SEC Info - Cme Group Inc. - ‘10-Q’ for 9/30/15

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Cme Group Inc. – ‘10-Q’ for 9/30/15 – ‘EX-10.1’

On: Friday, 11/6/15, at 2:46pm ET · For: 9/30/15 · Accession #: 1156375-15-108 · File #: 1-31553

  As Of               Filer                 Filing    For·On·As Docs:Size

11/06/15  Cme Group Inc.                    10-Q        9/30/15   56:5M

Quarterly Report — Form 10-Q — Sect. 13 / 15(d) – SEA’34
Filing Table of Contents

Document/Exhibit                   Description                      Pages   Size 

 1: 10-Q        Quarterly Report                                    HTML    540K 
 2: EX-10.1     Amendment to Recognition and Retention Plan         HTML     24K 
 3: EX-31.1     Section 302 Certification                           HTML     23K 
 4: EX-31.2     Section 302 Certification                           HTML     23K 
 5: EX-32.1     Section 906 Certification                           HTML     21K 
36: R1          Document And Entity Information                     HTML     43K 
27: R2          Consolidated Balance Sheets                         HTML    103K 
34: R3          Consolidated Balance Sheets (Parenthetical)         HTML     57K 
38: R4          Consolidated Statements Of Income                   HTML    114K 
51: R5          Consolidated Statements of Comprehensive Income     HTML     88K 
28: R6          Consolidated Statements Of Shareholders' Equity     HTML    108K 
33: R7          Consolidated Statements Of Shareholders' Equity     HTML     19K 
                (Parenthetical)                                                  
24: R8          Consolidated Statements Of Cash Flows               HTML    135K 
19: R9          Basis Of Presentation                               HTML     24K 
52: R10         Performance Bonds and Guaranty Fund Contributions   HTML     24K 
                (Notes)                                                          
40: R11         Intangible Assets And Goodwill                      HTML     78K 
39: R12         Long-Term Investments (Notes)                       HTML     20K 
44: R13         Debt                                                HTML     42K 
45: R14         Contingencies                                       HTML     30K 
43: R15         Guarantees                                          HTML     24K 
46: R16         Accumulated Other Comprehensive Income (Notes)      HTML     77K 
35: R17         Fair Value Measurements                             HTML     85K 
37: R18         Earnings Per Share                                  HTML     61K 
42: R19         Subsequent Events                                   HTML     19K 
56: R20         Intangible Assets And Goodwill (Tables)             HTML     75K 
48: R21         Debt (Tables)                                       HTML     47K 
30: R22         Accumulated Other Comprehensive Income (Tables)     HTML     73K 
41: R23         Fair Value Measurements (Tables)                    HTML     82K 
32: R24         Earnings Per Share (Tables)                         HTML     61K 
16: R25         Performance Bonds and Guaranty Fund Contributions   HTML     32K 
                (Details)                                                        
49: R26         Intangible Assets And Goodwill (Narrative)          HTML     21K 
                (Details)                                                        
53: R27         Intangible Assets And Goodwill (Components Of       HTML     44K 
                Intangible Assets) (Details)                                     
21: R28         Intangible Assets And Goodwill (Future Estimated    HTML     34K 
                Amortization Expense) (Details)                                  
20: R29         Long-Term Investments (Details)                     HTML     29K 
22: R30         Debt (Schedule Of Short-Term And Long-Term Debt)    HTML     48K 
                (Details)                                                        
23: R31         Debt (Schedule Of Maturities Of Long-Term Debt)     HTML     35K 
                (Details)                                                        
25: R32         Debt (Fair Value Of Fixed Rate Notes) (Details)     HTML     30K 
15: R33         Debt Debt (Short-Term Debt) (Details)               HTML     33K 
47: R34         Contingencies (Details)                             HTML     20K 
29: R35         Guarantees (Details)                                HTML     31K 
31: R36         Accumulated Other Comprehensive Income (Details)    HTML     93K 
18: R37         Fair Value Measurements (Financial Instruments      HTML     79K 
                Measured At Fair Value On A Recurring Basis)                     
                (Details)                                                        
55: R38         Fair Value Measurements (Reconciliation Using       HTML     31K 
                Significant Unobservable Inputs) (Details)                       
12: R39         Fair Value Measurements Fair Value Measurements     HTML     21K 
                Narrative (Detail) (Details)                                     
26: R40         Fair Value Measurements Fair Value of Debt          HTML     39K 
                Instruments (Details)                                            
50: R41         Earnings Per Share Anti-Dilutive Securities         HTML     27K 
                (Details)                                                        
17: R42         Earnings Per Share (Net Income Attributable To CME  HTML     44K 
                Group) (Details)                                                 
54: XML         IDEA XML File -- Filing Summary                      XML     96K 
13: EXCEL       IDEA Workbook of Financial Reports                  XLSX     50K 
 6: EX-101.INS  XBRL Instance -- cme-20150930                        XML   1.26M 
 8: EX-101.CAL  XBRL Calculations -- cme-20150930_cal                XML    168K 
 9: EX-101.DEF  XBRL Definitions -- cme-20150930_def                 XML    402K 
10: EX-101.LAB  XBRL Labels -- cme-20150930_lab                      XML   1.00M 
11: EX-101.PRE  XBRL Presentations -- cme-20150930_pre               XML    617K 
 7: EX-101.SCH  XBRL Schema -- cme-20150930                          XSD     94K 
14: ZIP         XBRL Zipped Folder -- 0001156375-15-000108-xbrl      Zip    136K

