data-edgar-agreements/train-00213-of-00352.parquet"}, [{"source": "alea-institute/alea-institute/kl3m-data-edgar-agreements/train-00213-of-00352.parquet"}], [{"source": "alea-institute/alea-institute/kl3m-data-edgar-agreements/train-00213-of-00352.parquet"}]]