FORM 4 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940 |
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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b). |
1. Name and Address of Reporting Person*
(Street)
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2. Issuer Name and Ticker or Trading Symbol
INTERCONTINENTALEXCHANGE INC [ ICE ] |
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
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3. Date of Earliest Transaction
(Month/Day/Year) 09/15/2006 | ||||||||||||||||||||||||||
4. If Amendment, Date of Original Filed
(Month/Day/Year) |
6. Individual or Joint/Group Filing (Check Applicable Line)
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned | ||||||||||
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1. Title of Security (Instr. 3) | 2. Transaction Date (Month/Day/Year) | 2A. Deemed Execution Date, if any (Month/Day/Year) | 3. Transaction Code (Instr. 8) | 4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5) | 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) | 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) | 7. Nature of Indirect Beneficial Ownership (Instr. 4) | |||
Code | V | Amount | (A) or (D) | Price | ||||||
Common Stock | 09/15/2006 | S(1) | 649 | D | $68.14 | 2,153,145(2) | I | See footnote 1. | ||
Common Stock | 09/15/2006 | S(1) | 1,028 | D | $68.2 | 2,152,117(2) | I | See footnote 1. | ||
Common Stock | 09/15/2006 | S(1) | 866 | D | $68.65 | 2,151,251(2) | I | See footnote 1. | ||
Common Stock | 09/15/2006 | S(1) | 325 | D | $68.7 | 2,150,926(2) | I | See footnote 1. | ||
Common Stock | 09/15/2006 | S(1) | 866 | D | $68.75 | 2,150,060(2) | I | See footnote 1. | ||
Common Stock | 09/15/2006 | S(1) | 1,190 | D | $68.77 | 2,148,870(2) | I | See footnote 1. | ||
Common Stock | 09/15/2006 | S(1) | 108 | D | $68.78 | 2,148,762(2) | I | See footnote 1. | ||
Common Stock | 09/15/2006 | S(1) | 487 | D | $68.79 | 2,148,275(2) | I | See footnote 1. | ||
Common Stock | 09/15/2006 | S(1) | 325 | D | $68.8 | 2,147,950(2) | I | See footnote 1. | ||
Common Stock | 09/15/2006 | S(1) | 379 | D | $68.81 | 2,147,571(2) | I | See footnote 1. | ||
Common Stock | 09/15/2006 | S(1) | 108 | D | $68.82 | 2,147,463(2) | I | See footnote 1. | ||
Common Stock | 09/15/2006 | S(1) | 108 | D | $68.84 | 2,147,355(2) | I | See footnote 1. | ||
Common Stock | 09/15/2006 | S(1) | 2,489 | D | $68.85 | 2,144,866(2) | I | See footnote 1. | ||
Common Stock | 09/15/2006 | S(1) | 2,219 | D | $68.87 | 2,142,647(2) | I | See footnote 1. | ||
Common Stock | 09/15/2006 | S(1) | 812 | D | $68.88 | 2,141,835(2) | I | See footnote 1. | ||
Common Stock | 09/15/2006 | S(1) | 379 | D | $68.9 | 2,141,456(2) | I | See footnote 1. | ||
Common Stock | 09/15/2006 | S(1) | 2,543 | D | $68.95 | 2,138,913(2) | I | See footnote 1. | ||
Common Stock | 09/15/2006 | S(1) | 379 | D | $69 | 2,138,534(2) | I | See footnote 1. | ||
Common Stock | 09/15/2006 | S(1) | 379 | D | $69.04 | 2,138,155(2) | I | See footnote 1. | ||
Common Stock | 09/15/2006 | S(1) | 866 | D | $69.05 | 2,137,289(2) | I | See footnote 1. | ||
Common Stock | 09/15/2006 | S(1) | 812 | D | $69.09 | 2,136,477(2) | I | See footnote 1. | ||
Common Stock | 09/15/2006 | S(1) | 108 | D | $69.15 | 2,136,369(2) | I | See footnote 1. | ||
Common Stock | 09/15/2006 | S(1) | 162 | D | $69.16 | 2,136,207(2) | I | See footnote 1. | ||
Common Stock | 09/15/2006 | S(1) | 595 | D | $69.2 | 2,135,612(2) | I | See footnote 1. | ||
Common Stock | 09/15/2006 | S(1) | 108 | D | $69.24 | 2,135,504(2) | I | See footnote 1. | ||
Common Stock | 09/15/2006 | S(1) | 920 | D | $69.25 | 2,134,584(2) | I | See footnote 1. | ||
Common Stock | 09/15/2006 | S(1) | 595 | D | $69.28 | 2,133,989(2) | I | See footnote 1. | ||
Common Stock | 09/15/2006 | S(1) | 1,082 | D | $69.31 | 2,132,907(2) | I | See footnote 1. | ||
Common Stock | 09/15/2006 | S(1) | 487 | D | $69.46 | 2,132,420(2) | I | See footnote 1. | ||
Common Stock | 09/15/2006 | S(1) | 541 | D | $69.6 | 2,131,879(2) | I | See footnote 1. |
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||||||||||
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1. Title of Derivative Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) | 6. Date Exercisable and Expiration Date (Month/Day/Year) | 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) | 8. Price of Derivative Security (Instr. 5) | 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) | 10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) | ||||
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Explanation of Responses: |
1. Represents shares held by Continental Power Exchange, Inc. ("CPEX"). Prior to this disposition, Mr. Sprecher beneficially owned 94.0% of the equity interest in CPEX and holds an irrevocable proxy to vote the remaining 6.0%. CPEX will use the proceeds of this disposition to purchase an additional 1.5% of the membership interests in CPEX not held by Mr. Sprecher. Following this purchase and future purchases as specified in a Rule 10b5-1 trading plan and a Redemption Agreement between Mr. Sprecher and the other shareholders of CPEX, Mr. Sprecher will beneficially own 100% of the equity interest in CPEX. Mr. Sprecher will not receive any of the proceeds from this disposition other than for the payment of his taxes related to such disposition by CPEX. The sale of these shares was effected pursuant to CPEX's previously disclosed Rule 10b5-1 trading plan adopted by CPEX on May 16, 2006. |
2. As previously reported, the reporting person also indirectly owns shares that are beneficially owned directly by the reporting person's spouse for which the reporting person disclaims beneficial ownership. The reporting person also owns shares directly. |
Remarks: |
This is the third of four Forms 4 being filed by the reporting person as of the date of this Form 4. |
/s/ Andrew J. Surdykowski, Attorney-in-fact | 09/19/2006 | |
** Signature of Reporting Person | Date | |
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | ||
* If the form is filed by more than one reporting person, see Instruction 4 (b)(v). | ||
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). | ||
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. | ||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number. |