‘EX-10.1’ — Amendment to Recognition and Retention Plan

This Exhibit is an HTML Document rendered as filed. [ Alternative Formats ]

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Exhibit

AMENDMENT TO RECOGNITION AND RETENTION PLAN

This amendment (the “Amendment”), dated October 22, 2015 (the “Amendment Date”), is made by the Board of Directors (the “Board”) of the New York Mercantile Exchange (“NYMEX”). On August 3, 1994, NYMEX adopted the Recognition and Retention Plan for Members of the COMEX Division of New York Mercantile Exchange (the “Plan”). This Amendment modifies the terms of that Plan.

RECITALS


A.	WHEREAS, pursuant to Article VI, Section 3 of the Plan, the Board has the power to amend the Plan upon the affirmative vote of a majority of the members of the Board; and


B.	WHEREAS, the Board has determined that, in compliance with Article V, Section 3(f) of the Plan, that this Amendment is not “to the detriment of the benefits” of any Participant (as defined in the Plan); and

WHEREAS, Article V, Section 3(c) requires NYMEX to pay certain amounts on an annual basis into the Account (as defined in the Plan) and the Board desires to amend such requirements and replace such annual requirements with a current lump sum payment intended to preserve the assets of the Account at an actuarially determined level to cover all future payments to Participants (as defined in the Plan) and/or their Beneficiaries (as defined in the Plan) under the Plan; and


D.	WHEREAS the Board now wishes to amend the terms of the Plan as provided hereto.

AMENDMENT

NOW THEREFORE, notwithstanding any prior agreements, the Board hereby amends the Plan as follows:


1.	No Annual Payments. Beginning on the Amendment Date and as a result of the payment described in Section 2 below but subject to Section 3 below, NYMEX shall no longer be required to make any annual payments to the Account in connection with the provisions of Article V, Section 3(c) of the Plan.


2.	Lump Sum Payment. Before December 31, 2015, NYMEX shall make a one-time payment to the Account in an amount intended to preserve the assets of the Account at an actuarially determined level to cover all future payments to Participants (as defined in the Plan) and/or their Beneficiaries (as defined in the Plan) under the Plan.

Resumption of Annual Payments; Availability of General Corporate Funds. In the event of a future shortfall in the Account as payments under the Plan become due, NYMEX shall resume annual payments required by Article V, Section 3(c) of the Plan until the plan is funded to an amount capable of preserving the assets of the Account at an actuarially determined level to cover all future payments to Participants (as defined in the Plan) and/or their Beneficiaries (as defined in the Plan) under the Plan. In addition, before the Account is fully funded, NYMEX may pay any amounts owed to Participants from the general corporate funds of NYMEX or make any additional contributions to the Account at their discretion. To the extent the Account is fully funded pursuant to Sections 2 and 3 hereto, Article V, Section 3(g) shall be of no further force and effect.


4.	Plan Otherwise Unaffected. Except as specifically set forth above in this Amendment, the Plan is otherwise unaffected and shall continue in full force and effect in accordance with its terms and the recitals set forth above are hereby incorporated into this Amendment. To the extent that there is a conflict between this Amendment and the Plan, the terms of this Amendment will prevail.


5.	Counterparts. This Amendment may be executed in any number of counterparts. All of such counterparts together shall constitute one document at such time as the counterparts are executed.

The Board hereby authorizes any member of the Retirement Committee to sign and adopt the foregoing amendment to the Plan.

IN WITNESS WHEREOF, the undersigned, a member of the Retirement Committee, hereby adopts the foregoing amendment to the Plan effective the 22 day of October 2015.



By: /s/ *Hilda Harris Piell*

________________________________

Retirement Committee Member

Dates Referenced Herein and Documents Incorporated by Reference

This ‘10-Q’ Filing	Date	Other Filings

	12/31/15	10-K, 5
Filed on:	11/6/15
	10/22/15
For Period end:	9/30/15
	8/3/94
		List all Filings

3 Subsequent Filings that Reference this Filing

  As Of               Filer                 Filing    For·On·As Docs:Size             Issuer                      Filing Agent

 2/27/23  CME Group Inc.                    10-K       12/31/22  106:12M
 2/25/22  CME Group Inc.                    10-K       12/31/21  108:12M
 2/26/21  CME Group Inc.                    10-K       12/31/20  119:13M

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Filing Submission 0001156375-15-000108 – Alternative Formats (Word / Rich Text, HTML, Plain Text, et al.)